<?xml version="1.0" encoding="UTF-8"?>
<FEDREG xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:noNamespaceSchemaLocation="FRMergedXML.xsd">
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Contents</UNITNAME>
    <CNTNTS>
        <AGCY>
            <EAR>Agency Health</EAR>
            <PRTPAGE P="iii"/>
            <HD>Agency for Healthcare Research and Quality</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals, </DOC>
                    <PGS>57046-57050</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23539</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23543</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Agricultural Marketing</EAR>
            <HD>Agricultural Marketing Service</HD>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <SJ>Marketing Order No. 983 and Referendum Order:</SJ>
                <SJDENT>
                    <SJDOC>Pistachios Grown in California, Arizona, and New Mexico, </SJDOC>
                    <PGS>57001-57006</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="5">2011-23629</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Agriculture</EAR>
            <HD>Agriculture Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Agricultural Marketing Service</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Commodity Credit Corporation</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Food Safety and Inspection Service</P>
            </SEE>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals, </DOC>
                    <PGS>57017</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23660</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Air Force</EAR>
            <HD>Air Force Department</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Meetings:</SJ>
                <SJDENT>
                    <SJDOC>Scientific Advisory Board, </SJDOC>
                    <PGS>57026-57027</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23615</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Commerce</EAR>
            <HD>Commerce Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>International Trade Administration</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>National Oceanic and Atmospheric Administration</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>National Telecommunications and Information Administration</P>
            </SEE>
        </AGCY>
        <AGCY>
            <EAR>Commodity Credit</EAR>
            <HD>Commodity Credit Corporation</HD>
            <CAT>
                <HD>RULES</HD>
                <DOCENT>
                    <DOC>Biomass Crop Assistance Program; Corrections, </DOC>
                    <PGS>56949-56951</PGS>
                    <FRDOCBP T="15SER1.sgm" D="2">2011-23596</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Consumer Product</EAR>
            <HD>Consumer Product Safety Commission</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Meetings:</SJ>
                <SJDENT>
                    <SJDOC>Chronic Hazard Advisory Panel on Phthalates and Phthalate Substitutes; Teleconference, </SJDOC>
                    <PGS>57024-57025</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23645</FRDOCBP>
                </SJDENT>
                <DOCENT>
                    <DOC>Meetings; Sunshine Act, </DOC>
                    <PGS>57025</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23808</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23809</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Corporation</EAR>
            <HD>Corporation for National and Community Service</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals, </DOC>
                    <PGS>57025-57026</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23680</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Defense Department</EAR>
            <HD>Defense Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Air Force Department</P>
            </SEE>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Fiscal Year 2010 Inventory of Contracts for Services; Availability, </DOC>
                    <PGS>57026</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23631</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Drug</EAR>
            <HD>Drug Enforcement Administration</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Importers of Controlled Substances; Registration, </DOC>
                    <PGS>57080</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23620</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Manufacturers of Controlled Substances; Application, </DOC>
                    <PGS>57080</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23617</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Education</EAR>
            <HD>Education Department</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals, </DOC>
                    <PGS>57027-57028</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23697</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23701</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Energy Department</EAR>
            <HD>Energy Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Federal Energy Regulatory Commission</P>
            </SEE>
            <CAT>
                <HD>RULES</HD>
                <SJ>Energy Conservation Program:</SJ>
                <SJDENT>
                    <SJDOC>Standards for Residential Refrigerators, Refrigerator-Freezers, and Freezers, </SJDOC>
                      
                    <PGS>57516-57612</PGS>
                      
                    <FRDOCBP T="15SER3.sgm" D="96">2011-22329</FRDOCBP>
                </SJDENT>
                <SJ>Energy Efficiency Program for Consumer Products:</SJ>
                <SJDENT>
                    <SJDOC>Test Procedures for Residential Refrigerators, Refrigerator-Freezers, and Freezers, </SJDOC>
                      
                    <PGS>57612-57613</PGS>
                      
                    <FRDOCBP T="15SER3.sgm" D="1">2011-22330</FRDOCBP>
                </SJDENT>
            </CAT>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <SJ>Energy Efficiency of Low-Voltage Dry-Type Distribution Transformers:</SJ>
                <SJDENT>
                    <SJDOC>Negotiated Rulemaking Subcommittee Meetings, </SJDOC>
                    <PGS>57007-57008</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="1">2011-23634</FRDOCBP>
                </SJDENT>
            </CAT>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals, </DOC>
                    <PGS>57028</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23633</FRDOCBP>
                </DOCENT>
                <SJ>Meetings:</SJ>
                <SJDENT>
                    <SJDOC>Biological and Environmental Research Advisory Committee, </SJDOC>
                    <PGS>57028-57029</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23635</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Environmental Protection</EAR>
            <HD>Environmental Protection Agency</HD>
            <CAT>
                <HD>RULES</HD>
                <SJ>Approval and Promulgation of Air Quality Implementation Plans:</SJ>
                <SJDENT>
                    <SJDOC>West Virginia, </SJDOC>
                    <PGS>56975-56982</PGS>
                    <FRDOCBP T="15SER1.sgm" D="7">2011-23261</FRDOCBP>
                </SJDENT>
                <SJ>Approval and Promulgation of Implementation Plans:</SJ>
                <SJDENT>
                    <SJDOC>Texas; Revisions to Permits by Rule and Regulations for Control of Air Pollution by Permits for New Construction or Modification, </SJDOC>
                    <PGS>56982</PGS>
                    <FRDOCBP T="15SER1.sgm" D="0">2011-23523</FRDOCBP>
                </SJDENT>
                <DOCENT>
                    <DOC>Federal Underground Injection Control Class VI Program for Carbon Dioxide Geologic Sequestration Wells, </DOC>
                    <PGS>56982-56983</PGS>
                    <FRDOCBP T="15SER1.sgm" D="1">2011-23662</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Greenhouse Gas Emissions Standards and Fuel Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles, </DOC>
                    <PGS>57106-57513</PGS>
                    <FRDOCBP T="15SER2.sgm" D="407">2011-20740</FRDOCBP>
                </DOCENT>
            </CAT>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <SJ>Approval and Promulgation of Air Quality Implementation Plans:</SJ>
                <SJDENT>
                    <SJDOC>West Virginia, </SJDOC>
                    <PGS>57013-57014</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="1">2011-23262</FRDOCBP>
                </SJDENT>
            </CAT>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Draft Harmonized Test Guidelines; Availability, </DOC>
                    <PGS>57031-57033</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23666</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Draft Toxicological Review of n-Butanol; Availability, </DOC>
                    <PGS>57033-57034</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23664</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Pesticide Products; Applications to Register New Uses, </DOC>
                    <PGS>57034-57036</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23518</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Equal</EAR>
            <HD>Equal Employment Opportunity Commission</HD>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <DOCENT>
                    <DOC>Recordkeeping and Reporting Requirements under Title VII, the ADA, and GINA, </DOC>
                    <PGS>57013</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="0">2011-23601</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR/>
            <HD>Executive Office of the President</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Presidential Documents</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Trade Representative, Office of United States</P>
            </SEE>
        </AGCY>
        <AGCY>
            <EAR>Export Import</EAR>
            <HD>Export-Import Bank</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Meetings:</SJ>
                <SJDENT>
                    <SJDOC>Advisory Commitee, </SJDOC>
                    <PGS>57036</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23668</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Federal Aviation</EAR>
            <PRTPAGE P="iv"/>
            <HD>Federal Aviation Administration</HD>
            <CAT>
                <HD>RULES</HD>
                <DOCENT>
                    <DOC>Amendment of Class D and Modification of Class E Airspace; Grand Junction, CO, </DOC>
                    <PGS>56966-56967</PGS>
                    <FRDOCBP T="15SER1.sgm" D="1">2011-23298</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Amendment of Class E Airspace; Glendive, MT, </DOC>
                    <PGS>56967-56968</PGS>
                    <FRDOCBP T="15SER1.sgm" D="1">2011-23299</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Amendment of Class E Airspace; Tonopah, NV, </DOC>
                    <PGS>56968-56969</PGS>
                    <FRDOCBP T="15SER1.sgm" D="1">2011-23297</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Standard Instrument Approach Procedures, Takeoff Minimums and Obstacle Departure Procedures; Miscellaneous Amendments, </DOC>
                    <PGS>56969-56973</PGS>
                    <FRDOCBP T="15SER1.sgm" D="2">2011-23182</FRDOCBP>
                    <FRDOCBP T="15SER1.sgm" D="2">2011-23187</FRDOCBP>
                </DOCENT>
            </CAT>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Environmental Assessments; Availability, etc.:</SJ>
                <SJDENT>
                    <SJDOC>Spaceport Systems International; California Spaceport at Vandenberg Air Force Base, CA, </SJDOC>
                    <PGS>57103</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23694</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Federal Bureau</EAR>
            <HD>Federal Bureau of Investigation</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
                <SJDENT>
                    <SJDOC>Monthly Return of Arson Offenses Known to Law Enforcement, </SJDOC>
                    <PGS>57081</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23618</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Federal Deposit</EAR>
            <HD>Federal Deposit Insurance Corporation</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Meetings; Sunshine Act, </DOC>
                    <PGS>57036</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23836</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23844</FRDOCBP>
                </DOCENT>
                <SJ>Terminations of Receiverships:</SJ>
                <SJDENT>
                    <SJDOC>Metropolitan Savings Bank, Pittsburgh, PA, </SJDOC>
                    <PGS>57037</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23705</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Federal Election</EAR>
            <HD>Federal Election Commission</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Meetings; Sunshine Act, </DOC>
                    <PGS>57037</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23733</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Federal Energy</EAR>
            <HD>Federal Energy Regulatory Commission</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Applications for Amendment of License:</SJ>
                <SJDENT>
                    <SJDOC>Southern California Edison Co., </SJDOC>
                    <PGS>57029-57030</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23637</FRDOCBP>
                </SJDENT>
                <SJ>Initial Market-Based Rate Filings Including Requests for Blanket Section 204 Authorizations:</SJ>
                <SJDENT>
                    <SJDOC>NEPM II, LLC, </SJDOC>
                    <PGS>57030-57031</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23640</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Santana Energy Services, </SJDOC>
                    <PGS>57030</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23639</FRDOCBP>
                </SJDENT>
                <SJ>Requests Under Blanket Authorizations:</SJ>
                <SJDENT>
                    <SJDOC>Dominion Transmission, Inc., </SJDOC>
                    <PGS>57031</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23638</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Federal Reserve</EAR>
            <HD>Federal Reserve System</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals, </DOC>
                    <PGS>57037-57041</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="4">2011-23614</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Federal Trade</EAR>
            <HD>Federal Trade Commission</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Analysis of Proposed Consent Orders:</SJ>
                <SJDENT>
                    <SJDOC>Andrew N. Finkel, </SJDOC>
                    <PGS>57043-57044</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23595</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Kobe Brown and Gregory W. Pearson, </SJDOC>
                    <PGS>57041-57043</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23594</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Food and Drug</EAR>
            <HD>Food and Drug Administration</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Approaches to Reducing Sodium Consumption; Establishment of Dockets:</SJ>
                <SJDENT>
                    <SJDOC>Request for Comments, Data, and Information, </SJDOC>
                    <PGS>57050-57054</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="4">2011-23753</FRDOCBP>
                </SJDENT>
                <SJ>Guidance for Industry on Studies to Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals:</SJ>
                <SJDENT>
                    <SJDOC>Comparative Metabolism Studies in Laboratory Animals, </SJDOC>
                    <PGS>57057-57058</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23490</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Marker Residue Depletion Studies to Establish Product Withdrawal Periods, </SJDOC>
                    <PGS>57056-57057</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23491</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Metabolism Study to Determine the Quantity and Identify the Nature of Residues, </SJDOC>
                    <PGS>57054-57056</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23489</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Validation of Analytical Methods Used in Residue Depletion Studies, </SJDOC>
                    <PGS>57058-57060</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23492</FRDOCBP>
                </SJDENT>
                <SJ>International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products:</SJ>
                <SJDENT>
                    <SJDOC>Draft Guidance for Industry on Pharmacovigilance of Veterinary Medicinal Products; Electronic Standards for Transfer of Data, </SJDOC>
                    <PGS>57060-57061</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23605</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Food Safety</EAR>
            <HD>Food Safety and Inspection Service</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Approaches to Reducing Sodium Consumption; Establishment of Dockets:</SJ>
                <SJDENT>
                    <SJDOC>Request for Comments, Data, and Information, </SJDOC>
                    <PGS>57050-57054</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="4">2011-23753</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Health and Human</EAR>
            <HD>Health and Human Services Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Agency for Healthcare Research and Quality</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Food and Drug Administration</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>National Institutes of Health</P>
            </SEE>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Designation of a Class of Employees for Addition to the Special Exposure Cohort, </DOC>
                    <PGS>57044</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23568</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Ensuring Safe Transitions from Hospital to Home; Requirements and Registration, </DOC>
                    <PGS>57044-57045</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23704</FRDOCBP>
                </DOCENT>
                <DOCENT>
                    <DOC>Reporting Device Adverse Events Challenge; Requirements and Registration, </DOC>
                    <PGS>57045-57046</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23702</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Inter-American</EAR>
            <HD>Inter-American Foundation</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Meetings; Sunshine Act, </DOC>
                    <PGS>57068</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23785</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Interior</EAR>
            <HD>Interior Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Land Management Bureau</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>National Park Service</P>
            </SEE>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>List of Programs Eligible for Inclusion in Fiscal Year 2012 Funding Agreements, etc., </DOC>
                    <PGS>57068-57073</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="5">2011-23683</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Internal Revenue</EAR>
            <HD>Internal Revenue Service</HD>
            <CAT>
                <HD>RULES</HD>
                <DOCENT>
                    <DOC>Elections Regarding Start-Up Expenditures, Corporation Organizational Expenditures, etc.; Correction, </DOC>
                    <PGS>56973</PGS>
                    <FRDOCBP T="15SER1.sgm" D="0">2011-23598</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>International Trade Adm</EAR>
            <HD>International Trade Administration</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Amended Final Results of Administrative Reviews Pursuant to Court Decisions:</SJ>
                <SJDENT>
                    <SJDOC>Certain Cased Pencils from the People's Republic of China, </SJDOC>
                    <PGS>57017-57019</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23681</FRDOCBP>
                </SJDENT>
                <SJ>Final Results of Sunset Reviews and Revocations of Antidumping Duty Orders:</SJ>
                <SJDENT>
                    <SJDOC>Ball Bearings and Parts Thereof from France, Germany and Italy, </SJDOC>
                    <PGS>57019-57020</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23688</FRDOCBP>
                </SJDENT>
                <SJ>Partial Rescissions of Antidumping Duty Administrative Reviews:</SJ>
                <SJDENT>
                    <SJDOC>Circular Welded Carbon Steel Pipes and Tubes from Taiwan, </SJDOC>
                    <PGS>57020-57021</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23685</FRDOCBP>
                </SJDENT>
                <SJ>Rescission of Antidumping Duty Administrative Reviews:</SJ>
                <SJDENT>
                    <SJDOC>Magnesium Metal from the People's Republic of China, </SJDOC>
                    <PGS>57021-57022</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23691</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>International Trade Com</EAR>
            <HD>International Trade Commission</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Determination:</SJ>
                <SJDENT>
                    <SJDOC>Certain Lighting Control Devices Including Dimmer Switches and Parts Thereof (IV), </SJDOC>
                    <PGS>57075</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23612</FRDOCBP>
                </SJDENT>
                <PRTPAGE P="v"/>
                <SJ>Expedited Five-year Reviews Concerning Antidumping Duty Orders:</SJ>
                <SJDENT>
                    <SJDOC>Helical Spring Lock Washers From China and Taiwan, </SJDOC>
                    <PGS>57075-57076</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23690</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Justice Department</EAR>
            <HD>Justice Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Drug Enforcement Administration</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Federal Bureau of Investigation</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Prisons Bureau</P>
            </SEE>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Agency Information Collection Activities; Proposals, Submissions, and Approvals:</SJ>
                <SJDENT>
                    <SJDOC>Semi-Annual Progress Report for the Grantees from the Legal Assistance for Victims Grant, </SJDOC>
                    <PGS>57076-57077</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23642</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Semi-Annual Progress Report for the Grantees from the Transitional Housing Assistance Grant, </SJDOC>
                    <PGS>57077-57078</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23643</FRDOCBP>
                </SJDENT>
                <DOCENT>
                    <DOC>Privacy Act; Systems of Records, </DOC>
                    <PGS>57078-57080</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23599</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Land</EAR>
            <HD>Land Management Bureau</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Environmental Impact Statements; Availability, etc.:</SJ>
                <SJDENT>
                    <SJDOC>Proposed enXco Desert Harvest Solar Farm Project, Riverside County, CA, </SJDOC>
                    <PGS>57073-57074</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23624</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Legal</EAR>
            <HD>Legal Services Corporation</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Meetings; Sunshine Act, </DOC>
                    <PGS>57081-57082</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23734</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>NASA</EAR>
            <HD>National Aeronautics and Space Administration</HD>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <DOCENT>
                    <DOC>Award Fee for Service and End-Item Contracts, </DOC>
                    <PGS>57014-57016</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="2">2011-23703</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>National Highway</EAR>
            <HD>National Highway Traffic Safety Administration</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Agency Information Collection Activities; Proposals, Submissions, and Approvals, </DOC>
                    <PGS>57103-57104</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23632</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>National Institute</EAR>
            <HD>National Institutes of Health</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Meetings:</SJ>
                <SJDENT>
                    <SJDOC>Center for Scientific Review, </SJDOC>
                    <PGS>57063-57068</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23649</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23661</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23669</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23678</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Cancer Institute, </SJDOC>
                    <PGS>57063</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23679</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Center on Minority Health and Health Disparities, </SJDOC>
                    <PGS>57068</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23653</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Heart, Lung, and Blood Institute, </SJDOC>
                    <PGS>57061-57067</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23648</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23654</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23663</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Institute of Dental and Craniofacial Research, </SJDOC>
                    <PGS>57061</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23650</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Institute of Environmental Health, </SJDOC>
                    <PGS>57065-57066</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23655</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Institute of Neurological Disorders and Stroke, </SJDOC>
                    <PGS>57062</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23658</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Institute of Nursing Research, </SJDOC>
                    <PGS>57068</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23657</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Institute on Aging, </SJDOC>
                    <PGS>57062-57064</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23671</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23672</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23677</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>National Oceanic</EAR>
            <HD>National Oceanic and Atmospheric Administration</HD>
            <CAT>
                <HD>RULES</HD>
                <DOCENT>
                    <DOC>Final Policy and Permit Guidance for Submarine Cable Projects, </DOC>
                    <PGS>56973</PGS>
                    <FRDOCBP T="15SER1.sgm" D="0">2011-23625</FRDOCBP>
                </DOCENT>
                <SJ>Fisheries of the Northeastern U.S.; Northeast Multispecies Fishery:</SJ>
                <SJDENT>
                    <SJDOC>Framework Adjustment 46, </SJDOC>
                    <PGS>56985-57000</PGS>
                    <FRDOCBP T="15SER1.sgm" D="15">2011-23682</FRDOCBP>
                </SJDENT>
            </CAT>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Coastal Zone Management Program; Illinois, </DOC>
                    <PGS>57022</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23626</FRDOCBP>
                </DOCENT>
                <SJ>Meetings:</SJ>
                <SJDENT>
                    <SJDOC>Gulf of Mexico Fishery Management Council, </SJDOC>
                    <PGS>57023</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23644</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>National Sea Grant Advisory Board, </SJDOC>
                    <PGS>57023</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23670</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Science Advisory Board, </SJDOC>
                    <PGS>57023-57024</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23675</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>National Park</EAR>
            <HD>National Park Service</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Transfer of Administrative Jurisdiction at or Near Great Sand Dunes National Park, </DOC>
                    <PGS>57074-57075</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23370</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>National Telecommunications</EAR>
            <HD>National Telecommunications and Information Administration</HD>
            <CAT>
                <HD>RULES</HD>
                <DOCENT>
                    <DOC>Manual of Regulations and Procedures for Federal Radio Frequency Management, </DOC>
                    <PGS>56984-56985</PGS>
                    <FRDOCBP T="15SER1.sgm" D="1">2011-23450</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Nuclear Regulatory</EAR>
            <HD>Nuclear Regulatory Commission</HD>
            <CAT>
                <HD>RULES</HD>
                <DOCENT>
                    <DOC>Licenses, Certifications, and Approvals for Materials Licensees, </DOC>
                    <PGS>56951-56966</PGS>
                    <FRDOCBP T="15SER1.sgm" D="15">2011-23628</FRDOCBP>
                </DOCENT>
            </CAT>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <DOCENT>
                    <DOC>Military Operational Radium-226, </DOC>
                    <PGS>57006-57007</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="1">2011-23636</FRDOCBP>
                </DOCENT>
            </CAT>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Meetings:</SJ>
                <SJDENT>
                    <SJDOC>ACRS Subcommittee on Materials, Metallurgy and Reactor Fuels; Revision, </SJDOC>
                    <PGS>57082</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23627</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR/>
            <HD>Office of United States Trade Representative</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Trade Representative, Office of United States</P>
            </SEE>
        </AGCY>
        <AGCY>
            <EAR>Pension Benefit</EAR>
            <HD>Pension Benefit Guaranty Corporation</HD>
            <CAT>
                <HD>RULES</HD>
                <SJ>Allocation of Assets in Single-Employer Plans:</SJ>
                <SJDENT>
                    <SJDOC>Benefits Payable in Terminated Single-Employer Plans; Interest Assumptions for Valuing and Paying Benefits, </SJDOC>
                    <PGS>56973-56975</PGS>
                    <FRDOCBP T="15SER1.sgm" D="2">2011-23686</FRDOCBP>
                </SJDENT>
            </CAT>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Premium Penalty Relief; Alternative Premium Funding Target Election Relief, </DOC>
                    <PGS>57082-57083</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23692</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Postal Regulatory</EAR>
            <HD>Postal Regulatory Commission</HD>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Post Office Closing, </DOC>
                    <PGS>57083-57087</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23591</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23619</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23674</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Presidential Documents</EAR>
            <HD>Presidential Documents</HD>
            <CAT>
                <HD>PROCLAMATIONS</HD>
                <SJ>Special Observances:</SJ>
                <SJDENT>
                    <SJDOC>National Health Information Technology Week (Proc. 8711), </SJDOC>
                    <PGS>57615-57618</PGS>
                    <FRDOCBP T="15SED0.sgm" D="3">2011-23924</FRDOCBP>
                </SJDENT>
            </CAT>
            <CAT>
                <HD>EXECUTIVE ORDERS</HD>
                <SJ>Government Agencies and Employees:</SJ>
                <SJDENT>
                    <SJDOC>Counterterrorism Communications Support Office; Temporary Establishment (EO 13584), </SJDOC>
                    <PGS>56945-56947</PGS>
                    <FRDOCBP T="15SEE0.sgm" D="2">2011-23891</FRDOCBP>
                </SJDENT>
            </CAT>
            <CAT>
                <HD>ADMINISTRATIVE ORDERS</HD>
                <DOCENT>
                    <DOC>Special Agent Samuel Hicks Families of Fallen Heroes Act; Delegation of Authority (Memorandum of September 12, 2011), </DOC>
                    <PGS>57619-57621</PGS>
                    <FRDOCBP T="15SEO0.sgm" D="2">2011-23937</FRDOCBP>
                </DOCENT>
                <SJ>Trading With the Enemy Act; Continuation of Certain Authorities (Presidential Determination)</SJ>
                <SJDENT>
                    <SJDOC>No. 2011-15 of September 13, 2011, </SJDOC>
                    <PGS>57623</PGS>
                    <FRDOCBP T="15SEO1.sgm" D="0">2011-23938</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Prisons</EAR>
            <HD>Prisons Bureau</HD>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <DOCENT>
                    <DOC>Progress Reports, </DOC>
                    <PGS>57012-57013</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="1">2011-23687</FRDOCBP>
                </DOCENT>
            </CAT>
            <CAT>
                <HD>NOTICES</HD>
                <DOCENT>
                    <DOC>Annual Determination of Average Cost of Incarceration, </DOC>
                    <PGS>57081</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23689</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Securities</EAR>
            <HD>Securities and Exchange Commission</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Applications:</SJ>
                <SJDENT>
                    <SJDOC>Stone Harbor Investment Partners LP, et al., </SJDOC>
                    <PGS>57087-57088</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23604</FRDOCBP>
                </SJDENT>
                <PRTPAGE P="vi"/>
                <SJ>Self-Regulatory Organizations; Proposed Rule Changes:</SJ>
                <SJDENT>
                    <SJDOC>BATS Exchange, Inc., </SJDOC>
                    <PGS>57092-57093</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23606</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>C2 Options Exchange, Inc., </SJDOC>
                    <PGS>57094-57097</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="3">2011-23603</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Chicago Board Options Exchange, Inc., </SJDOC>
                    <PGS>57097-57100</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="3">2011-23602</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>Chicago Stock Exchange, Inc., </SJDOC>
                    <PGS>57088-57090</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23597</FRDOCBP>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23607</FRDOCBP>
                </SJDENT>
                <SJDENT>
                    <SJDOC>NASDAQ OMX PHLX LLC, </SJDOC>
                    <PGS>57090-57092</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23608</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Small Business</EAR>
            <HD>Small Business Administration</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Disaster Declarations:</SJ>
                <SJDENT>
                    <SJDOC>New Hampshire, </SJDOC>
                    <PGS>57100</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="0">2011-23565</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Tennessee</EAR>
            <HD>Tennessee Valley Authority</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Natural Resource Plan:</SJ>
                <SJDENT>
                    <SJDOC>Issuance of Record of Decision, </SJDOC>
                    <PGS>57100-57102</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="2">2011-23610</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Trade Representative</EAR>
            <HD>Trade Representative, Office of United States</HD>
            <CAT>
                <HD>NOTICES</HD>
                <SJ>Request for Comments:</SJ>
                <SJDENT>
                    <SJDOC>Two-Year Extension of Softwood Lumber Agreement, </SJDOC>
                    <PGS>57102-57103</PGS>
                    <FRDOCBP T="15SEN1.sgm" D="1">2011-23676</FRDOCBP>
                </SJDENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Transportation Department</EAR>
            <HD>Transportation Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Federal Aviation Administration</P>
            </SEE>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>National Highway Traffic Safety Administration</P>
            </SEE>
            <CAT>
                <HD>RULES</HD>
                <DOCENT>
                    <DOC>Greenhouse Gas Emissions Standards and Fuel Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles, </DOC>
                    <PGS>57106-57513</PGS>
                    <FRDOCBP T="15SER2.sgm" D="407">2011-20740</FRDOCBP>
                </DOCENT>
            </CAT>
            <CAT>
                <HD>PROPOSED RULES</HD>
                <DOCENT>
                    <DOC>Smoking of Electronic Cigarettes on Aircraft, </DOC>
                    <PGS>57008-57012</PGS>
                    <FRDOCBP T="15SEP1.sgm" D="4">2011-23673</FRDOCBP>
                </DOCENT>
            </CAT>
        </AGCY>
        <AGCY>
            <EAR>Treasury</EAR>
            <HD>Treasury Department</HD>
            <SEE>
                <HD SOURCE="HED">See</HD>
                <P>Internal Revenue Service</P>
            </SEE>
        </AGCY>
        <PTS>
            <HD SOURCE="HED">Separate Parts In This Issue</HD>
            <HD>Part II</HD>
            <DOCENT>
                <DOC>Environmental Protection Agency, </DOC>
                <PGS>57106-57513</PGS>
                <FRDOCBP T="15SER2.sgm" D="407">2011-20740</FRDOCBP>
            </DOCENT>
            <DOCENT>
                <DOC>Transportation Department, </DOC>
                <PGS>57106-57513</PGS>
                <FRDOCBP T="15SER2.sgm" D="407">2011-20740</FRDOCBP>
            </DOCENT>
            <HD>Part III</HD>
            <DOCENT>
                <DOC>Energy Department, </DOC>
                <PGS>57516-57613</PGS>
                <FRDOCBP T="15SER3.sgm" D="96">2011-22329</FRDOCBP>
                <FRDOCBP T="15SER3.sgm" D="1">2011-22330</FRDOCBP>
            </DOCENT>
            <HD>Part IV</HD>
            <DOCENT>
                <DOC>Presidential Documents, </DOC>
                <PGS>57615-57618</PGS>
                <FRDOCBP T="15SED0.sgm" D="3">2011-23924</FRDOCBP>
            </DOCENT>
            <HD>Part V</HD>
            <DOCENT>
                <DOC>Presidential Documents, </DOC>
                <PGS>57619-57621, 57623</PGS>
                <FRDOCBP T="15SEO0.sgm" D="2">2011-23937</FRDOCBP>
                <FRDOCBP T="15SEO1.sgm" D="0">2011-23938</FRDOCBP>
            </DOCENT>
        </PTS>
        <AIDS>
            <HD SOURCE="HED">Reader Aids</HD>
            <P>Consult the Reader Aids section at the end of this page for phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws.</P>
            <P>To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http://listserv.access.gpo.gov and select Online mailing list archives, FEDREGTOC-L, Join or leave the list (or change settings); then follow the instructions.</P>
        </AIDS>
    </CNTNTS>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Rules and Regulations</UNITNAME>
    <RULES>
        <RULE>
            <PREAMB>
                <PRTPAGE P="56949"/>
                <AGENCY TYPE="F">DEPARTMENT OF AGRICULTURE</AGENCY>
                <SUBAGY>Commodity Credit Corporation</SUBAGY>
                <CFR>7 CFR Part 1450</CFR>
                <RIN>RIN 0560-AI13</RIN>
                <SUBJECT>Biomass Crop Assistance Program; Corrections</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Commodity Credit Corporation and Farm Service Agency, USDA.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Interim rule; correction.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Commodity Credit Corporation (CCC) is amending the Biomass Crop Assistance Program (BCAP) regulation to provide specifically for prioritizing limited program funds in favor of the “project area” portion of BCAP. CCC is also correcting errors in the regulation.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Effective Date:</E>
                         September 15, 2011.
                    </P>
                    <P>
                        <E T="03">Comment Date:</E>
                         We will consider comments that we receive by November 14, 2011.
                    </P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        We invite you to submit comments on this interim rule. In your comment, include the Regulation Identifier Number (RIN) and the volume, date, and page number of this issue of the 
                        <E T="04">Federal Register</E>
                        . You may submit comments by any of the following methods:
                    </P>
                    <P>
                        • 
                        <E T="03">Federal eRulemaking Portal:</E>
                         Go to 
                        <E T="03">http://www.regulations.gov.</E>
                         Follow the online instructions for submitting comments.
                    </P>
                    <P>
                        • 
                        <E T="03">Mail:</E>
                         Kelly Novak, BCAP Program Manager, Conservation and Environmental Program Division, FSA, United States Department of Agriculture (USDA), Mail Stop 0513, 1400 Independence Avenue, SW., Washington, DC 20250-0513.
                    </P>
                    <P>
                        • 
                        <E T="03">Hand Delivery or Courier:</E>
                         Deliver comments to the above address.
                    </P>
                    <P>All written comments will be available for public inspection at the above address during business hours from 8 a.m. to 5 p.m., Monday through Friday, except holidays.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION, CONTACT: </HD>
                    <P>
                        Kelly Novak, 
                        <E T="03">phone:</E>
                         (202) 720-4053. Persons with disabilities or who require alternative means for communication (Braille, large print, audio tape, 
                        <E T="03">etc.</E>
                        ) should contact the USDA Target Center at (202) 720-2600 (voice and TDD).
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">Background</HD>
                <P>CCC published a final rule on October 27, 2010 (75 FR 66202-66243) implementing BCAP as authorized by the Food, Conservation, and Energy Act of 2008 (the 2008 Farm Bill, Pub. L. 110-246). Section 9001 of the 2008 Farm Bill authorized such sums as necessary for BCAP. The Supplemental Appropriations Act, 2010 (Pub. L. 111-212) enacted on July 29, 2010, limited BCAP funding to $552 million in fiscal year 2010 and $432 million in fiscal year 2011. The Department of Defense and Full-Year Continuing Appropriations Act, 2011 (Pub. L. 112-10, referred to as the 2011 Appropriations Act) enacted on April 15, 2011, reduced further the total amount of money available for BCAP in FY 2011 to $112 million.</P>
                <P>BCAP has two parts—one is for `project areas' to support the establishment of new sources of bioenergy. CCC provides establishment and annual payments to agricultural and forest land owners for the production of new crops for bioenergy and bio-based products. The other part of BCAP is for matching payments for the collection, harvest, storage and transportation (CHST) of existing sources of biomass. The limited funding available for BCAP means that not all BCAP requests can be funded. This interim rule explicitly provides a priority for funding establishment and annual payments for project area activities because such activities will produce the greatest long term good in BCAP by providing an on-going supply of new biomass. CHST would only be funded if resources are available after funding all eligible project area applications. The rule also enables prioritization among project area proposals if eligible requests exceed available funding. Future funding for BCAP could make such prioritizing unnecessary.</P>
                <P>Under prioritization, FSA will issue a notice inviting project area proposals by a specified deadline. Applicants will be given at least 30 days to prepare their proposals. After the application period closes, FSA will review all proposals as a batch against a set of selection criteria, including, but not limited to, the following criteria as specified in 7 CFR 1450.202(a):</P>
                <P>(1) The dry tons of the eligible crops proposed to be produced in the proposed project area and the probability that such crops will be used for BCAP purposes;</P>
                <P>(2) The dry tons of renewable biomass projected to be available from sources other than the eligible crops grown on contract acres;</P>
                <P>(3) The anticipated economic impact in the proposed project area;</P>
                <P>(4) The opportunity for producers and local investors to participate in the ownership of the biomass conversion facility in the proposed project area;</P>
                <P>(5) The participation rate by beginning or socially disadvantaged farmers or ranchers;</P>
                <P>(6) The impact on soil, water, and related resources;</P>
                <P>(7) The variety in biomass production approaches within a project area, including agronomic conditions, harvest and postharvest practices, and monoculture and polyculture crop mixes; and</P>
                <P>(8) The range of eligible crops among project areas.</P>
                <P>This interim rule also makes technical changes to the existing regulations to clarify a provision dealing with the eligibility of woody materials from forest lands, and corrects the use of the word “chapter” instead of “title,” and the word “applies” instead of “apply.” The clarification of the woody material eligibility provision is needed because as inadvertently written in the previous final rule, any herbaceous biomass (such as switchgrass) would not qualify for a matching payment unless it was removed to reduce forest fire, disease or insect infestation, or restore forest ecosystem health—conditions that are intended for woody biomass outside of BCAP project areas. The clarifying change would not affect woody biomass eligibility; rather it ensures that all herbaceous biomass (not just crop residues) qualifies for matching payments.</P>
                <P>
                    In addition, during our review of the final rule, we discovered a few inconsistencies between the text in the 
                    <PRTPAGE P="56950"/>
                    preamble and the rule. Those inconsistencies do not require corrections to the rule, therefore, we identified the problems and the correct text in a separate document. That clarification document further describes these corrections and is available on the FSA Web site at 
                    <E T="03">http://www.fsa.usda.gov/FSA/federalNotices?area=home&amp;subject=lare&amp;topic=frd-ii</E>
                     and on 
                    <E T="03">regulations.gov.</E>
                </P>
                <HD SOURCE="HD1">Notice and Comment</HD>
                <P>
                    Because this rule addresses an immediate need produced by a change in the funding level for BCAP and otherwise makes technical changes, it has been determined that it would be contrary to the public interest to delay the effective date of this rule. Therefore, prior comment and a delay in the effective date of this rule are not required by the Administrative Procedures Act (5 U.S.C. 553), the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), or by the memorandum of the Secretary of Agriculture published in the 
                    <E T="04">Federal Register</E>
                     on July 24, 1971 (36 FR 13804).
                </P>
                <HD SOURCE="HD1">Executive Order 12866</HD>
                <P>The Office of Management and Budget (OMB) designated this rule as significant under Executive Order 12866, “Regulatory Planning and Review,” and has reviewed this rule. A summary of the cost benefit analysis is provided below and is available from the contact information listed above.</P>
                <HD SOURCE="HD1">Summary of Costs and Benefits</HD>
                <P>This interim rule will allow CCC to prioritize available funds for the establishment of BCAP crops to maximize the benefits of BCAP. For FY2011, $196 million was initially made available to CCC, reflecting the estimate in the cost-benefit analysis accompanying the BCAP final rule and the authority in the 2008 Farm Bill for “such sums as are necessary” from CCC to operate the program. The 2011 Appropriations Act provides a final level of funding for BCAP in FY 2011 of $112 million, a reduction of $84 million from the previously available amount. In 2011, CCC received over 40 project area proposals well exceeding $160 million in funding need, therefore exceeding available funding. Given the limits in appropriated funds and the prioritization provisions of this interim rule, the cost of BCAP is therefore estimated to be $112 million in 2011. In FY 2011, $83.2 million of the total annual cost is estimated to be establishment and annual payments for project areas including technical assistance, with the remaining costs comprising CHST payments and a 1 percent reserve.</P>
                <HD SOURCE="HD1">Regulatory Flexibility Act</HD>
                <P>It has been determined that the Regulatory Flexibility Act is not applicable to this interim rule because CCC is not required by 5 U.S.C. 553 or any other provision of law to publish a notice of proposed rulemaking for this rule. As noted above in the Notice and Comment section, CCC is using the good cause justification of the Administrative Procedures Act to issue an interim rule effective on publication with an opportunity for comment.</P>
                <HD SOURCE="HD1">Environmental Review</HD>
                <P>The environmental impacts of this rule have been considered in a manner consistent with the provisions of the National Environmental Policy Act (NEPA, 42 U.S.C. 4321-4347), the regulations of the Council on Environmental Quality (40 CFR parts 1500-1508), and FSA regulations for compliance with NEPA (7 CFR part 799). The technical corrections identified in this interim rule do not change the structure or goals of BCAP and can be considered simply administrative in nature. Therefore, CCC has determined that NEPA does not apply to this interim rule and no environmental assessment or environmental impact statement will be prepared.</P>
                <HD SOURCE="HD1">Executive Order 12372</HD>
                <P>Executive Order 12372, “Intergovernmental Review of Federal Programs,” requires consultation with State and local officials. The objectives of the Executive Order are to foster an intergovernmental partnership and a strengthened Federalism, by relying on State and local processes for State and local government coordination and review of proposed Federal Financial assistance and direct Federal development. This rule neither provides Federal financial assistance or direct Federal development; it does not provide either grants or cooperative agreements. Therefore, this program is not subject to Executive Order 12372.</P>
                <HD SOURCE="HD1">Executive Order 12988</HD>
                <P>This rule has been reviewed under Executive Order 12988, “Civil Justice Reform.” The provisions of this rule will not have preemptive effect with respect to any State or local laws, regulations, or policies that conflict with such provision or which otherwise impede their full implementation. The rule will not have retroactive effect. Before any judicial action may be brought regarding this rule, all administrative remedies must be exhausted.</P>
                <HD SOURCE="HD1">Executive Order 13132</HD>
                <P>This rule has been reviewed under Executive Order 13132, “Federalism.” The policies contained in this rule will not have any substantial direct effect on States, the relationship between the Federal Government and the States, or the distribution of power and responsibilities among the various levels of government. Nor would this rule impose substantial direct compliance costs on State and local governments. Therefore, consultation with the States is not required.</P>
                <HD SOURCE="HD1">Executive Order 13175</HD>
                <P>This rule has been reviewed for compliance with Executive Order 13175, “Consultation and Coordination with Indian Tribal Governments.” The policies contained in this rule do not have tribal implications that preempt tribal law.</P>
                <HD SOURCE="HD1">Unfunded Mandates</HD>
                <P>Title II of the Unfunded Mandate Reform Act of 1995 (UMRA, Pub. L. 104-4) requires Federal agencies to assess the effects of their regulatory actions on State, local, or tribal governments or the private sector. Agencies generally must prepare a written statement, including a cost benefit analysis, for proposed and final rules with Federal mandates that may result in expenditures of $100 million or more in any 1 year for State, local, or tribal governments, in the aggregate, or to the private sector. UMRA generally requires agencies to consider alternatives and adopt the more cost effective or least burdensome alternative that achieves the objectives of the rule. This rule contains no Federal mandates under the regulatory provisions of Title II of the Unfunded Mandates Reform Act of 1995 (UMRA, Pub. L. 104-4) for State, local, or tribal governments, or the private sector. In addition, CCC is not required to publish a notice of proposed rulemaking for this rule. Therefore, this interim rule is not subject to the requirements of sections 202 and 205 of UMRA.</P>
                <HD SOURCE="HD1">Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA)</HD>
                <P>
                    This rule has not been determined to be major under SBREFA (Pub. L. 104-121). SBREFA normally requires that an agency delay the effective date of a major rule for 60 days from the date of publication to allow for Congressional review. Section 808 of SBREFA allows an agency to make a major regulation effective immediately if the agency 
                    <PRTPAGE P="56951"/>
                    finds, as was set out above, there is good cause to do so.
                </P>
                <HD SOURCE="HD1">Paperwork Reduction Act</HD>
                <P>The information collection required for this rule has been approved by OMB under OMB control number 0560-0082.</P>
                <HD SOURCE="HD1">E-Government Act Compliance</HD>
                <P>CCC is committed to complying with the E-Government Act, to promote the use of the Internet and other information technologies to provide increased opportunities for citizen access to Government Information and services, and for other purposes.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 7 CFR Part 1450</HD>
                    <P>Administrative practice and procedure, Agriculture, Energy, Environmental protection, Grant programs—agriculture, Natural resources, Reporting and recordkeeping requirements, Technical assistance.</P>
                </LSTSUB>
                <P>For the reasons discussed above, this rule corrects and amends 7 CFR part 1450 as follows:</P>
                <REGTEXT TITLE="7" PART="1450">
                    <PART>
                        <HD SOURCE="HED">PART 1450—BIOMASS CROP ASSISTANCE PROGRAM (BCAP)</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for part 1450 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P> 7 U.S.C. 8111.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="7" PART="1450">
                    <AMDPAR>2. Amend § 1450.1 to add paragraph (f) to read as set forth below:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 1450.1 </SECTNO>
                        <SUBJECT>Administration.</SUBJECT>
                        <STARS/>
                        <P>(f) Subject to the availability of funds and all other eligibility provisions of this part, this part provides the terms, conditions and requirements of BCAP. In the event that CCC determines that available funds are insufficient to accommodate the demand for establishment and annual payments as well as all potential applications for matching payments for collection, harvest, storage, and transportation of eligible material, without any advance notice other than that stated here, CCC may prioritize the expenditure of program funds in favor of funding for the selection of BCAP project areas and the establishment and annual payments related to those project areas, and may make such other priorities in approvals that will, in the determination of the Deputy Administrator, advance the purposes of BCAP.</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 1450.2 </SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="7" PART="1450">
                    <AMDPAR>3. Amend § 1450.2(a) by removing the word “chapter” and adding, in its place, the word “title”.</AMDPAR>
                </REGTEXT>
                <REGTEXT TITLE="7" PART="1450">
                    <SECTION>
                        <SECTNO>§ 1450.5 </SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                    </SECTION>
                    <AMDPAR>4. Amend § 1450.5, in paragraph (a), by removing the word “applies” and adding, in its place, the word “apply”.</AMDPAR>
                </REGTEXT>
                <REGTEXT TITLE="7" PART="1450">
                    <SECTION>
                        <SECTNO>§ 1450.102 </SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                    </SECTION>
                    <AMDPAR>5. Amend § 1450.102, in paragraph (a)(3), by removing the words “not crop residues” and adding, in their place, the words “woody eligible material collected and harvested on land other than contract acreage”.</AMDPAR>
                </REGTEXT>
                <REGTEXT TITLE="7" PART="1450">
                    <SECTION>
                        <SECTNO>§ 1450.206 </SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                    </SECTION>
                    <AMDPAR>6. Amend § 1450.206, in paragraph (a)(3), by removing the word “chapter” and adding, in its place, the word “title”.</AMDPAR>
                </REGTEXT>
                <SIG>
                    <DATED>Signed on September 6, 2011.</DATED>
                    <NAME>Bruce Nelson,</NAME>
                    <TITLE>Executive Vice President, Commodity Credit Corporation.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23596 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3410-05-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="N">NUCLEAR REGULATORY COMMISSION</AGENCY>
                <CFR>10 CFR Parts 30, 36, 39, 40, 51, 70, and 150</CFR>
                <DEPDOC>[NRC-2010-0075]</DEPDOC>
                <RIN>RIN 3150-AI79</RIN>
                <SUBJECT>Licenses, Certifications, and Approvals for Materials Licensees</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Nuclear Regulatory Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The U.S. Nuclear Regulatory Commission (NRC or the Commission) is amending its regulations by revising the provisions applicable to the licensing and approval processes for byproduct, source and special nuclear materials licenses, and irradiators. The changes will clarify the definitions of “construction” and “commencement of construction” with respect to materials licensing actions conducted under the NRC's regulations. The NRC is adopting these changes to further improve the effectiveness and efficiency of the licensing and approval processes for future materials license applications, as well as to eliminate certain inconsistencies that currently exist within the NRC's regulations with respect to the use and definition of the terms “construction” or “commencement of construction” for certain materials licensees for purposes of its environmental reviews.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This final rule is effective on November 14, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>You can access publicly available documents related to this document using the following methods:</P>
                    <P>
                        • 
                        <E T="03">NRC's Public Document Room (PDR):</E>
                         The public may examine and have copied, for a fee, publicly available documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852.
                    </P>
                    <P>
                        • 
                        <E T="03">NRC's Agencywide Documents Access and Management System (ADAMS):</E>
                         Publicly available documents created or received at the NRC are available electronically at the NRC Public Library at 
                        <E T="03">http://www.nrc.gov/reading-rm/adams.html.</E>
                         From this page, the public can gain entry into ADAMS, which provides text and image files of the NRC's public documents. If you do not have access to ADAMS or if there are problems in accessing the documents located in ADAMS, contact the NRC's PDR reference staff at 1-800-397-4209, 301-415-4737, or by e-mail to 
                        <E T="03">pdr.resource@nrc.gov.</E>
                    </P>
                    <P>
                        • 
                        <E T="03">Federal Rulemaking Web Site:</E>
                         Public comments and supporting materials related to this final rule can be found at 
                        <E T="03">http://www.regulations.gov</E>
                         by searching on Docket ID NRC-2010-0075. Address questions about NRC dockets to Carol Gallagher, telephone: 301-492-3668; e-mail: 
                        <E T="03">Carol.Gallagher@nrc.gov.</E>
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Ms. Tracey Stokes, Office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; telephone: 301-415-1064; e-mail: 
                        <E T="03">Tracey.Stokes@nrc.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <EXTRACT>
                    <FP SOURCE="FP-2">I. Background</FP>
                    <FP SOURCE="FP-2">II. Summary and Analysis of Public Comments on the Proposed Rule</FP>
                    <FP SOURCE="FP-2">III. Discussion</FP>
                    <FP SOURCE="FP-2">IV. Section-by-Section Analysis</FP>
                    <FP SOURCE="FP-2">V. Agreement State Compatibility</FP>
                    <FP SOURCE="FP-2">VI. Voluntary Consensus Standards</FP>
                    <FP SOURCE="FP-2">VII. Environmental Impact—Categorical Exclusion</FP>
                    <FP SOURCE="FP-2">VIII. Paperwork Reduction Act Statement</FP>
                    <FP SOURCE="FP-2">IX. Regulatory Analysis</FP>
                    <FP SOURCE="FP-2">X. Regulatory Flexibility Certification</FP>
                    <FP SOURCE="FP-2">XI. Backfit Analysis</FP>
                    <FP SOURCE="FP-2">XII. Congressional Review Act</FP>
                </EXTRACT>
                <HD SOURCE="HD1">I. Background</HD>
                <P>
                    On July 27, 2010 (75 FR 43865), the NRC published a proposed rule, “Licenses, Certifications, and Approvals for Materials Licenses.” The rule proposed to amend the NRC's regulations to clarify the definitions of “construction” and “commencement of construction” applicable to the licensing and approval processes for byproduct, source and special nuclear materials licenses, and irradiators. The 
                    <PRTPAGE P="56952"/>
                    proposed rule sought to eliminate the differences that exist between the NRC's definition of construction and its use for nuclear power reactor licensing, materials licensing, and for purposes of environmental reviews.
                </P>
                <P>The inconsistencies that exist arose after the NRC modified the definition of “construction” applicable to nuclear power reactors and to the NRC environmental review regulations, but did not make comparable changes to its materials licensing regulations. On October 9, 2007 (72 FR 57416; corrected at 73 FR 22786 (April 28, 2008)), the NRC had amended the definition of “construction” for utilization and production facilities and amended the limited work authorization (LWA) procedures for nuclear power plants (LWA Rulemaking). As part of that rulemaking, the Commission revised the scope of activities that are considered construction and for which a construction permit, combined license, or LWA is necessary; specified the scope of construction activities that may be performed under an LWA; changed the review and approval process for LWA requests; and clarified the environmental review process for these activities.</P>
                <P>
                    Since the completion of the LWA Rulemaking, activities that do not constitute construction under Title 10 of the 
                    <E T="03">Code of Federal Regulations</E>
                     (10 CFR) Parts 50, 51, and 52, are currently classified as construction under 10 CFR parts 30, 36, 40, 70, and 150. As such, the site preparation activity from which a materials license applicant, including a licensee applying for an amendment to an existing license, is currently prohibited from engaging are the same activities that the NRC determined in the LWA Rulemaking were not within the scope of the NRC's licensing authority. Materials license applicants and licensees, as well as the NRC's staff, have struggled with this inconsistency. The rules adopted herein eliminate this inconsistency.
                </P>
                <HD SOURCE="HD1">II. Summary and Analysis of Public Comments on the Proposed Rule</HD>
                <HD SOURCE="HD2">A. Summary of Public Comments</HD>
                <P>
                    The proposed rule was published on July 27, 2010 (75 FR 43865), with a 60-day comment period, which ended on September 27, 2010. The comment period was subsequently reopened and extended to November 29, 2010 (75 FR 60341; September 30, 2010). The NRC received 12 public comments on the proposed rule. The commenters include four members of the public, three industry organizations, two public interest and consumer advocacy groups,
                    <SU>1</SU>
                    <FTREF/>
                     one company which indicated an intent to apply for a materials license, one law school environmental law clinic, and one anonymous commenter.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         One of the comments referenced was a joint submission on behalf of seven consumer advocacy organizations.
                    </P>
                </FTNT>
                <P>Two of the comments received generally supported the NRC's decision to issue the proposed rule. Three of the comments, while critical of the proposed rule or its applicability to certain materials licenses at all, provided specific comment with respect to the proposed language. Seven of the comments received were opposed to the proposed rule, stating as their main objection their belief that the proposed rule is contrary to, and would negatively impact the NRC's implementation of the National Environmental Policy Act of 1969, as amended (NEPA), and other Federal environmental or conservancy statutes such as, the Bald Eagle Protection Act of 1940, the Endangered Species Act of 1973, the Fish and Wildlife Coordination Act of 1934, the Migratory Bird Conservation Act, and the National Historic Preservation Act of 1966, as amended.</P>
                <P>The proposed rule also solicited comments on the utility of an LWA process specific to materials licenses. Four of the twelve commenters addressed this issue, and of the four, one was opposed, claiming that such a process would violate NEPA, and the remaining three indicated that there was some merit in the endeavor, and provided comments on the potential designs of such a process.</P>
                <HD SOURCE="HD2">B. NRC Response to Public Comments</HD>
                <P>
                    The NRC has carefully considered the public comments received. The comments have been organized by topic (
                    <E T="03">e.g.,</E>
                     Compliance with NEPA) followed by the NRC response. As will be further discussed, the NRC has decided to adopt a final rule substantially similar to that included in the proposed rule. As is also discussed, the NRC has decided not to adopt a specific LWA process for materials licenses, at this time.
                </P>
                <HD SOURCE="HD3">1. Compliance With NEPA</HD>
                <P>
                    <E T="03">Comment:</E>
                     Several of the commenters state that the proposed changes in the definitions of “construction” and “commencement of construction” would violate NEPA, as it would allow materials license applicants to take action that would have significant environmental impacts with no NRC oversight or environmental review. The commenters state that the proposed rule would allow the framework for an entire materials license facility to be prepared and significant environmental impacts to occur without undergoing any meaningful environmental or safety oversight, review or analysis. The commenters maintain that if the contemplated site preparation activities are permitted, the NRC would miss out on the opportunity to catch possible environmental damage early and to require mitigative measures necessary to lessen this damage. The commenters stress that the proposed rule would result in the impermissible segmentation of the licensing action, which could result in the NRC not considering the full effect of the Federal action upon the environment.
                </P>
                <P>
                    <E T="03">Response:</E>
                     As explained in more detail in Section III, Discussion, the NRC disagrees with the commenters. The rule being adopted by the NRC is not intended to thwart or avoid the environmental review requirements of NEPA. The NRC will continue to implement NEPA on the totality of its licensing action. Site preparation activities, which are private actions, will be considered by the NRC in accordance with its regulations in 10 CFR part 51 as part of the agency's cumulative impacts analysis.
                </P>
                <P>The NRC, through this rulemaking, is not authorizing any individual to engage in specific site preparation activities. Rather, the NRC is identifying those specific activities that are not subject to its regulatory authority. The private site preparation activities that occur, while not subject to NRC authority, in all likelihood are subject to regulatory authority of another Federal, State or local agency, through either a permitting or licensing process. Such Federal, State or local authority with permitting or licensing jurisdiction over private site preparation activities would be the proper entity to consider concerns pertaining to the activities, including the potential triggering of NEPA or State environmental review requirements as appropriate. The NRC would consider any request from another Federal, State or local agency with authority over the private action for the NRC to be a cooperating agency on a case-by-case basis within the scope of the NRC's jurisdictional authority and any applicable Memorandum of Understanding.</P>
                <P>
                    <E T="03">Comment:</E>
                     Several of the commenters state that the NRC's proposed rule does not fall within the categorical exclusions described in § 51.22(c)(1), (c)(2), and (c)(3)(1), as it is more than administrative in nature. Instead, the commenters stated that the proposed rule would have the effect of 
                    <PRTPAGE P="56953"/>
                    deregulating a substantial amount of construction activity related to materials licensing, and as such, is itself a major action that requires an NEPA environmental review.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC disagrees with this comment. The NRC's determination with respect to the definition of “construction” originally occurred in the 2007 LWA Rulemaking. This rule merely conforms the definitions in Parts 30, 36, 40, 70 and 150 to the definitions that have been present in Part 51 for several years through the LWA Rulemaking. The NRC is making no new determinations regarding the definition of construction for purposes of Part 51 through this rule, but rather is assuring Part 51's definition clearly applies consistently across NRC licensing activities. Accordingly, this rule meets the categorical exclusions described in § 51.22(c)(1) which expressly excludes amendments to Part 150; § 51.22(c)(2) which excludes amendments to the NRC regulations that are corrective or of a minor or nonpolicy nature; and § 51.22(3)(i) which excludes amendments to the NRC regulations that relate to procedures for filing and reviewing applications for licenses or other forms of permission.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     Several commenters question whether the NRC has consulted with and obtained comments from other Federal agencies, including the Council on Environmental Quality, State Historic Preservation Officers, or Native American Tribes.
                </P>
                <P>
                    <E T="03">Response:</E>
                     This rule was available for public comment for four months, and any interested government or private agency or entity could have provided comments during that time. The NRC did not separately invite other Federal agencies, State Historic Preservation Officers, or Native American Tribes to comment on this rule. While the NRC did not separately invite these entities to comment on this rule, we note that in the LWA Rulemaking through which the amended “construction” definition was originally implemented with respect to some of the NRC's licensees, the NRC did informally contact several Federal agencies for the purpose of seeking their comments on the supplemental proposed LWA rule. These Federal agencies were the Council on Environmental Quality, the U.S. Environmental Protection Agency (EPA), the Federal Energy Regulatory Commission, and the U.S. Department of the Interior, Fish, and Wildlife Service.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that the proposed rule change is based on a false premise; 
                    <E T="03">i.e.,</E>
                     that NEPA is a purely procedural statute.
                </P>
                <P>
                    <E T="03">Response:</E>
                     As discussed in more detail in Section III, Discussion, the Federal judiciary has consistently held that NEPA is a procedural statute, and as such it cannot expand the statutory authority of the NRC to regulate non-radiological hazards.
                </P>
                <HD SOURCE="HD3">2. LWA Process for Materials Licenses</HD>
                <P>Four commenters provided comments in response to the NRC's question regarding whether an LWA process is appropriate. One commenter opposed such a process, claiming that an LWA process for materials licenses would result in segmentation of the major Federal action and would violate NEPA. The remaining three commenters were supportive of an LWA process.</P>
                <P>
                    One commenter states that an LWA process would permit only limited construction activities and the environmental impacts associated with activities would be evaluated in an Environmental Impact Statement (EIS) before the LWAs would be issued. However, that commenter also suggests that the NRC lacks the statutory authority to restrict the construction activities of some materials licensees, although the commenter did not identify which materials licensees were affected. This commenter offered suggested changes to the proposed rule. As an initial matter, the commenter suggests that the NRC revise the proposed rule to eliminate the concept of “commencement of construction.” This particular proposal is based, in part, on the commenter's belief that the NRC lacks the statutory authority necessary to prohibit a materials license applicant from engaging in construction. As is discussed further in Section III, Discussion, the NRC disagrees with this proposition. The Atomic Energy Act of 1954, as amended (AEA), confers on the NRC the authority to establish by rule and regulation such standards as the NRC “deems necessary or desirable” to ensure the public health and safety from radiological hazards, including limitations on an applicant's or licensee's ability to engage in construction. 
                    <E T="03">See</E>
                     § 161.b of the AEA. The NRC also disagrees with the commenter's claim that the term “commencement of construction” is no longer necessary for materials licenses. The term “commencement of construction” operates to place the materials license applicant on notice that a site preparation activity may also be considered as construction requiring prior NRC approval if it has a reasonable nexus to radiological health and safety or common defense and security. Accordingly, this final rule language will retain the definition for “commencement of construction.” Finally, this commenter also suggested other minor textual changes to the proposed rule that the NRC does not believe necessary for the purposes of this rule.
                </P>
                <P>
                    The remaining two commenters address an LWA-like process that would be applicable primarily to 
                    <E T="03">in situ</E>
                     uranium recovery (ISR) licensees. The commenters state as an initial proposition that § 40.32(e) is not applicable to ISR licensees and is only applicable to conventional uranium mill operations which produce byproduct material as tailings. According to the commenters, ISRs do not produce large quantities of uranium mill tailings and do not require any tailings disposal areas because liquid waste can be disposed of using a Class I underground-injection-control (UIC) deep-disposal well or evaporation ponds. The NRC disagrees with this rationale. The ISRs require a Part 40 license in order to operate a facility to process radioactive source material. The ISR process produces radioactive waste, in particular 11e.(2) byproduct material. As is discussed further in Section III of this Statement of Considerations (SOC), the NRC's prohibition against construction is applicable to all materials licenses issued under Parts 30, 40, and 70. There is no exception for ISR licensees.
                </P>
                <P>
                    With respect to the proposed rule, the commenters stated that the proposed rule is too narrowly interpreted to meet the needs of ISR licensees. The commenters propose that the list of items that are not construction be modified to include: Wellfields (injection, production/extraction, and monitor well networks); administrative and other buildings and site roads and infrastructure intended to handle or process AEA material; and the central processing plant. The NRC is not adopting the commenters' proposal. Most of the listed construction activities when complete would be utilized to handle, use, process, or store radioactive material; therefore, such activities would be viewed as having a reasonable nexus to radiological health and safety or common defense and security, and hence would be considered construction. The only exception would be with respect to administrative and other buildings, and site roads and infrastructure. The commenter indicates that this category of actions would include not only construction of buildings that would eventually be used to handle AEA materials, but also construction of buildings and facilities that are not specific to the NRC license or radioactive materials. This latter 
                    <PRTPAGE P="56954"/>
                    category of buildings and facilities may fall within the definition of site preparation activity, but ultimately the determining factor will be whether the proposed activity has a reasonable nexus to radiological health and safety or the common defense and security. Objectively, the NRC can indicate that construction of a building or facility intended to house or handle radioactive material would be considered a construction activity subject to the prohibition in § 40.32(3).
                </P>
                <P>With respect to their proposed LWA-like process, these commenters also suggest a three-tier process that permits certain pre-licensing construction activities. Tier 1 would identify those construction activities that could occur prior to licensing without staff approval. Tier 2 would identify those construction activities that could occur prior to licensing with staff's approval. Tier 3 would identify those construction activities that could only occur after licensing.</P>
                <P>Given the diverse nature of materials licensees, the NRC would need to develop a thorough and comprehensive LWA program that would be available to all materials licensees to the extent practicable and adequate to ensure that the radiological health and safety of the public and common defense and security is protected. There is insufficient information on the record of this rulemaking from which the NRC can develop such a process or even determine whether such a process is feasible. Thus, the NRC is not establishing an LWA process for materials licenses at this time. The NRC may consider this issue in more detail in a future rulemaking.</P>
                <HD SOURCE="HD3">3. Scope of NRC Authority</HD>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that a company clears land and drives piles for the specific purpose of constructing a materials processing facility; therefore, site preparation activities have a nexus to construction, and the activities fall within the NRC's jurisdiction under the AEA.
                </P>
                <P>
                    <E T="03">Response:</E>
                     As discussed in Section III, Discussion, the NRC statutory authority is limited to ensuring protection of the radiological public health and safety and common defense and security. Certain activities identified as site preparation activities are outside of the scope of the NRC's authority. This rule makes clear that any activity related to the radiological public health and safety or common defense and security is subject to NRC review and regulations. Driving of piles is not specifically identified as a site preparation activity that can be conducted without an NRC license. The SOC on the LWA Rulemaking clarifies that the driving of piles for reactor licensees has a reasonable nexus to radiological health and safety, and/or common defense and security; and therefore would be considered construction subject to NRC authority for reactor licensees. (72 FR at 57428; October 9, 2007). Whether the driving of piles is a site preparation activity for materials licensees (that is, whether the driving of piles has a reasonable nexus to radiological health and safety or common defense and security) would have to be determined on a case-by-case basis with consideration of which activities would be subject to the materials license.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that the NRC should exert jurisdiction over site preparation activities. The commenter concludes that if the NRC does not monitor and evaluate these actions, then no one will.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC is unable to extend its jurisdiction beyond the authority granted in the AEA. As discussed in Section III, Discussion, the AEA expressly limits the NRC's authority to matters concerning the radiological public health and safety and common defense and security and non-radiological hazards to the extent such hazards result from the actual processing or possession of by-product material, and the Commission has determined that this authority does not extend to site preparation activities having no nexus to radiological health and safety or common defense and security. As previously stated, the private site preparation activities that occur, while not subject to NRC authority, may be subject to the regulatory authority of another Federal, State or local agency through either a permitting or licensing process. It is during these other processes that concerns pertaining to the site preparation activities undertaken by potential materials license applicants could be considered by other Federal, State or local entities, including the potential triggering of NEPA or state environmental review requirements as appropriate (for example, a Class III underground injection control permit may require State or EPA approval, and a stormwater discharge permit may require State approval).
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that without NRC regulation and approval of site preparation activities to ensure nuclear projects are conducted conscientiously, materials license applicants will be free to engage in activities that have a reasonable nexus to radiological health and safety at will.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The commenter's assumption is at odds with the proposed rule and this final rule. This final rule expressly prohibits materials license applicants from taking any action, including site preparation activities, if the action has a reasonable nexus to radiological health and safety or the common defense and security.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that just over a year ago, the NRC staff was not in agreement with the ISR industry, yet now the NRC is proposing a rule which largely concedes industry's position; 
                    <E T="03">i.e.,</E>
                     that it should be free of the constraints of § 40.32(e).
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC disagrees. As discussed, ISRs are subject to the constraints of § 40.32(e). This rule assures application of the Part 51 definition of construction consistently across NRC licensing actions and identifies certain site preparation activities that are not construction. The prohibition against construction of the licensed facility prior to the conclusion of the environmental review process remains applicable to all Part 40 materials licensees, including ISRs.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that the AEA includes responsibility for environmental impacts from construction activities at the facility and environmental impacts associated with non-radiological contaminates; therefore, the NRC regulations must not only be protective of the public health and safety and the environment but also include responsibilities for the impacts of non-radiological constituents, protection of cultural resources, and mitigation of any environmental impacts associated with the facility, not just those associated with radiological health and safety or the common defense and security.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC acknowledges that NEPA provides a Federal mandate to evaluate environmental impacts associated with licensing actions. The NRC remains committed to fulfilling these responsibilities. This final rule does not change this commitment. Rather, this final rule identifies certain actions that are outside of the scope of the NRC's licensing authority and for which prior approval from the NRC is not required. Those actions that are beyond the scope of the NRC's authority may later be considered as part of the cumulative impact analysis for purposes of the NRC's NEPA review, if, at a later date, the NRC receives an application for an NRC license for a facility at the site or an amendment to modify an existing materials license.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     Several commenters state that § 40.32(e) does not apply to ISR facilities, as these facilities do not 
                    <PRTPAGE P="56955"/>
                    require the tailings management and disposal facilities required by conventional uranium milling facilities for operations and post-operational long-term control of § 11e.(2) byproduct material onsite.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC disagrees with these comments. As is more fully discussed in subsection (2) of this section and in Section III, Discussion, ISR facilities are subject to the requirements of § 40.32(e).
                </P>
                <P>
                    <E T="03">Comment:</E>
                     Several commenters question whether the NRC has statutory authority to license construction of materials and fuel cycle facilities.
                </P>
                <P>
                    <E T="03">Response:</E>
                     As is more fully discussed in Section III, Discussion, the NRC has authority under the AEA to regulate construction activities of materials and fuel cycle facilities when those activities have a reasonable nexus to radiological health and safety or the common defense and security.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter asks that the NRC reconcile its decision in 
                    <E T="03">Nuclear Fuel Services, Inc.</E>
                     (
                    <E T="03">Erwin, Tennessee</E>
                    ), CLI-03-03, 57 NRC 239 (2003) (
                    <E T="03">Nuclear Fuel Services</E>
                     or 
                    <E T="03">NFS</E>
                    ), with its regulations imposing prohibitions on construction contained in §§ 30.33, 40.32, and 70.23.
                </P>
                <P>
                    <E T="03">Response:</E>
                     In 
                    <E T="03">Nuclear Fuel Services,</E>
                     an existing licensee, NFS, requested NRC authority to amend its license to permit the production of low enriched uranium (LEU) oxide, receipt and storage of LEU nitrate, downblending of high enriched uranium to LEU, and conversion of LEU nitrate to LEU oxide. The license amendment(s) resulted in the creation of an additional complex (three new buildings) on the licensee's site. The applicable regulation, § 70.23(e), prohibits construction at the facility prior to conclusion of the environmental review. Violation of this prohibition could result in denial of the license amendments. The NRC staff had completed the environmental review for the first of the three license amendments. Several organizations jointly petitioned the NRC to enjoin all construction activities that had begun on the building associated with the first amendment, as well as enjoin NFS from commencing construction on the buildings associated with the remaining two license amendments. The Petitioners acknowledged that some of the activities for which it was seeking the injunction did not require NRC approval. The Commission treated the Petitioners' request as a petition for enforcement under 10 CFR 2.206, the end result of which would be an enforcement action against the licensee—suspension of construction activities. 
                    <E T="03">Id.</E>
                     at 245. The Commission, after finding it unnecessary to order NFS to cease all construction activities associated with the overall project, denied the Petitioners' request. In reaching this decision, the Commission questioned whether, in the circumstances of that case, it had the authority to halt NFS' pre-licensing construction. 
                    <E T="03">Id.</E>
                     at 246—250. The Commission further went on to opine:
                </P>
                <EXTRACT>
                    <P>
                        We, too, do not understand applicable NRC regulations or statutes to prohibit outright NFS's construction activities. But the Petitioners undoubtedly are correct that our rules “
                        <E T="03">contemplate</E>
                         that construction  * * * should not begin until the NRC has completed its environmental review.” To that effect, both 10 C.F.R. § 51.101(s) and 10 C.F.R. § 70.23(a)(7) discourage construction activities until the Staff has completed an environmental review. * * * Thus, while not absolutely barring prelicensing construction, NRC rules provide a disincentive to early construction by raising the possibility of ultimate denial of the license application should an applicant move forward precipitously, despite open environment issues.
                    </P>
                    <P>In short, NFS proceeds at its own risk with construction activities. If NFS begins or continues to construct buildings associated with license amendments for which the Staff's environmental review is incomplete, NFS's construction may prove grounds for denial of one or more of the license amendments.</P>
                </EXTRACT>
                <FP>
                    <E T="03">Id.</E>
                     at 246—247 (footnotes omitted).
                </FP>
                <P>
                    The decision in 
                    <E T="03">NFS</E>
                     is not contrary to the determinations in this rule, nor does this rule purport to amend the NRC's regulations to impose an outright prohibition on construction activities at the facilities of materials licensees and applicants. Rather, by this rule, the NRC is clarifying that, consistent with 10 CFR part 51, certain site preparation activities undertaken by materials license applicants do not constitute construction. With respect to those activities that could be considered construction, the same regulatory provisions that were applicable in 
                    <E T="03">NFS</E>
                     remain applicable today. As the Commission indicated in 
                    <E T="03">NFS,</E>
                     the NRC's regulations discourage materials license applicants and licensees applying for an amendment to an existing license from engaging in construction activities until after the NRC staff has completed its environmental review, and caution that should an applicant or licensee chose to act prior to that time, that action could result in denial of the license application. Nothing in this rule proposes to change or modify this “discouragement.” Although the industry and the NRC frequently refer to the discouraging provisions in §§ 30.33(a)(5), 40.32(e), and 70.23(a)(7) as a prohibition for ease of reference, it is more of an admonition of the potential consequence of certain actions.
                </P>
                <P>
                    As is discussed in more detail in Section III, Discussion, NEPA is largely a procedural statute, which requires that the NRC undertake environmental review of its licensing actions. In implementing the requirements of NEPA, the NRC has determined in § 51.101(a)(2) that taking action that would have an adverse environmental impact, or would limit the choice of reasonable alternatives may be grounds for denial of a license, and includes within these designations the provisions in §§ 30.33(a)(5), 40.32(e), and 70.23(a)(7). Furthermore, as is also discussed further in Section III, Discussion, § 161.b of the AEA confers on the NRC the authority to establish by rule and regulation such standards as the NRC “deems necessary or desirable” to ensure the public health and safety from radiological hazards, including limitations on an applicant's or licensee's ability to engage in construction, which it did when it initially promulgated §§ 30.33(a)(5), 40.32(e), and 70.23(a)(7). 
                    <E T="03">See</E>
                     § 161.b of the AEA. Although the AEA expressly grants the NRC the authority to license power reactors in separate construction and operational phases, this bi-furcated process is not contemplated within the AEA for materials licenses. Instead, licensing of materials users and their facilities is presumed to be an all-in-one action resulting in a single license authorizing both construction and operations. For example, with respect to enrichment facilities, the AEA indicates that the license being issued is one for construction and operation of a facility. 
                    <E T="03">See</E>
                     § 193 of the AEA. Therefore, while neither NEPA nor the AEA, on their face, specifically require that the NRC establish regulations regarding the timing of the commencement of construction activities by materials applicants and licensees, neither do they prohibit such regulations. Instead, the NRC has been given the authority to promulgate those rules and regulations which it finds necessary or desirable to fulfill its statutory obligation of ensuring the public health and safety from radiological hazards and conducting its regulatory licensing in a manner receptive to environmental concerns. 
                    <E T="03">See</E>
                     § 51.10(b).
                </P>
                <P>
                    It is also important to note that the Commission limited its finding in 
                    <E T="03">Nuclear Fuel Services</E>
                     to the circumstances of that case. Those circumstances consisted of a licensee that had submitted three amendments, NRC staff that had completed its 
                    <PRTPAGE P="56956"/>
                    environmental review of the first amendment, and a licensee that had commenced construction on the building contemplated in the first amendment. In accordance with § 70.23(e), this licensee waited until after the staff's environmental review to commence construction on the building covered by the license amendment. The petition to enjoin the construction activities was directed not only towards this activity, but any future construction activity related to the remaining two amendments. The Commission questioned the extent and nature of the prohibition of construction in the materials license context, but did not negate the intent or the effect of its regulations on such activity. The NRC's regulations today continue to contain a “prohibition” against construction activity by materials licensees and applicants prior to the conclusion of the NRC staff's environmental review. This “prohibition” is unaffected by this final rule, as is the potential penalty for its violation. As previously indicated, this rule is primarily aimed at clarifying in the materials context when “construction” will be considered to have commenced to determine which activities, if taken prior to the completion of the NRC's environmental review, could be grounds for denial of a license. As the Commission indicated in 
                    <E T="03">NFS,</E>
                     “[i]t obviously makes sense for NRC licensees not to proceed with construction that, after a NEPA and licensing review, might prove fruitless. That is the purpose underlying §§ 51.101 and 70.23(a)(7), which seek to discourage premature construction.” 
                    <E T="03">Id.</E>
                     250. These considerations continue to be equally applicable to the NRC's regulations as provided for in this rule.
                </P>
                <HD SOURCE="HD3">4. Site Preparation Activities</HD>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that the proposed regulations will cause regulatory confusion. By way of example, the commenter indicates that the new regulations exempt “excavation” from the definition of “construction”; however, the excavation of an area for the creation of a uranium mill tailings impoundment must take place in an approved location and under specific construction and quality assurance requirements.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The answer to this comment depends upon the nature and purpose of the excavation. For example, if the materials license applicant is planning to excavate for the purpose of laying a foundation for a building that will be used to enrich uranium or for the purpose of creating a mill tailings impoundment, an evaporation pond, a tailings impoundments, a central processing plant, a satellite plant, or a pipeline that will be used to transport radioactive material where such excavation directly impacts the functions or the NRC's safety evaluation of these structures as related to radiological health and safety or the common defense and security, then these actions would be prohibited by virtue of the “commencement of construction” definition, which precludes site preparation activities that have a reasonable nexus to radiological health and safety or the common defense and security. The varied nature of materials facilities requires that the rules establishing the criteria for permitted site preparation activities be applied to the specific activity being taken by the materials license applicant so as to determine whether that specific activity impacts radiological health and safety or common defense and security. The scenario presented by the commenter may involve excavation activities that require prior approval. The scenario presented by the commenter may also involve excavation in an inappropriate location or in accordance with specifications that could ultimately result in the NRC's non-approval of the license application.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that pre-licensing activities should be limited and only occur when an applicant for a materials license has applied for and received specific permission to conduct such activities.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The current requirements arguably are inconsistent with Commission pronouncements on the limits of its AEA authority. Moreover, the NRC has in place inconsistent regulations regarding the definition of construction. It is inappropriate to leave in place inconsistent regulatory approaches.
                </P>
                <P>By identifying those site preparation activities that are not considered construction, the NRC avoids piecemeal regulation and licensing actions and brings more uniformity to the application of the NRC's regulatory authority to matters of construction. The NRC cannot “choose” to extend its authority beyond the limits of the AEA and require applicants to get prior permission to perform activities that are not within our statutory authority.</P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter notes that although the proposed rule identifies specific activities that would not constitute construction under Parts 30, 40, and 70, it does not apply the reasonable nexus standard to affirmatively identify those construction activities that have a reasonable nexus to protecting the public.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC agrees with the commenter that it did not affirmatively identify those construction activities that have a reasonable nexus to protecting the public. Radiological materials have the potential to be used in a number of different ways in manufacturing, construction, oil exploration, and medical uses, just to name a few. Because the nature of materials licenses and facilities has the potential to vary greatly, the NRC believes that it would be impractical and inadvisable to attempt to enumerate all activities that constitute construction for every possible materials licensee. Instead, the more prudent course adopted in this rule is to enumerate the attributes for determining those activities that are not construction and to establish criteria that may be used by materials license applicants to determine whether a contemplated action would constitute construction; 
                    <E T="03">i.e.,</E>
                     if the contemplated action has a rational and direct link to the radiological use of the proposed facility.
                </P>
                <HD SOURCE="HD3">5. Miscellaneous</HD>
                <P>
                    <E T="03">Comment:</E>
                     Several commenters state that the proposed rule would allow for significant financial and structural investment on the part of the industry that would prejudice any subsequent licensing challenges or licensing conditions that the agency might deem appropriate.
                </P>
                <P>
                    <E T="03">Response:</E>
                     Any site preparation activities that an applicant chooses to engage in are done so at the applicant's own risk. The NRC retains complete discretion to deny a license application or to impose licensing conditions, as needed. Previously expended resources do not enter into the NRC's decision as to whether or not a license application meets regulatory requirements.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that the proposed regulations fail to state whether the installation of monitoring wells, a significant component of uranium recovery facilities, including in situ leach facilities, is a “construction” activity or is exempted from the definition of “construction.”
                </P>
                <P>
                    <E T="03">Response:</E>
                     Installation of monitoring wells that are only intended to be used to collect background data or perform background aquifer testing would be permissible. However, monitoring wells that are part of an ISR wellfield monitoring network would not be permissible because such facilities are necessary to ensure the radiological health and safety of the public and that the licensed facility is operating within standards determined by the NRC; therefore, these wells have a reasonable nexus to radiological health and safety 
                    <PRTPAGE P="56957"/>
                    and do not qualify as a site preparation activity.
                </P>
                <P>By virtue of the exemption process that exists in Part 40, the NRC has had the opportunity to identify some activities that have a reasonable nexus to radiological health and safety and would therefore constitute construction. For instance, most recently in response to an exemption request submitted by Lost Creek ISR, LLC (ADAMS Accession No. ML091940438) the NRC has previously determined that certain activities are “construction,” including construction of the processing plant, which serves to concentrate, precipitate, and dry yellowcake; and construction of any structure or system to manage waste, such as deep disposal wells (ADAMS Accession No. ML093350365).</P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter states that the term “reasonable nexus” is vague and will lead to regulatory conflict and confusion.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC disagrees. An activity or action has a “reasonable nexus” to radiological health and safety or the common defense and security if that activity or action has a rational, direct link to ensuring that a licensed materials facility is operating in accordance with the NRC's regulations and in a manner that protects the public health and safety or the common defense and security from radiological hazards. Given the varied nature of activities involving materials licensing, the appropriate method of determining the application of this rule is to apply these standards to the specific proposed action rather than to attempt to list activities that are universally defined as falling within or outside of the definition of construction.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     Several commenters ask how the proposed rule will affect the NRC compliance with other Federal laws such as the Bald Eagle Protection Act of 1940, the Endangered Species Act of 1973, the Fish and Wildlife Coordination Act of 1934, the Migratory Bird Conservation Act, and the National Historic Preservation Act of 1966, as amended (NHPA).
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC will remain in compliance with other Federal laws. As required by those laws, the NRC will evaluate its licensing action to ensure that the action is appropriate within the confines of the NRC's responsibilities under applicable statutes. As previously explained, the NRC's licensing actions, consistent with the limitations of the AEA, do not include site preparation activities that are not related to the radiological health and safety of the public or the common defense and security.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter asks whether site preparation activities are part of the Federal undertaking that is subject to the NHPA.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC views site preparation activities with no nexus to radiological health and safety or common defense and security as private actions and would not be subject to NHPA through the NRC. Under the NHPA, an undertaking is “a project, activity, or program funded in whole or in part under the direct or indirect jurisdiction of a Federal agency, including: (A) Those carried out by or on behalf of the agency; (B) those carried out with Federal financial assistance; (C) those requiring a Federal permit or license, or approval; and (D) those subject to State or local regulation administered pursuant to a delegation or approval by a Federal agency.” The site preparation activities identified in the rule do not fall within this definition and would therefore not be considered a Federal undertaking subject to NHPA. It may be possible that the site preparation activities require other Federal approvals. For instance, if the site preparation activities occur on Bureau of Land Management land, this could trigger NHPA responsibilities or responsibilities under other statutes through approvals by other Federal agencies.
                </P>
                <P>It would, however, be prudent of a materials license applicant that is engaging in site preparation activities to be mindful of the NRC's obligations under the NHPA, including the requirements to identify any historic properties within the area of potential effects, to consult with the State Historic Preservation Officer (SHPO) and any other relevant stakeholders (such as Native American Tribes), and to attempt to resolve any adverse effects upon such historic properties. These procedural requirements must be satisfied by the NRC before it can approve the subject application (assuming all radiological health and safety and common defense and security requirements are met). For example, § 110k. of the NHPA requires that before granting a license the NRC ensure that an applicant has not “intentionally significantly adversely affected a historic property to which the [license] would relate, or having legal power to prevent it, allowed such significant adverse effect to occur * * *” with the intent of avoiding NRC review of the effect of the proposed licensing action on “any district, site, building, structure, or object that is included in or eligible for inclusion in the National Register.” Section 106 of the NHPA. Accordingly, a materials license applicant should proceed carefully when engaging site preparation activities undertaken lest the outcome impacts the NRC's ability to issue a license.</P>
                <P>
                    In order to facilitate and expedite the NRC's NHPA process, materials license applicants are encouraged to contact any potential stakeholders who may have an interest in any historic properties on or near the site and to take steps to prevent or minimize any disturbance to such historic properties. In this regard, materials license applicants are also encouraged, upon the discovery of previously unknown historic properties, archeological resources or other cultural artifacts, to cease any such activities that may disturb or damage such resources and, inventory and evaluate the discovery in accordance with accepted historic preservation and archeological practices (see the U.S. Secretary of the Interior's Standards and Guidelines for Identification at 
                    <E T="03">http://www.nps.gov/history/local-law/arch_stnds_2.htm</E>
                    ).
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter asks whether the NRC will consider the effect of site preparation activities on minority or low income people before the activities and damage occur.
                </P>
                <P>
                    <E T="03">Response:</E>
                     Under this rule, site preparation activities that fall outside the NRC's scope of authority would not be subject to prior review by the NRC. However, these site preparation activities might be subject to review by other State or Federal authorities. However, if there is an application for an NRC license following site preparation activities that requires that an EIS be prepared, then the NRC will evaluate environmental justice issues in the EIS in accordance with the guidance provided in the NRC's “Policy Statement on the Treatment of Environmental Justice Matters in NRC Regulatory and Licensing Actions.” (69 FR 52040; August 24, 2004). Under this scenario, when evaluating environmental justice issues in the EIS, the NRC would then consider the environmental impacts of the proposed project activities on low-income or minority populations. The NRC would conduct any such evaluation in a manner consistent with the NRC's normal consideration of these impacts in licensing actions.
                </P>
                <P>
                    <E T="03">Comment:</E>
                     One commenter asks whether the NRC will provide guidance regarding the definitions contained in the proposed rule.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The NRC will provide guidance on the definitions in the final rule.
                    <PRTPAGE P="56958"/>
                </P>
                <HD SOURCE="HD1">III. Discussion</HD>
                <HD SOURCE="HD2">A. NRC Authority Pursuant to the AEA</HD>
                <P>Comments received on this rule have questioned whether the NRC is unnecessarily limiting its authority to matters concerning “radiological” health and safety or common defense and security considerations. The majority of the commenters opposed to this rule believe that the AEA confers much broader authority to the NRC to consider a broader range of health and safety or common defense and security concerns.</P>
                <P>
                    As indicated in the proposed rule, the NRC has determined that the AEA does not authorize the NRC to require an applicant for an NRC license to obtain the NRC's permission before undertaking site preparation activities that do not implicate radiological health and safety or common defense and security considerations. This interpretation is not new and has been reviewed and upheld repeatedly by the Courts. In 1969, the U.S. Court of Appeals for the First Circuit reviewed this issue in 
                    <E T="03">New Hampshire</E>
                     v. 
                    <E T="03">the Atomic Energy Commission [AEC],</E>
                     406 F.2d 170 (1st Cir. 1969), cert. denied, 395 U.S. 962 (1969). The First Circuit, after noting that the scope of the term “public health and safety” was not specifically defined in the statute, reviewed the legislative history. Based upon its review, the First Circuit concluded that the AEC's (the NRC's predecessor agency) regulatory authority was limited to the scrutiny of and protection against radiation hazards. More recently, the U.S. Court of Appeals for the District of Columbia Circuit similarly agreed that the AEA limits the NRC's consideration of health and safety to the special hazards of radioactivity. 
                    <E T="03">People Against Nuclear Energy</E>
                     v. 
                    <E T="03">Nuclear Regulatory Commission,</E>
                     678 F.2d 222 (D.C. Cir. 1982), rev'd on other grounds, 
                    <E T="03">Metropolitan Edison Company</E>
                     v. 
                    <E T="03">People Against Nuclear Energy,</E>
                     460 U.S. 766 (1983).
                </P>
                <P>It is important to note that while the Uranium Mill Tailings Radiation Control Act of 1978 (UMTRCA) amended the AEA to give the NRC the authority necessary “to protect the public health and safety and the environment from radiological and non-radiological hazards associated with the processing and with the possession of such material   * * *” with respect to certain byproduct material (§ 84.a.(1) of the AEA), the NRC's authority over non-radiological hazards is limited to those hazards specifically associated with the processing and possession of byproduct material. Contrary to some of the commenters assertions, UMTRCA did not operate to expand the NRC's jurisdiction to private actions not specifically associated with the processing or possession of radioactive material.</P>
                <P>
                    A second set of commenters also questions whether the NRC has authority to impose a prohibition against construction on materials licensees. While the NRC's authority to protect the public health and safety may be limited to radiological hazards, its primary authority under the AEA is grounded in its authority to grant, deny and condition licenses for certain nuclear materials and facilities. With respect to materials licenses, the NRC has authority over the manufacture, production, transfer, possession, use, ownership, import and export of radioactive material. 
                    <E T="03">See</E>
                     AEA §§ 51, 53, 61, 62, 63, and 81. Section 161.b authorizes the NRC to—
                </P>
                <EXTRACT>
                    <P>Establish by rule, regulation, or order, such standards and instructions to govern the possession and use of special nuclear material, source material, and byproduct material as the Commission may deem necessary or desirable to promote the common defense and security or to protect [the radiological] health or to minimize danger to life or property [from radiological hazards].</P>
                </EXTRACT>
                <P>It is this grant of authority that allows the NRC to establish as a condition of licensing that materials license applicants not engage in construction impacting common defense and security or public health and safety with respect to radiological hazards prior to the completion of the environmental review for the licensed facility.</P>
                <HD SOURCE="HD2">B. NRC Compliance With NEPA and Other Environmental Statutes</HD>
                <P>
                    As previously indicated, the AEA does not authorize the NRC to require an applicant to obtain permission before undertaking site preparation activities that do not implicate radiological health and safety or common defense and security. These activities, being outside of the scope of the NRC's jurisdiction are, therefore, considered to be non-Federal actions, at least with respect to the NRC's licensing actions. Such activities might trigger other Federal authority if, for example, they were to take place on Federal lands in accordance with a Bureau of Land Management lease. As set forth in the Statement of Consideration for the proposed rule, the NRC believes that this rule is fully compliant with the requirements of NEPA. The NEPA obligations and responsibilities arise only when the Commission undertakes a Federal action within the NRC's statutory responsibility. 
                    <E T="03">See Department of Transportation, et al.</E>
                     v. 
                    <E T="03">Public Citizen, et al.,</E>
                     541 U.S. 752, 771 (2004) (“[A]n agency has no ability to prevent a certain effect due to its limited statutory authority over the relevant action.”)
                </P>
                <P>
                    Contrary to the statements of some commenters, the courts have consistently determined that NEPA is a procedural statute, and as such it cannot and does not expand the NRC's jurisdiction beyond the scope of the AEA; 
                    <E T="03">i.e.,</E>
                     to give the NRC authority to decide non-radiological public health and safety issues. 
                    <E T="03">See Vermont Yankee Nuclear Power Corp</E>
                     v. 
                    <E T="03">Natural Resources Defense Council,</E>
                     435 U.S. 519, 558 (1978) (“NEPA does set forth significant substantive goals for the Nation, but its mandate to the agencies is essentially procedural.”); 
                    <E T="03">see also Natural Resources Defense Council</E>
                     v. 
                    <E T="03">Environmental Protection Agency,</E>
                     822 F.2d 104, 129 (D.C. Cir 1987) (“NEPA, as a procedural device, does not work a broadening of the agency's substantive powers”). This determination was also explained in the LWA Rulemaking, in which the NRC stated the following in its statements of consideration:
                </P>
                <EXTRACT>
                    <P>[W]hile NEPA may require the NRC to consider the environmental effects caused by the exercise of its permitting/licensing authority, the statute cannot be the source of the expansion of the NRC's authority to require * * * other forms of permission for activities that are not reasonably related to radiological health and safety or protection of the common defense and security. Since NEPA cannot expand the Commission's * * * authority under the AEA, the elimination of the blanket inclusion of site preparation activities in the [then existing] definition of construction does not violate NEPA.</P>
                </EXTRACT>
                <FP>(72 FR 57416, 57427; October 9, 2007).</FP>
                <P>The commenters also claim that the NRC is inappropriately segmenting the site preparation activities from the licensed facility construction activities at the site to avoid NEPA. This is not the case. Generally, the NEPA segmentation problem arises when the environmental impacts of Federal actions are evaluated in a piecemeal fashion and, as a result, the comprehensive environmental impacts of the entire Federal action are never considered or are only considered after the agency has committed itself to continuation of the project. Another associated segmentation problem arises when pieces of a Federal action are evaluated separately and, as a result, none of the individual pieces are considered “major Federal actions” requiring an EIS.</P>
                <P>
                    The site preparation activities identified in the rule are activities that any private entity can undertake on 
                    <PRTPAGE P="56959"/>
                    property that they own or to which they have legal rights. Site preparation activities are separate and independent from construction of any aspect of the proposed facility that would be directly related to the manufacture, production, use, transfer, or ownership of an NRC-licensed material. The question of whether site preparation activities are impermissibly segmented from the facility construction turns on whether these activities are viewed as “connected actions.” The courts have determined that “projects which have “independent utility” are not “connected actions.” 
                    <E T="03">Utahns for Better Transportation, et al.</E>
                     v. 
                    <E T="03">U.S. Dep't of Transp., et al.,</E>
                     305 F.3d 1152, 1183 (10th Cir. 2002). Whether two actions have independent utility depends on “whether each of two projects would have taken place with or without the other * * *” 
                    <E T="03">Wilderness Workshop, et al.</E>
                     v. 
                    <E T="03">U.S. Bureau of Land Mgmt., et al.,</E>
                     531 F.3d 1220, 1229 (10th Cir. 2008). In this rule, site preparation activities are independent of facility construction. As such, site preparation activities do not violate NEPA's prohibition against segmentation.
                </P>
                <P>While the effects of any non-Federal site preparation activities undertaken by a materials license applicant will not be considered effects of the NRC's licensing action, the effects of the site preparation activities would be considered as part of the NRC's cumulative impact analysis performed during the environmental review of the licensing action. Cumulative impacts are defined as the “impact on the environment that results from the incremental impact of the action when added to other past, present, and reasonably foreseeable future actions.” 40 CFR 1508.7. In accordance with its guidance on this issue, the NRC staff's cumulative impacts analysis will identify and describe effects of past, proposed, and reasonably foreseeable future actions to the extent that they are relevant and useful in determining the magnitude and significance of the effects of the proposed NRC licensing action. See NUREG-1748, “Environmental Review Guidance for Licensing Actions Associated with NMSS Programs.” Similar to the LWA Rulemaking, the NRC is revising § 51.60 to require that the environmental report submitted with an application for a materials license or an amendment to a materials license include a description of the site preparation activities undertaken at the proposed site; a description of the impacts of such site preparation activities; and an analysis of the cumulative impacts of the site preparation activities on the proposed licensing action.</P>
                <P>With respect to the comments regarding other environmental protection statutes, the NRC remains committed to fulfilling its obligations under these statutes during its review of any license action. It is important to note, however, that each of the statutes applies specifically to the NRC only to the extent that an activity comes within the NRC's licensing authority or is a “Federal undertaking” by the NRC. For the same reasons previously stated, site preparation activities are not part of the NRC licensing action process and as such do not constitute either a “major Federal action,” or a “Federal undertaking” by the NRC.</P>
                <HD SOURCE="HD1">IV. Section-by-Section Analysis</HD>
                <HD SOURCE="HD2">Section 30.4, Definitions</HD>
                <P>Section 30.4 is amended by adding definitions for the terms “construction” and “commencement of construction.”</P>
                <HD SOURCE="HD2">Section 30.33, General Requirements for Issuance of Specific Licenses</HD>
                <P>The amendment to § 30.33(a)(5) deletes the definition of “commencement of construction” contained in the last two sentences of the paragraph. “Commencement of construction” is now defined in § 30.4.</P>
                <HD SOURCE="HD2">Section 36.2, Definitions</HD>
                <P>Section 36.2 is amended by adding definitions for the terms “construction” and “commencement of construction.”</P>
                <HD SOURCE="HD2">Section 36.13, Specific Licenses for Irradiators</HD>
                <P>Section 36.13(a) is amended to exclude § 30.33(a)(5) as a requirement for an applicant to receive a specific license under this part. The provision in § 30.33(a)(5) pertains to “commencement of construction.” “Commencement of construction” provisions for Part 36 licenses are already contained in § 36.15.</P>
                <HD SOURCE="HD2">Section 36.15, Start of Construction</HD>
                <P>The amendment in § 36.15 revises the section title “Start of construction” to “Commencement of construction” and deletes the definition of “construction.” The definitions of “commencement of construction” and “construction” are now defined in § 36.2.</P>
                <HD SOURCE="HD2">Section 39.13, Specific Licenses for Well-Logging</HD>
                <P>Section 39.13 is amended to change the reference to § 70.33 to § 70.23.</P>
                <HD SOURCE="HD2">Section 40.4, Definitions</HD>
                <P>Section 40.4 is amended by adding definitions for the terms “construction” and “commencement of construction.”</P>
                <HD SOURCE="HD2">Section 40.32, General Requirements for Issuance of Specific Licenses</HD>
                <P>The amendment to § 40.32(e) deletes the definition of “commencement of construction” contained in the last two sentences of the paragraph. “Commencement of construction” is now defined in § 40.4.</P>
                <HD SOURCE="HD2">Section 51.4, Definitions</HD>
                <P>The amendment to § 51.4 clarifies that the definition of “construction” applies to materials licenses.</P>
                <HD SOURCE="HD2">Section 51.45, Environmental Report</HD>
                <P>The amendment to § 51.45(c) corrects the reference to § 51.4, and describes additional information that the environmental report for materials licenses should contain.</P>
                <HD SOURCE="HD2">Section 70.4, Definitions</HD>
                <P>Section 70.4 is amended by adding definitions for the terms “construction” and “commencement of construction.”</P>
                <HD SOURCE="HD2">Section 70.23, Requirements for the Approval of Applications</HD>
                <P>The amendment to § 70.23(a)(7) deletes the definition of “commencement of construction” contained in the last two sentences of the paragraph. “Commencement of construction” is now defined in § 70.4.</P>
                <HD SOURCE="HD2">Section 150.31, Requirements for Agreement State Regulation of Byproduct Material</HD>
                <P>Section 150.31(b)(3)(iv) is revised to include definitions for “commencement of construction” and “construction.”</P>
                <HD SOURCE="HD1">V. Agreement State Compatibility</HD>
                <P>
                    Under the “Policy Statement on Adequacy and Compatibility of Agreement State Programs” which became effective on September 3, 1997 (62 FR 46517), this final rule is a matter of compatibility between the NRC and Agreement States, thereby providing consistency among the Agreement States and the NRC's requirements. The NRC program elements (including regulations) are placed into Compatibility Categories A, B, C, D, NRC, or adequacy category, Health and Safety (H&amp;S). Category A includes program elements that are basic radiation protection standards or related definitions, signs, labels, or terms necessary for a common understanding of radiation protection principles and should be essentially identical to those of the NRC. Category B includes 
                    <PRTPAGE P="56960"/>
                    program elements that have significant direct transboundary implications and should be essentially identical to those of the NRC.
                </P>
                <P>Compatibility Category C includes those program elements that do not meet the criteria of Categories A or B but nonetheless are consistent with an Agreement State's efforts to avoid conflict, duplication, gaps, or other conditions that would jeopardize an orderly pattern in the regulation of agreement material on a nationwide basis. Therefore, the program elements in Compatibility Category C should be adopted by Agreement States.</P>
                <P>Compatibility Category D includes those program elements that do not meet any of the criteria of Category A, B, or C, and do not need to be adopted by Agreement States.</P>
                <P>
                    Compatibility Category NRC consists of those program elements that address areas of regulation that cannot be relinquished to Agreement States pursuant to the AEA or provisions of Title 10 of the 
                    <E T="03">Code of Federal Regulations</E>
                     and should not be adopted by Agreement States.
                </P>
                <P>
                    Category H&amp;S consist of program elements that are not required for compatibility, but have a particular health and safety role (
                    <E T="03">e.g.,</E>
                     adequacy) in the regulation of agreement material and the State should adopt the essential objectives of the NRC program elements.
                </P>
                <P>
                    The NRC has analyzed this final rule in accordance with the procedure established within Part III, “Categorization Process for NRC Program Elements,” of Handbook 5.9 to Management Directive 5.9, “Adequacy and Compatibility of Agreement State Programs” (a copy of which may be viewed at 
                    <E T="03">http://www.nrc.gov/reading-rm/doc-collections/management-directives/</E>
                    ). The amendments are categorized in Table 1.
                </P>
                <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="xs84,xs48,r50,xs100,xs100">
                    <TTITLE>Table 1—Compatibility for Final Rule</TTITLE>
                    <BOXHD>
                        <CHED H="1">
                            NRC Regulation 
                            <LI>section</LI>
                        </CHED>
                        <CHED H="1">Change</CHED>
                        <CHED H="1">Section title</CHED>
                        <CHED H="1">Compatibility category</CHED>
                        <CHED H="2">Existing</CHED>
                        <CHED H="2">New</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">30.4</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 1</ENT>
                        <ENT>D</ENT>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">30.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 2</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">30.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraphs 1-8 and 9(i)</ENT>
                        <ENT/>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">30.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraph 9(ii)</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">30.33(a)(5)</ENT>
                        <ENT>Amend</ENT>
                        <ENT>General requirements for issuance of specific licenses</ENT>
                        <ENT>D</ENT>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">36.2</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 1</ENT>
                        <ENT/>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">36.2</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 2</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">36.2</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraphs 1-8 and 9(i)</ENT>
                        <ENT/>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">36.2</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraph 9(ii)</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">36.13(a)</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Specific licenses for irradiators</ENT>
                        <ENT>H&amp;S</ENT>
                        <ENT>H&amp;S.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">36.15</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Commencement of construction</ENT>
                        <ENT>D</ENT>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">39.13(a)</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Specific licenses for well-logging</ENT>
                        <ENT>H&amp;S</ENT>
                        <ENT>H&amp;S.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">40.4</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 1</ENT>
                        <ENT>C—States with authority to regulate uranium mill activities (11e.(2) byproduct material)</ENT>
                        <ENT>C—States with authority to regulate uranium mill activities (11e.(2) byproduct material).</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="22"> </ENT>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT>D—States without authority</ENT>
                        <ENT>D—States without authority.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">40.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 2</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">40.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraphs 1-8 and 9(i)</ENT>
                        <ENT/>
                        <ENT>C—States with authority to regulate uranium mill activities (11e.(2) byproduct material).</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="22"> </ENT>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT>D—States without authority</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">40.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraph 9(ii)</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">40.32(e)</ENT>
                        <ENT>Amend</ENT>
                        <ENT>General requirements for issuance of specific licenses</ENT>
                        <ENT>H&amp;S—States with authority to regulate uranium mill activities (11e.(2) byproduct material)</ENT>
                        <ENT>H&amp;S—States with authority to regulate uranium mill activities (11e.(2) byproduct material).</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="22"> </ENT>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT>NRC—States without authority</ENT>
                        <ENT>NRC—States without authority.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">51.4</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Definitions</ENT>
                        <ENT>NRC</ENT>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">51.45</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Environmental Report—Paragraph (c)</ENT>
                        <ENT>NRC</ENT>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">70.4</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 1</ENT>
                        <ENT>D</ENT>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">70.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Commencement of Construction—Paragraph 2</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">70.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraphs 1-8 and 9(i)</ENT>
                        <ENT/>
                        <ENT>D.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">70.4</ENT>
                        <ENT>New</ENT>
                        <ENT>Definition—Construction—Paragraph 9(ii)</ENT>
                        <ENT/>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">70.23(a)(7)</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Requirements for the approval of applications</ENT>
                        <ENT>NRC</ENT>
                        <ENT>NRC.</ENT>
                    </ROW>
                    <ROW>
                        <PRTPAGE P="56961"/>
                        <ENT I="01">150.31(b)(3)(iv)</ENT>
                        <ENT>Amend</ENT>
                        <ENT>Requirements for Agreement State regulation of byproduct material</ENT>
                        <ENT>C—States with authority to regulate uranium mill activities (11e.(2) byproduct material)</ENT>
                        <ENT>C—States with authority to regulate uranium mill activities (11e.(2) byproduct material).</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="22"> </ENT>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT>D—States without authority</ENT>
                        <ENT>D—States without authority.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">150.31(b)(3)(iv)(A)</ENT>
                        <ENT>New</ENT>
                        <ENT>Requirements for Agreement State regulation of byproduct material</ENT>
                        <ENT/>
                        <ENT>C—States with authority to regulate uranium mill activities (11e.(2) byproduct material).</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="22"> </ENT>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT>D—States without authority.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">150.31(b)(3)(iv)(B)</ENT>
                        <ENT>New</ENT>
                        <ENT>Requirements for Agreement State regulation of byproduct material</ENT>
                        <ENT/>
                        <ENT>C—States with authority to regulate uranium mill activities (11e.(2) byproduct material).</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="22"> </ENT>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT O="xl"/>
                        <ENT>D—States without authority.</ENT>
                    </ROW>
                </GPOTABLE>
                <HD SOURCE="HD1">VI. Voluntary Consensus Standards</HD>
                <P>The National Technology Transfer and Advancement Act of 1995 (Pub. L. 104-113), requires that Federal agencies use technical standards that are developed or adopted by voluntary consensus standards bodies, unless the use of such a standard is inconsistent with applicable law or otherwise impractical. In this final rule, the NRC is clarifying those activities that constitute “construction” for materials licenses. This action does not constitute the establishment of a standard that contains generally applicable requirements.</P>
                <HD SOURCE="HD1">VII. Environmental Impact—Categorical Exclusion</HD>
                <P>The NRC has determined that this final rule is the type of action described as a categorical exclusion in 10 CFR 51.22(c)(1), (c)(2), and (c)(3)(i). Section 51.22(c)(1) provides a categorical exclusion for amendments to various parts of the NRC's regulations, including Part 150. Section 51.22(c)(2) provides a categorical exclusion for amendments to the NRC's regulations which are of a corrective or minor or nonpolicy nature and do not substantially modify existing regulations. Section 51.22(c)(3)(i) provides a categorical exclusion for amendments to any part of the NRC's regulations which relate to procedures for filing and reviewing applications, amendments, or renewals for licenses or other forms of permission. In this final rule, the amendments to Parts 30, 40, 36, and 70 relate to the procedures for reviewing applications, amendments, and renewals of materials licenses subject to these parts. The amendments to Part 39 correct a typographical error, and the remaining amendments are to Part 150. Because these amendments belong to a category of actions which the NRC has previously found do not individually or cumulatively have a significant effect on the human environment, neither an environmental impact statement nor an environmental assessment has been prepared for this rule.</P>
                <HD SOURCE="HD1">VIII. Paperwork Reduction Act Statement</HD>
                <P>
                    This final rule does not contain new or amended information collection requirements subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 
                    <E T="03">et seq.</E>
                    ). Existing information collection requirements were approved by the Office of Management and Budget (OMB), Control Numbers 3150-0017, 3150-0158, 3150-0130, 3150-0020, 3150-0021, 3150-0009, and 3150-0032.
                </P>
                <HD SOURCE="HD2">Public Protection Notification</HD>
                <P>The NRC may not conduct or sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid OMB control number.</P>
                <HD SOURCE="HD1">IX. Regulatory Analysis</HD>
                <P>A regulatory analysis has not been prepared for this regulation. This rule amends the NRC's regulations to conform the definitions of “construction” and “commencement of construction” as they appear in Parts 30, 36, 40, 70, and 150, to the Parts 50, 51, and 52 definitions implemented by the LWA Rulemaking, revised to reference non-nuclear power plant licensees. This amendment does not impose any new burden or reporting requirements on the licensee or the NRC for compliance. Also, this rule does not involve an exercise of NRC discretion and therefore does not necessitate preparation of a regulatory analysis.</P>
                <HD SOURCE="HD1">X. Regulatory Flexibility Certification</HD>
                <P>In accordance with the Regulatory Flexibility Act (5 U.S.C. 605(b)), the NRC certifies that this rule will not have a significant economic impact on a substantial number of small entities. This rule affects only materials licensees. The companies that apply for a license in accordance with the regulations affected by this rule do not fall within the scope of the definition of “small entities” set forth in the Regulatory Flexibility Act or the size standards established by the NRC (10 CFR 2.810).</P>
                <HD SOURCE="HD1">XI. Backfit Analysis</HD>
                <P>The NRC has determined that this final rule is not subject to any of the backfitting provisions in 10 CFR 50.109, 70.76, 72.62, 76.76, or the finality provision of 10 CFR part 52. The amendments in this rule do not involve any provisions that would impose backfits on nuclear power plant licensees as defined in 10 CFR parts 50 or 52, or on licensees for gaseous diffusion plants, independent spent fuel storage installations or special nuclear material as defined in 10 CFR parts 70, 72 and 76, respectively; therefore, a backfit analysis is not required. With respect to Parts 30, 36, 39, and 40 licensees, the NRC has determined that there are no provisions for backfit in these parts; therefore, the NRC has not prepared a backfit analysis or any other documentation for this final rule.</P>
                <HD SOURCE="HD1">XII. Congressional Review Act</HD>
                <P>
                    In accordance with the Congressional Review Act of 1996, the NRC has determined that this action is not a major rule and has verified this 
                    <PRTPAGE P="56962"/>
                    determination with the Office of Information and Regulatory Affairs of OMB.
                </P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects</HD>
                    <CFR>10 CFR Part 30</CFR>
                    <P>Byproduct material, Criminal penalties, Government contracts, Intergovernmental relations, Isotopes, Nuclear materials, Radiation protection, Reporting and recordkeeping requirements.</P>
                    <CFR>10 CFR Part 36</CFR>
                    <P>Byproduct material, Criminal penalties, Nuclear materials, Reporting and recordkeeping requirements, Scientific equipment, Security measures.</P>
                    <CFR>10 CFR Part 39</CFR>
                    <P>Byproduct material, Criminal penalties, Nuclear materials, Oil and gas exploration—well logging, Reporting and recordkeeping requirements, Scientific equipment, Security measures, Source material, Special nuclear material.</P>
                    <CFR>10 CFR Part 40</CFR>
                    <P>Criminal penalties, Government contracts, Hazardous materials transportation, Nuclear materials, Reporting and recordkeeping requirements, Source material, Uranium.</P>
                    <CFR>10 CFR Part 51</CFR>
                    <P>Administrative practice and procedure, Environmental impact statement, Nuclear materials, Nuclear power plants and reactors, Reporting and recordkeeping requirements.</P>
                    <CFR>10 CFR Part 70</CFR>
                    <P>Criminal penalties, Hazardous materials transportation, Material control and accounting, Nuclear materials, Packaging and containers, Radiation protection, Reporting and recordkeeping requirements, Scientific equipment, Security measures, Special nuclear material.</P>
                    <CFR>10 CFR Part 150</CFR>
                    <P>Criminal penalties, Hazardous materials transportation, Intergovernmental relations, Nuclear materials, Reporting and recordkeeping requirements, Security measures, Source material, Special nuclear material.</P>
                </LSTSUB>
                <P>For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; and 5 U.S.C. 552 and 553; the NRC is adopting the following amendments to 10 CFR parts 30, 36, 39, 40, 51, 70, and 150.</P>
                <REGTEXT TITLE="10" PART="30">
                    <PART>
                        <HD SOURCE="HED">PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for part 30 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority: </HD>
                        <P> Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act of 2005, Pub. L. 109-58, 119 Stat. 549 (2005).</P>
                    </AUTH>
                    <EXTRACT>
                        <P>Section 30.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 30.34(b) also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 30.61 also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237).</P>
                    </EXTRACT>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="30">
                    <AMDPAR>2. In § 30.4, the definition for the term “commencement of construction” is revised, and the term “construction” is added in alphabetical order to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 30.4 </SECTNO>
                        <SUBJECT>Definitions.</SUBJECT>
                        <STARS/>
                        <P>
                            <E T="03">Commencement of construction</E>
                             means taking any action defined as “construction” or any other activity at the site of a facility subject to the regulations in this part that has a reasonable nexus to:
                        </P>
                        <P>(1) Radiological health and safety; or</P>
                        <P>(2) Common defense and security.</P>
                        <STARS/>
                        <P>
                            <E T="03">Construction</E>
                             means the installation of foundations, or in-place assembly, erection, fabrication, or testing for any structure, system, or component of a facility or activity subject to the regulations in this part that are related to radiological safety or security. The term “construction” does not include:
                        </P>
                        <P>(1) Changes for temporary use of the land for public recreational purposes;</P>
                        <P>(2) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;</P>
                        <P>(3) Preparation of the site for construction of the facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas;</P>
                        <P>(4) Erection of fences and other access control measures that are not related to the safe use of, or security of, radiological materials subject to this part;</P>
                        <P>(5) Excavation;</P>
                        <P>
                            (6) Erection of support buildings (
                            <E T="03">e.g.,</E>
                             construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;
                        </P>
                        <P>
                            (7) Building of service facilities (
                            <E T="03">e.g.,</E>
                             paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewerage treatment facilities, and transmission lines);
                        </P>
                        <P>(8) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility; or</P>
                        <P>(9) Taking any other action that has no reasonable nexus to:</P>
                        <P>(i) Radiological health and safety, or</P>
                        <P>(ii) Common defense and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="30">
                    <AMDPAR>3. In § 30.33, paragraph (a)(5) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 30.33 </SECTNO>
                        <SUBJECT>General requirements for issuance of specific licenses.</SUBJECT>
                        <P>(a) * * *</P>
                        <P>(5) In the case of an application for a license to receive and possess byproduct material for the conduct of any activity which the NRC determines will significantly affect the quality of the environment, the Director, Office of Federal and State Materials and Environmental Management Programs or his/her designee, before commencement of construction of the plant or facility in which the activity will be conducted, on the basis of information filed and evaluations made pursuant to subpart A of part 51 of this chapter, has concluded, after weighing the environmental, economic, technical, and other benefits against environmental costs and considering available alternatives, that the action called for is the issuance of the proposed license, with any appropriate conditions to protect environmental values. Commencement of construction prior to such conclusion shall be grounds for denial of a license to receive and possess byproduct material in such plant or facility. Commencement of construction as defined in § 30.4 may include non-construction activities if the activity has a reasonable nexus to radiological safety and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="36">
                    <PART>
                        <PRTPAGE P="56963"/>
                        <HD SOURCE="HED">PART 36—LICENSES AND RADIATION SAFETY REQUIREMENTS FOR IRRADIATORS</HD>
                    </PART>
                    <AMDPAR>4. The authority citation for part 36 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority: </HD>
                        <P> Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846).</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="36">
                    <AMDPAR>5. In § 36.2, definitions for the terms “commencement of construction” and “construction” are added in alphabetical order to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 36.2 </SECTNO>
                        <SUBJECT>Definitions.</SUBJECT>
                        <STARS/>
                        <P>
                            <E T="03">Commencement of construction</E>
                             means taking any action defined as “construction” or any other activity at the site of a facility subject to the regulations in this part that has a reasonable nexus to:
                        </P>
                        <P>(1) Radiological health and safety; or</P>
                        <P>(2) Common defense and security.</P>
                        <P>
                            <E T="03">Construction</E>
                             means the installation of foundations, or in-place assembly, erection, fabrication, or testing for any structure, system, or component of a facility or activity subject to the regulations in this part that are related to radiological safety or security. The term “construction” does not include:
                        </P>
                        <P>(1) Changes for temporary use of the land for public recreational purposes;</P>
                        <P>(2) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;</P>
                        <P>(3) Preparation of the site for construction of the facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas;</P>
                        <P>(4) Erection of fences and other access control measures that are not related to the safe use of, or security of, radiological materials subject to this part;</P>
                        <P>(5) Excavation;</P>
                        <P>
                            (6) Erection of support buildings (
                            <E T="03">e.g.,</E>
                             construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;
                        </P>
                        <P>
                            (7) Building of service facilities (
                            <E T="03">e.g.,</E>
                             paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewerage treatment facilities, and transmission lines);
                        </P>
                        <P>(8) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility; or</P>
                        <P>(9) Taking any other action that has no reasonable nexus to:</P>
                        <P>(i) Radiological health and safety, or</P>
                        <P>(ii) Common defense and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="36">
                    <AMDPAR>6. In § 36.13, paragraph (a) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 36.13 </SECTNO>
                        <SUBJECT>Specific licenses for irradiators.</SUBJECT>
                        <STARS/>
                        <P>(a) The applicant shall satisfy the general requirements specified in §§ 30.33(a)(1)-(4) and 30.33(b) of this chapter and the requirements contained in this part.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="36">
                    <AMDPAR>7. Section 36.15 is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 36.15 </SECTNO>
                        <SUBJECT>Commencement of construction.</SUBJECT>
                        <P>Commencement of construction of a new irradiator may not occur prior to the submission to the NRC of both an application for a license for the irradiator and the fee required by § 170.31 of this chapter. Any activities undertaken prior to the issuance of a license are entirely at the risk of the applicant and have no bearing on the issuance of a license with respect to the requirements of the Atomic Energy Act of 1954 (Act), as amended, and rules, regulations, and orders issued under the Act. Commencement of construction as defined in § 36.2 may include non-construction activities if the activity has a reasonable nexus to radiological safety and security.</P>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="39">
                    <PART>
                        <HD SOURCE="HED">PART 39—LICENSES AND RADIATION SAFETY REQUIREMENTS FOR WELL LOGGING</HD>
                    </PART>
                    <AMDPAR>8. The authority citation for part 39 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority: </HD>
                        <P> Secs. 53, 57, 62, 63, 65, 69, 81, 82, 161, 182, 183, 186, 68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note).</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="39">
                    <AMDPAR>9. In § 39.13, paragraph (a) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 39.13 </SECTNO>
                        <SUBJECT>Specific licenses for well logging.</SUBJECT>
                        <STARS/>
                        <P>(a) The applicant shall satisfy the general requirements specified in § 30.33 of this chapter for byproduct material, in § 40.32 of this chapter for source material, and in § 70.23 of this chapter for special nuclear material, as appropriate, and any special requirements contained in this part.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="40">
                    <PART>
                        <HD SOURCE="HED">PART 40—DOMESTIC LICENSING OF SOURCE MATERIAL</HD>
                    </PART>
                    <AMDPAR>10. The authority citation for part 40 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority: </HD>
                        <P> Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68 Stat. 932, 933, 935, 948, 953, 954, 955, as amended, secs. 11e(2), 83, 84, Pub. L. 95-604, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2014(e)(2), 2092, 2093, 2094, 2095, 2111, 2113, 2114, 2201, 2232, 2233, 2236, 2282); sec. 274, Pub. L. 86-373, 73 Stat. 688 (42 U.S.C. 2021); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 275, 92 Stat. 3021, as amended by Pub. L. 97-415, 96 Stat. 2067 (42 U.S.C. 2022); sec. 193, 104 Stat. 2835, as amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C. 2243); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act of 2005, Pub. L. 109-59, 119 Stat. 594 (2005).</P>
                    </AUTH>
                    <EXTRACT>
                        <P>Section 40.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 40.31(g) also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Section 40.46 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 40.71 also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237).</P>
                    </EXTRACT>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="40">
                    <AMDPAR>11. In § 40.4, the definition for the term “commencement of construction” is revised, and the term “construction” is added in alphabetical order to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 40.4 </SECTNO>
                        <SUBJECT>Definitions.</SUBJECT>
                        <STARS/>
                        <P>
                            <E T="03">Commencement of construction</E>
                             means taking any action defined as “construction” or any other activity at the site of a facility subject to the regulations in this part that has a reasonable nexus to:
                        </P>
                        <P>(1) Radiological health and safety; or</P>
                        <P>(2) Common defense and security.</P>
                        <STARS/>
                        <P>
                            <E T="03">Construction</E>
                             means the installation of wells associated with radiological operations (
                            <E T="03">e.g.,</E>
                             production, injection, or monitoring well networks associated with in-situ recovery or other facilities), the installation of foundations, or in-place assembly, erection, fabrication, or testing for any structure, system, or component of a facility or activity subject to the regulations in this part that are related to radiological safety or security. The term “construction” does not include:
                            <PRTPAGE P="56964"/>
                        </P>
                        <P>(1) Changes for temporary use of the land for public recreational purposes;</P>
                        <P>(2) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;</P>
                        <P>(3) Preparation of the site for construction of the facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas;</P>
                        <P>(4) Erection of fences and other access control measures that are not related to the safe use of, or security of, radiological materials subject to this part;</P>
                        <P>(5) Excavation;</P>
                        <P>
                            (6) Erection of support buildings (
                            <E T="03">e.g.,</E>
                             construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;
                        </P>
                        <P>
                            (7) Building of service facilities (
                            <E T="03">e.g.,</E>
                             paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewerage treatment facilities, and transmission lines);
                        </P>
                        <P>(8) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility; or</P>
                        <P>(9) Taking any other action that has no reasonable nexus to:</P>
                        <P>(i) Radiological health and safety, or</P>
                        <P>(ii) Common defense and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="40">
                    <AMDPAR>12. Section 40.32, paragraph (e) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 40.32 </SECTNO>
                        <SUBJECT>General requirements for issuance of specific licenses.</SUBJECT>
                        <STARS/>
                        <P>(e) In the case of an application for a license for a uranium enrichment facility, or for a license to possess and use source and byproduct material for uranium milling, production of uranium hexafluoride, or for the conduct of any other activity which the NRC determines will significantly affect the quality of the environment, the Director, Office of Federal and State Materials and Environmental Management Programs or his/her designee, before commencement of construction, on the basis of information filed and evaluations made pursuant to subpart A of part 51 of this chapter, has concluded, after weighing the environmental, economic, technical and other benefits against environmental costs and considering available alternatives, that the action called for is the issuance of the proposed license, with any appropriate conditions to protect environmental values. Commencement of construction prior to this conclusion is grounds for denial of a license to possess and use source and byproduct material in the plant or facility. Commencement of construction as defined in § 40.4 may include non-construction activities if the activity has a reasonable nexus to radiological safety and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="51">
                    <PART>
                        <HD SOURCE="HED">PART 51—ENVIRONMENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS</HD>
                    </PART>
                    <AMDPAR>13. The authority citation for part 51 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority: </HD>
                        <P> Sec. 161, 68 Stat. 948, as amended, sec. 1701, 106 Stat. 2951, 2952, 2953, (42 U.S.C. 2201, 2297f); secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Subpart A also issued under National Environmental Policy Act of 1969, secs. 102, 104, 105, 83 Stat. 853-854, as amended (42 U.S.C. 4332, 4334, 4335); and Pub. L. 95-604, Title II, 92 Stat. 3033-3041; and sec. 193, Pub. L. 101-575, 104 Stat. 2835 (42 U.S.C. 2243). Sections 51.20, 51.30, 51.60, 51.80. and 51.97 also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 2232, 2241, and sec. 148, Pub. L. 100-203, 101 Stat. 1330-223 (42 U.S.C. 10155, 10161, 10168). Section 51.22 also issued under sec. 274, 73 Stat. 688, as amended by 92 Stat. 3036-3038 (42 U.S.C. 2021) and under Nuclear Waste Policy Act of 1982, sec. 121, 96 Stat. 2228 (42 U.S.C. 10141). Sections 51.43, 51.67, and 51.109 also issued under Nuclear Waste Policy Act of 1982, sec. 114(f), 96 Stat. 2216, as amended (42 U.S.C. 10134(f)).</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="51">
                    <AMDPAR>14. In § 51.4, the definition for the term “construction” is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 51.4 </SECTNO>
                        <SUBJECT>Definitions.</SUBJECT>
                        <STARS/>
                        <P>
                            <E T="03">Construction</E>
                             means:
                        </P>
                        <P>(1) For production and utilization facilities, the activities in paragraph (1)(i) of this definition, and does not mean the activities in paragraph (1)(ii) of this definition.</P>
                        <P>(i) Activities constituting construction are the driving of piles, subsurface preparation, placement of backfill, concrete, or permanent retaining walls within an excavation, installation of foundations, or in-place assembly, erection, fabrication, or testing, which are for:</P>
                        <P>(A) Safety-related structures, systems, or components (SSCs) of a facility, as defined in 10 CFR 50.2;</P>
                        <P>(B) SSCs relied upon to mitigate accidents or transients or used in plant emergency operating procedures;</P>
                        <P>(C) SSCs whose failure could prevent safety-related SSCs from fulfilling their safety-related function;</P>
                        <P>(D) SSCs whose failure could cause a reactor scram or actuation of a safety-related system;</P>
                        <P>(E) SSCs necessary to comply with 10 CFR part 73;</P>
                        <P>(F) SSCs necessary to comply with 10 CFR 50.48 and criterion 3 of 10 CFR part 50, appendix A; and</P>
                        <P>
                            (G) Onsite emergency facilities (
                            <E T="03">i.e.,</E>
                             technical support and operations support centers), necessary to comply with 10 CFR 50.47 and 10 CFR part 50, appendix E.
                        </P>
                        <P>(ii) Construction does not include:</P>
                        <P>(A) Changes for temporary use of the land for public recreational purposes;</P>
                        <P>(B) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;</P>
                        <P>(C) Preparation of a site for construction of a facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas;</P>
                        <P>(D) Erection of fences and other access control measures that are not safety or security related, and do not pertain to radiological controls;</P>
                        <P>(E) Excavation;</P>
                        <P>
                            (F) Erection of support buildings (
                            <E T="03">e.g.,</E>
                             construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;
                        </P>
                        <P>
                            (G) Building of service facilities (
                            <E T="03">e.g.,</E>
                             paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewerage treatment facilities, and transmission lines);
                        </P>
                        <P>(H) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility;</P>
                        <P>(I) Manufacture of a nuclear power reactor under a manufacturing license under subpart F of part 52 of this chapter to be installed at the proposed site and to be part of the proposed facility; or</P>
                        <P>
                            (J) With respect to production or utilization facilities, other than testing 
                            <PRTPAGE P="56965"/>
                            facilities and nuclear power plants, required to be licensed under section 104.a or section 104.c of the Act, the erection of buildings which will be used for activities other than operation of a facility and which may also be used to house a facility (
                            <E T="03">e.g.,</E>
                             the construction of a college laboratory building with space for installation of a training reactor).
                        </P>
                        <P>(2) For materials licenses, taking any site-preparation activity at the site of a facility subject to the regulations in 10 CFR parts 30, 36, 40, and 70 that has a reasonable nexus to radiological health and safety or the common defense and security; provided, however, that construction does not mean:</P>
                        <P>(i) Those actions or activities listed in paragraphs (1)(ii)(A)-(H) of this definition; or</P>
                        <P>(ii) Taking any other action that has no reasonable nexus to radiological health and safety or the common defense and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="51">
                    <AMDPAR>15. Section 51.45, paragraph (c) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 51.45 </SECTNO>
                        <SUBJECT>Environmental report.</SUBJECT>
                        <STARS/>
                        <P>
                            (c) 
                            <E T="03">Analysis.</E>
                             The environmental report must include an analysis that considers and balances the environmental effects of the proposed action, the environmental impacts of alternatives to the proposed action, and alternatives available for reducing or avoiding adverse environmental effects. An environmental report required for materials licenses under § 51.60 must also include a description of those site preparation activities excluded from the definition of construction under § 51.4 which have been or will be undertaken at the proposed site (
                            <E T="03">i.e.,</E>
                             those activities listed in paragraphs (2)(i) and (2)(ii) in the definition of construction contained in § 51.4); a description of the impacts of such excluded site preparation activities; and an analysis of the cumulative impacts of the proposed action when added to the impacts of such excluded site preparation activities on the human environment. An environmental report prepared at the early site permit stage under § 51.50(b), limited work authorization stage under § 51.49, construction permit stage under § 51.50(a), or combined license stage under § 51.50(c) must include a description of impacts of the preconstruction activities performed by the applicant at the proposed site (
                            <E T="03">i.e.,</E>
                             those activities listed in paragraph (1)(ii) in the definition of “construction” contained in § 51.4), necessary to support the construction and operation of the facility which is the subject of the early site permit, limited work authorization, construction permit, or combined license application. The environmental report must also contain an analysis of the cumulative impacts of the activities to be authorized by the limited work authorization, construction permit, or combined license in light of the preconstruction impacts described in the environmental report. Except for an environmental report prepared at the early site permit stage, or an environmental report prepared at the license renewal stage under § 51.53(c), the analysis in the environmental report should also include consideration of the economic, technical, and other benefits and costs of the proposed action and its alternatives. Environmental reports prepared at the license renewal stage under § 51.53(c) need not discuss the economic or technical benefits and costs of either the proposed action or alternatives except if these benefits and costs are either essential for a determination regarding the inclusion of an alternative in the range of alternatives considered or relevant to mitigation. In addition, environmental reports prepared under § 51.53(c) need not discuss issues not related to the environmental effects of the proposed action and its alternatives. The analyses for environmental reports shall, to the fullest extent practicable, quantify the various factors considered. To the extent that there are important qualitative considerations or factors that cannot be quantified, those considerations or factors shall be discussed in qualitative terms. The environmental report should contain sufficient data to aid the Commission in its development of an independent analysis.
                        </P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="70">
                    <PART>
                        <HD SOURCE="HED">PART 70—DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL</HD>
                    </PART>
                    <AMDPAR>16. The authority citation for part 70 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, 948, 953, 954, as amended, sec. 234, 83 Stat. 444, as amended, (42 U.S.C. 2071, 2073, 2201, 2232, 2233, 2282, 2297f); secs. 201, as amended, 202, 204, 206, 88 Stat. 1242, as amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 5845, 5846). Sec. 193, 104 Stat. 2835 as amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C. 2243); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act of 2005, Pub. L. 109-58, 119 Stat. 194 (2005).</P>
                    </AUTH>
                    <EXTRACT>
                        <P>Sections 70.1(c) and 70.20a(b) also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161).</P>
                        <P>Section 70.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 70.21(g) also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Section 70.31 also issued under sec. 57d, Pub. L. 93-377, 88 Stat. 475 (42 U.S.C. 2077). Sections 70.36 and 70.44 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 70.81 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). Section 70.82 also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138).</P>
                    </EXTRACT>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="70">
                    <AMDPAR>17. In § 70.4 the definition for the term “commencement of construction” is revised and the term “construction” is added in alphabetical order to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 70.4 </SECTNO>
                        <SUBJECT>Definitions.</SUBJECT>
                        <STARS/>
                        <P>
                            <E T="03">Commencement of construction</E>
                             means taking any action defined as “construction” or any other activity at the site of a facility subject to the regulations in this part that has a reasonable nexus to:
                        </P>
                        <P>(1) Radiological health and safety; or</P>
                        <P>(2) Common defense and security.</P>
                        <STARS/>
                        <P>
                            <E T="03">Construction</E>
                             means the installation of foundations, or in-place assembly, erection, fabrication, or testing for any structure, system, or component of a facility or activity subject to the regulations in this part that are related to radiological safety or security. The term “construction” does not include:
                        </P>
                        <P>(1) Changes for temporary use of the land for public recreational purposes;</P>
                        <P>(2) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;</P>
                        <P>(3) Preparation of the site for construction of the facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas;</P>
                        <P>(4) Erection of fences and other access control measures that are not related to the safe use of, or security of, radiological materials subject to this part;</P>
                        <P>(5) Excavation;</P>
                        <P>
                            (6) Erection of support buildings (
                            <E T="03">e.g.,</E>
                             construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;
                        </P>
                        <P>
                            (7) Building of service facilities (
                            <E T="03">e.g.,</E>
                             paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary 
                            <PRTPAGE P="56966"/>
                            sewerage treatment facilities, and transmission lines);
                        </P>
                        <P>(8) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility; or</P>
                        <P>(9) Taking any other action that has no reasonable nexus to:</P>
                        <P>(i) Radiological health and safety, or</P>
                        <P>(ii) Common defense and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="70">
                    <AMDPAR>18. In § 70.23, paragraph (a)(7) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 70.23 </SECTNO>
                        <SUBJECT>Requirements for the approval of applications.</SUBJECT>
                        <P>(a) * * *</P>
                        <P>(7) Where the proposed activity is processing and fuel fabrication, scrap recovery, conversion of uranium hexafluoride, uranium enrichment facility construction and operation, or any other activity which the NRC determines will significantly affect the quality of the environment, the Director of Nuclear Material Safety and Safeguards or his/her designee, before commencement of construction of the plant or facility in which the activity will be conducted, on the basis of information filed and evaluations made pursuant to subpart A of part 51 of this chapter, has concluded, after weighing the environmental, economic, technical, and other benefits against environmental costs and considering available alternatives, that the action called for is the issuance of the proposed license, with any appropriate conditions to protect environmental values. Commencement of construction prior to this conclusion is grounds for denial to possess and use special nuclear material in the plant or facility. Commencement of construction as defined in section 70.4 may include non-construction activities if the activity has a reasonable nexus to radiological safety and security.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="150">
                    <PART>
                        <HD SOURCE="HED">PART 150—EXEMPTIONS AND CONTINUED REGULATORY AUTHORITY IN AGREEMENT STATES AND IN OFFSHORE WATERS UNDER SECTION 274</HD>
                    </PART>
                    <AMDPAR>19. The authority citation for part 150 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>Sec. 161, 68 Stat. 948, as amended, sec. 274, 73 Stat. 688 (42 U.S.C. 2201, 2021); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note); Energy Policy Act of 2005, Pub. L. No. 109-58, 119 Stat. 594 (2005).</P>
                    </AUTH>
                    <EXTRACT>
                        <P>Sections 150.3, 150.15, 150.15a, 150.31, 150.32 also issued under secs. 11e(2), 81, 68 Stat. 923, 935, as amended, secs. 83, 84, 92 Stat. 3033, 3039 (42 U.S.C. 2014e(2), 2111, 2113, 2114). Section 150.14 also issued under sec. 53, 68 Stat. 930, as amended (42 U.S.C. 2073).</P>
                        <P>Section 150.15 also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 150.17a also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Section 150.30 also issued under sec. 234, 83 Stat. 444 (42 U.S.C. 2282).</P>
                    </EXTRACT>
                </REGTEXT>
                <REGTEXT TITLE="10" PART="150">
                    <AMDPAR>20. In § 150.31, paragraph (b)(3)(iv) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 150.31 </SECTNO>
                        <SUBJECT>Requirements for Agreement State regulation of byproduct material.</SUBJECT>
                        <STARS/>
                        <P>(b) * * *</P>
                        <P>(3) * * *</P>
                        <P>(iv) Prohibit commencement of construction with respect to such material prior to complying with the provisions of paragraph (b)(3)(iii) of this section. As used in this paragraph:</P>
                        <P>
                            (A) The term 
                            <E T="03">commencement of construction</E>
                             means taking any action defined as “construction” or any other activity at the site of a facility subject to the regulations in this part that has a reasonable nexus to radiological health and safety.
                        </P>
                        <P>
                            (B) The term 
                            <E T="03">construction</E>
                             means the installation of foundations, or in-place assembly, erection, fabrication, or testing for any structure, system, or component of a facility or activity subject to the regulations in this part that have a reasonable nexus to radiological safety or security. The term “construction” does not include:
                        </P>
                        <P>
                            (
                            <E T="03">1</E>
                            ) Changes for temporary use of the land for public recreational purposes;
                        </P>
                        <P>
                            (
                            <E T="03">2</E>
                            ) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;
                        </P>
                        <P>
                            (
                            <E T="03">3</E>
                            ) Preparation of the site for construction of the facility, including clearing of the site, grading, installation of drainage, erosion and other environmental mitigation measures, and construction of temporary roads and borrow areas;
                        </P>
                        <P>
                            (
                            <E T="03">4</E>
                            ) Erection of fences and other access control measures that are not related to the safe use of or security of radiological materials subject to this part;
                        </P>
                        <P>
                            (
                            <E T="03">5</E>
                            ) Excavation;
                        </P>
                        <P>
                            (
                            <E T="03">6</E>
                            ) Erection of support buildings (
                            <E T="03">e.g.,</E>
                             construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;
                        </P>
                        <P>
                            (
                            <E T="03">7</E>
                            ) Building of service facilities (
                            <E T="03">e.g.,</E>
                             paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewerage treatment facilities, and transmission lines);
                        </P>
                        <P>
                            (
                            <E T="03">8</E>
                            ) Procurement or fabrication of components or portions of the proposed facility occurring at other than the final, in-place location at the facility; or
                        </P>
                        <P>
                            (
                            <E T="03">9</E>
                            ) Taking any other action which has no reasonable nexus to radiological health and safety.
                        </P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <SIG>
                    <DATED>Dated at Rockville, Maryland, this 9th day of September 2011.</DATED>
                    <P>For the Nuclear Regulatory Commission.</P>
                    <NAME>Annette Vietti-Cook,</NAME>
                    <TITLE>Secretary of the Commission.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23628 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7590-01-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>Federal Aviation Administration</SUBAGY>
                <CFR>14 CFR Part 71</CFR>
                <DEPDOC>[Docket No. FAA-2011-0425; Airspace Docket No. 11-ANM-9]</DEPDOC>
                <SUBJECT>Amendment of Class D and Modification of Class E Airspace; Grand Junction, CO</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Aviation Administration (FAA), DOT.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This action modifies Class E airspace at Grand Junction, CO. Additional controlled airspace is necessary to facilitate vectoring of Instrument Flight Rules (IFR) traffic from Grand Junction Regional Airport to en route and enhances the safety and management of aircraft operations at the airport. This action also amends Class D and Class E airspace to update the airport name from Grand Junction, Walker Field.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Effective date, 0901 UTC, December 15, 2011. The Director of the Federal Register approves this incorporation by reference action under 1 CFR Part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.</P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Eldon Taylor, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue, SW., Renton, WA 98057; telephone (425) 203-4537.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">History</HD>
                <P>
                    On July 8, 2011, the FAA published in the 
                    <E T="04">Federal Register</E>
                     a notice of 
                    <PRTPAGE P="56967"/>
                    proposed rulemaking to amend controlled airspace at Grand Junction, CO (76 FR 40293). Interested parties were invited to participate in this rulemaking effort by submitting written comments on the proposal to the FAA. No comments were received.
                </P>
                <P>Class D and Class E airspace designations are published in paragraph 5000, 6002, 6004 and 6005, respectively, of FAA Order 7400.9V dated August 9, 2011, and effective September 15, 2011, which is incorporated by reference in 14 CFR 71.1. The Class D and Class E airspace designations listed in this document will be published subsequently in that Order.</P>
                <HD SOURCE="HD1">The Rule</HD>
                <P>This action amends Title 14 Code of Federal Regulations (14 CFR) Part 71 by modifying Class E airspace at Grand Junction Regional Airport, Grand Junction, CO. Additional controlled airspace extending upward from 1,200 feet above the surface is necessary to accommodate vectoring IFR aircraft departing Grand Junction Regional Airport to en route airspace. This action also amends Class D and Class E airspace to update the airport name from Grand Junction, Walker Field, to Grand Junction Regional Airport, Grand Junction, CO.</P>
                <P>The FAA has determined this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. Therefore, this regulation: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the U.S. Code. Subtitle 1, Section 106 discusses the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it creates additional controlled airspace at Grand Junction Regional Airport, Grand Junction, CO.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 14 CFR Part 71</HD>
                    <P>Airspace, Incorporation by reference, Navigation (air).</P>
                </LSTSUB>
                <HD SOURCE="HD1">Adoption of the Amendment</HD>
                <P>In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR Part 71 as follows:</P>
                <REGTEXT TITLE="14" PART="71">
                    <PART>
                        <HD SOURCE="HED">PART 71—DESIGNATION OF CLASS A, B, C, D AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for 14 CFR Part 71 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="14" PART="71">
                    <SECTION>
                        <SECTNO>§ 71.1 </SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                    </SECTION>
                    <AMDPAR>2. The incorporation by reference in 14 CFR Part 71.1 of the Federal Aviation Administration Order 7400.9V, Airspace Designations and Reporting Points, dated August 9, 2011, and effective September 15, 2011 is amended as follows:</AMDPAR>
                    <EXTRACT>
                        <HD SOURCE="HD2">Paragraph 5000 Class D airspace.</HD>
                        <STARS/>
                        <HD SOURCE="HD1">ANM CO D Grand Junction, CO [Amended]</HD>
                        <FP SOURCE="FP-2">Grand Junction Regional Airport, CO</FP>
                        <FP SOURCE="FP1-2">(Lat. 39°07′21″ N., long. 108°31′36″ W.)</FP>
                        <P>That airspace extending upward from the surface to and including 7,400 feet MSL within a 4.7-mile radius of Grand Junction Regional Airport. This Class D airspace area is effective during the specific dates and times established in advance by a Notice to Airmen. The effective date and time will thereafter be continuously published in the Airport/Facility Directory.</P>
                        <HD SOURCE="HD2">Paragraph 6002 Class E airspace designated as surface areas.</HD>
                        <STARS/>
                        <HD SOURCE="HD1">ANM CO E2 Grand Junction, CO [Amended]</HD>
                        <FP SOURCE="FP-2">Grand Junction Regional Airport, CO</FP>
                        <FP SOURCE="FP1-2">(Lat. 39°07′21″ N., long. 108°31′36″ W.)</FP>
                        <P>Within a 4.7-mile radius of Grand Junction Regional Airport. This Class E airspace area is effective during the specific dates and times established in advance by a Notice to Airmen. The effective date and time will thereafter be continuously published in the Airport/Facility Directory.</P>
                        <HD SOURCE="HD2">Paragraph 6004 Class E airspace designated as an extension to a Class D surface area.</HD>
                        <STARS/>
                        <HD SOURCE="HD1">ANM CO E4 Grand Junction, CO [Amended]</HD>
                        <FP SOURCE="FP-2">Grand Junction Regional Airport, CO</FP>
                        <FP SOURCE="FP1-2">(Lat. 39°07′21” N., long. 108°31′36″ W.)</FP>
                        <FP SOURCE="FP-2">Grand Junction Localizer</FP>
                        <FP SOURCE="FP1-2">(Lat. 39°07′04″ N., long. 108°30′48″ W.)</FP>
                        <P>That airspace extending upward from the surface within 1.8 miles each side of the Grand Junction Regional Airport Runway 11 ILS localizer northwest course extending from the 4.7-mile radius of Grand Junction Regional Airport to 7 miles northwest of the localizer.</P>
                        <HD SOURCE="HD2">Paragraph 6005 Class E airspace areas extending upward from 700 feet or more above the surface of the earth.</HD>
                        <STARS/>
                        <HD SOURCE="HD1">ANM CO E5 Grand Junction, CO [Modified]</HD>
                        <FP SOURCE="FP-2">Grand Junction Regional Airport, CO</FP>
                        <FP SOURCE="FP1-2">(Lat. 39°07′21″ N., long. 108°31′36″ W.)</FP>
                        <FP SOURCE="FP-2">Grand Junction VOR/DME</FP>
                        <FP SOURCE="FP1-2">(Lat. 39°03′34″ N., long. 108°47′33″ W.)</FP>
                        <P>That airspace extending upward from 700 feet above the surface within 7 miles northwest and 4.3 miles southeast of the Grand Junction VOR/DME 247° and 067° radials extending from 11.4 miles southwest to 12.3 miles northeast of the VOR/DME, and within 1.8 miles south and 9.2 miles north of the Grand Junction VOR/DME 110° radial extending from the VOR/DME to 19.2 miles southeast; that airspace extending upward from 1,200 feet above the surface within a 33.1-mile radius of the Grand Junction VOR/DME beginning at the 020° bearing of the Grand Junction VOR/DME, clockwise to the 270° bearing of the Grand Junction VOR/DME, and within a 63-mile radius of the Grand Junction VOR/DME beginning at the 270° bearing of the Grand Junction VOR/DME, clockwise to the 020° bearing of the Grand Junction VOR/DME.</P>
                    </EXTRACT>
                </REGTEXT>
                <SIG>
                    <DATED>Issued in Seattle, Washington, on September 1, 2011.</DATED>
                    <NAME>Robert Henry,</NAME>
                    <TITLE>Acting Manager, Operations Support Group, Western Service Center.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23298 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-13-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>Federal Aviation Administration</SUBAGY>
                <CFR>14 CFR Part 71</CFR>
                <DEPDOC>[Docket No. FAA-2011-0560; Airspace Docket No. 11-ANM-15]</DEPDOC>
                <SUBJECT>Amendment of Class E Airspace; Glendive, MT</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Aviation Administration (FAA), DOT.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        This action modifies Class E airspace at Dawson Community Airport, Glendive, MT, to accommodate aircraft using Area Navigation (RNAV) Global Positioning System (GPS) standard instrument approach procedures. This improves the safety and management of 
                        <PRTPAGE P="56968"/>
                        Instrument Flight Rules (IFR) operations at the airport.
                    </P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Effective date, 0901 UTC, December 15, 2011. The Director of the Federal Register approves this incorporation by reference action under 1 CFR part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.</P>
                </EFFDATE>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Eldon Taylor, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue, SW., Renton, WA 98057; telephone (425) 203-4537.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">History</HD>
                <P>
                    On July 13, 2011, the FAA published in the 
                    <E T="04">Federal Register</E>
                     a notice of proposed rulemaking to amend controlled airspace at Glendive, MT (76 FR 41145). Interested parties were invited to participate in this rulemaking effort by submitting written comments on the proposal to the FAA. No comments were received.
                </P>
                <P>Class E airspace designations are published in paragraph 6005, of FAA Order 7400.9V dated August 9, 2011, and effective September 15, 2011, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designations listed in this document will be published subsequently in that Order.</P>
                <HD SOURCE="HD1">The Rule</HD>
                <P>This action amends Title 14 Code of Federal Regulations (14 CFR) part 71 by modifying Class E airspace, extending upward from 700 feet above the surface, at Dawson Community Airport, to accommodate IFR aircraft executing RNAV (GPS) standard instrument approach procedures at the airport. This action is necessary for the safety and management of IFR operations. Except for an editorial change in the airspace designation from [Modify] to [Modified], this rule is the same as that published in the notice of proposed rulemaking July 13, 2011.</P>
                <P>The FAA has determined this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. Therefore, this regulation: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the U.S. Code. Subtitle 1, Section 106 discusses the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it modifies controlled airspace at Dawson Community Airport, Glendive, MT.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 14 CFR Part 71</HD>
                    <P>Airspace, Incorporation by reference, Navigation (air).</P>
                </LSTSUB>
                <HD SOURCE="HD1">Adoption of the Amendment</HD>
                <P>In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows:</P>
                <REGTEXT TITLE="14" PART="71">
                    <PART>
                        <HD SOURCE="HED">PART 71—DESIGNATION OF CLASS A, B, C, D AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for 14 CFR part 71 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority: </HD>
                        <P>49 U.S.C. 106(g), 40103, 40113, 40120; E. O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="14" PART="71">
                    <SECTION>
                        <SECTNO>§ 71.1</SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                    </SECTION>
                    <AMDPAR>2. The incorporation by reference in 14 CFR 71.1 of the Federal Aviation Administration Order 7400.9V, Airspace Designations and Reporting Points, dated August 9, 2011, and effective September 15, 2011 is amended as follows:</AMDPAR>
                    <EXTRACT>
                        <HD SOURCE="HD2">Paragraph 6005 Class E airspace areas extending upward from 700 feet or more above the surface of the earth.</HD>
                        <STARS/>
                        <HD SOURCE="HD1">ANM MT E5 Glendive, MT [Modified]</HD>
                        <FP SOURCE="FP-2">Glendive, Dawson Community Airport, MT</FP>
                        <FP SOURCE="FP1-2">(Lat. 47°08′19″ N., long. 104°48′26″ W.)</FP>
                        <P>That airspace extending upward from 700 feet above the surface within a 10.5-mile radius of the Dawson Community Airport, and within 4 miles northeast and 8.3 miles southwest of the 325° bearing from the Dawson Community Airport extending from the 10.5-mile radius to 16.1 miles northwest of the airport; that airspace extending upward from 1,200 feet above the surface within an area bounded by lat. 47°38′00″ N., long. 104°48′00″ W.; to lat. 47°17′00″ N., long. 104°05′00″ W.; to lat. 46°54′00″ N., long. 104°05′00″ W.; to lat. 46°45′00″ N., long. 105°09′00″ W.; to lat. 47°00′00″ N., long. 105°37′00″ W.; to lat. 47°19′00″ N., long. 105°15′00″ W., thence to the point of beginning.</P>
                    </EXTRACT>
                </REGTEXT>
                <SIG>
                    <DATED>Issued in Seattle, Washington, on September 1, 2011.</DATED>
                    <NAME>Robert Henry,</NAME>
                    <TITLE>Acting Manager, Operations Support Group, Western Service Center</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23299 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-13-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>Federal Aviation Administration</SUBAGY>
                <CFR>14 CFR Part 71</CFR>
                <SUBJECT>[Docket No. FAA-2011-0490; Airspace Docket No. 11-AWP-5]</SUBJECT>
                <SUBJECT>Amendment of Class E Airspace; Tonopah, NV</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Aviation Administration (FAA), DOT.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This action modifies Class E airspace at Tonopah, NV, to accommodate aircraft using new Area Navigation (RNAV) Global Positioning System (GPS) standard instrument approach procedures at Tonopah Airport, NV. This action also makes a minor adjustment to the geographic coordinates of the airport, and corrects geographic coordinates in the regulatory text. This rule improves the safety and management of Instrument Flight Rules (IFR) operations at the airport.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Effective date, 0901 UTC, December 15, 2011. The Director of the Federal Register approves this incorporation by reference action under 1 CFR Part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments.</P>
                </EFFDATE>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Eldon Taylor, Federal Aviation Administration, Operations Support Group, Western Service Center, 1601 Lind Avenue, SW., Renton, WA 98057; telephone (425) 203-4537.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">History</HD>
                <P>
                    On July 8, 2011, the FAA published in the 
                    <E T="04">Federal Register</E>
                     a notice of proposed rulemaking to amend controlled airspace at Tonopah, NV (76 FR 40295). Interested parties were invited to participate in this rulemaking effort by submitting written comments on the proposal to the FAA. No 
                    <PRTPAGE P="56969"/>
                    comments were received. Subsequent to publication, the FAAs Aeronautical Products office made further adjustments to the geographic coordinates listed in the regulatory text, and these are included in this rulemaking.
                </P>
                <P>Class E airspace designations are published in paragraph 6002 and 6005, respectively, of FAA Order 7400.9V dated August 9, 2011, and effective September 15, 2011, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designations listed in this document will be published subsequently in that Order.</P>
                <HD SOURCE="HD1">The Rule</HD>
                <P>This action amends Title 14 Code of Federal Regulations (14 CFR) Part 71 by modifying Class E surface airspace, and Class E airspace extending upward from 700 feet above the surface, at Tonopah Airport, Tonopah, NV, to accommodate IFR aircraft executing new RNAV (GPS) standard instrument approach procedures at the airport. Also, the geographic coordinates of the airport are updated to coincide with the FAA's aeronautical database. Additionally, the latitude and longitude coordinates in the text of Class E airspace listed under paragraph 6005 are adjusted to be in concert with the FAA's aeronautical database. This action is necessary for the safety and management of IFR operations. With the exception of editorial changes and the changes noted above, this rule is the same as that proposed in the notice of proposed rulemaking July 8, 2011.</P>
                <P>The FAA has determined this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. Therefore, this regulation: (1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the U.S. Code. Subtitle 1, Section 106 discusses the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it creates additional controlled airspace at Tonopah Airport, Tonopah, NV.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 14 CFR Part 71</HD>
                    <P>Airspace, Incorporation by reference, Navigation (air).</P>
                </LSTSUB>
                <HD SOURCE="HD1">Adoption of the Amendment</HD>
                <P>In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR Part 71 as follows:</P>
                <REGTEXT TITLE="14" PART="97">
                    <PART>
                        <HD SOURCE="HED">PART 71—DESIGNATION OF CLASS A, B, C, D AND E AIRSPACE AREAS; AIR TRAFFIC SERVICE ROUTES; AND REPORTING POINTS</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for 14 CFR Part 71 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.</P>
                    </AUTH>
                    <SECTION>
                        <SECTNO>§ 71.1 </SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                    </SECTION>
                    <AMDPAR>2. The incorporation by reference in 14 CFR 71.1 of the Federal Aviation Administration Order 7400.9V, Airspace Designations and Reporting Points, dated August 9, 2011, and effective September 15, 2011 is amended as follows:</AMDPAR>
                    <EXTRACT>
                        <HD SOURCE="HD2">Paragraph 6002 Class E airspace designated as surface areas.</HD>
                        <STARS/>
                        <HD SOURCE="HD1">AWP NV E2 Tonopah, NV [Modified]</HD>
                        <FP SOURCE="FP-2">Tonopah Airport, NV</FP>
                        <FP SOURCE="FP1-2">(Lat. 38°03′37″ N., long. 117°05′13″ W.)</FP>
                        <P>Within a 8.2-mile radius of the Tonopah Airport and within 2 miles each side of the 358° bearing from the Tonopah Airport extending from the 8.2-mile radius to 10.5 miles north of the Tonopah Airport, and within 2 miles each side of the Tonopah Airport 117° bearing extending from the 8.2-mile radius to 11.5 miles southeast of the Tonopah Airport. This Class E airspace area is effective during the specific dates and times established in advance by a Notice to Airmen. The effective date and time will thereafter be continuously published in the Airport/Facility Directory.</P>
                        <HD SOURCE="HD2">Paragraph 6005 Class E airspace areas extending upward from 700 feet or more above the surface of the earth.</HD>
                        <STARS/>
                        <HD SOURCE="HD1">AWP NV E5 Tonopah, NV [Modified]</HD>
                        <FP SOURCE="FP-2">Tonopah Airport, NV</FP>
                        <FP SOURCE="FP1-2">(Lat. 38°03′37″ N., long. 117°05′13″ W.)</FP>
                        <P>That airspace extending upward from 700 feet above the surface within a 10.7-mile radius of the Tonopah Airport, and that airspace northwest of the Tonopah Airport bounded by a line beginning at lat. 38°10′16″ N., long. 117°15′50″ W.; to lat. 38°12′00″ N., long. 117°17′00″ W.; to lat. 38°18′00″ N., long. 117°17′00″ W.; to lat. 38°18′00″ N., long. 117°03′00″ W.; to lat. 38°14′13″ N., long. 117°03′13″ W.; thence clockwise via the 10.7-mile radius of the Tonopah Airport to lat. 38°00′36″ N., long. 116°52′13″ W.; to lat. 38°00′09″ N., long. 116°51′06″ W.; to lat. 37°56′35″ N., long. 116°53′24″ W.; to lat. 37°57′02″ N., long. 116°54′31″ W.; thence clockwise via the 10.7-mile radius of the Tonopah Airport to the point of beginning. That airspace extending upward from 1,200 feet above the surface within the area bounded by a line beginning at lat. 37°52′46″ N., long. 117°05′41″ W.; to lat. 37°39′00″ N., long. 117°22′00″ W.; to lat. 37°35′00″ N., long. 117°36′00″ W.; to lat. 37°56′00″ N., long. 117°54′00″ W.; to lat. 37°56′50″ N., long. 117°32′00″ W.; to lat. 38°08′00″ N., long. 117°41′00″ W.; to lat. 38°18′00″ N., long. 117°24′00″ W.; to lat. 38°18′00″ N., long. 117°00′00″ W.; to lat. 38°14′00″ N., long. 117°00′00″ W.; to lat. 38°17′00″ N., long. 116°36′00″ W.; to lat. 38°00′00″ N., long. 116°33′00″ W.; to lat. 37°59′30″ N., long. 116°38′30″ W.; to lat. 37°53′00″ N., long. 116°38′30″ W.; thence to the point of beginning.</P>
                    </EXTRACT>
                </REGTEXT>
                <SIG>
                    <DATED>Issued in Seattle, Washington, on September 1, 2011.</DATED>
                    <NAME>Robert Henry,</NAME>
                    <TITLE>Acting Manager, Operations Support Group, Western Service Center.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23297 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-13-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>Federal Aviation Administration</SUBAGY>
                <CFR>14 CFR Part 97</CFR>
                <DEPDOC>[Docket No. 30801; Amdt. No. 3442]</DEPDOC>
                <SUBJECT>Standard Instrument Approach Procedures, and Takeoff Minimums and Obstacle Departure Procedures; Miscellaneous Amendments</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Aviation Administration (FAA), DOT.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        This establishes, amends, suspends, or revokes Standard Instrument Approach Procedures (SIAPs) and associated Takeoff Minimums and Obstacle Departure Procedures for operations at certain airports. These regulatory actions are needed because of the adoption of new or revised criteria, or because of changes occurring in the National Airspace System, such as the commissioning of new navigational facilities, adding new obstacles, or changing air traffic requirements. These changes are designed to provide safe and efficient 
                        <PRTPAGE P="56970"/>
                        use of the navigable airspace and to promote safe flight operations under instrument flight rules at the affected airports.
                    </P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This rule is effective September 15, 2011. The compliance date for each SIAP, associated Takeoff Minimums, and ODP is specified in the amendatory provisions.</P>
                    <P>The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of September 15, 2011.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Availability of matters incorporated by reference in the amendment is as follows:</P>
                    <P>
                        <E T="03">For Examination—</E>
                    </P>
                    <P>1. FAA Rules Docket, FAA Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591;</P>
                    <P>2. The FAA Regional Office of the region in which the affected airport is located;</P>
                    <P>3. The National Flight Procedures Office, 6500 South MacArthur Blvd., Oklahoma City, OK 73169 or</P>
                    <P>
                        4. The National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: 
                        <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html</E>
                        .
                    </P>
                    <P>
                        <E T="03">Availability</E>
                        —All SIAPs and Takeoff Minimums and ODPs are available online free of charge. Visit 
                        <E T="03">http://www.nfdc.faa.gov</E>
                         to register. Additionally, individual SIAP and Takeoff Minimums and ODP copies may be obtained from:
                    </P>
                    <P>1. FAA Public Inquiry Center (APA-200), FAA Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591; or</P>
                    <P>2. The FAA Regional Office of the region in which the affected airport is located.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Harry J. Hodges, Flight Procedure Standards Branch (AFS-420), Flight Technologies and Programs Divisions, Flight Standards Service, Federal Aviation Administration, Mike Monroney Aeronautical Center, 6500 South MacArthur Blvd., Oklahoma City, OK 73169 (Mail Address: P.O. Box 25082, Oklahoma City, OK 73125) Telephone: (405) 954-4164.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>This rule amends Title 14 of the Code of Federal Regulations, Part 97 (14 CFR part 97), by establishing, amending, suspending, or revoking SIAPS, Takeoff Minimums and/or ODPS. The complete regulators description of each SIAP and its associated Takeoff Minimums or ODP for an identified airport is listed on FAA form documents which are incorporated by reference in this amendment under 5 U.S.C. 552(a), 1 CFR part 51, and 14 CFR 97.20. The applicable FAA Forms are FAA Forms 8260-3, 8260-4, 8260-5, 8260-15A, and 8260-15B when required by an entry on 8260-15A.</P>
                <P>
                    The large number of SIAPs, Takeoff Minimums and ODPs, in addition to their complex nature and the need for a special format make publication in the 
                    <E T="04">Federal Register</E>
                     expensive and impractical. Furthermore, airmen do not use the regulatory text of the SIAPs, Takeoff Minimums or ODPs, but instead refer to their depiction on charts printed by publishers of aeronautical materials. The advantages of incorporation by reference are realized and publication of the complete description of each SIAP, Takeoff Minimums and ODP listed on FAA forms is unnecessary. This amendment provides the affected CFR sections and specifies the types of SIAPs and the effective dates of the associated Takeoff Minimums and ODPs. This amendment also identifies the airport and its location, the procedure, and the amendment number.
                </P>
                <HD SOURCE="HD1">The Rule</HD>
                <P>This amendment to 14 CFR part 97 is effective upon publication of each separate SIAP, Takeoff Minimums and ODP as contained in the transmittal. Some SIAP and Takeoff Minimums and textual ODP amendments may have been issued previously by the FAA in a Flight Data Center (FDC) Notice to Airmen (NOTAM) as an emergency action of immediate flight safety relating directly to published aeronautical charts. The circumstances which created the need for some SIAP and Takeoff Minimums and ODP amendments may require making them effective in less than 30 days. For the remaining SIAPS and Takeoff Minimums and ODPS, an effective date at least 30 days after publication is provided.</P>
                <P>Further, the SIAPs and Takeoff Minimums and ODPS contained in this amendment are based on the criteria contained in the U.S. Standard for Terminal Instrument Procedures (TERPS). In developing these SIAPS and Takeoff Minimums and ODPs, the TERPS criteria were applied to the conditions existing or anticipated at the affected airports. Because of the close and immediate relationship between these SIAPs, Takeoff Minimums and ODPs, and safety in air commerce, I find that notice and public procedures before adopting these SIAPS, Takeoff Minimums and ODPs are impracticable and contrary to the public interest and, where applicable, that good cause exists for making some SIAPs effective in less than 30 days.</P>
                <HD SOURCE="HD1">Conclusion</HD>
                <P>The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore—(1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. For the same reason, the FAA certifies that this amendment will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 14 CFR Part 97</HD>
                    <P>Air traffic control, Airports, Incorporation by reference, and Navigation (Air).</P>
                </LSTSUB>
                <SIG>
                    <DATED>Issued in Washington, DC, on September 2, 2011.</DATED>
                    <NAME>Ray Towles,</NAME>
                    <TITLE>Deputy Director, Flight Standards Service.</TITLE>
                </SIG>
                <HD SOURCE="HD1">Adoption of the Amendment</HD>
                <P>Accordingly, pursuant to the authority delegated to me, Title 14, Code of Federal Regulations, Part 97 (14 CFR part 97) is amended by establishing, amending, suspending, or revoking Standard Instrument Approach Procedures and/or Takeoff Minimums and/or Obstacle Departure Procedures effective at 0902 UTC on the dates specified, as follows:</P>
                <REGTEXT TITLE="14" PART="97">
                    <PART>
                        <HD SOURCE="HED">PART 97—STANDARD INSTRUMENT APPROACH PROCEDURES</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for part 97 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P> 49 U.S.C. 106(g), 40103, 40106, 40113, 40114, 40120, 44502, 44514, 44701, 44719, 44721-44722.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="14" PART="97">
                    <AMDPAR>2. Part 97 is amended to read as follows:</AMDPAR>
                    <EXTRACT>
                        <HD SOURCE="HD2">Effective 22 September 2011</HD>
                        <FP SOURCE="FP-1">Abbeville, LA, Abbeville Chris Crusta Memorial, LOC RWY 16, Orig.</FP>
                        <HD SOURCE="HD2">Effective 20 October 2011</HD>
                        <FP SOURCE="FP-1">Anchorage, AK, Ted Stevens Anchorage Intl, ILS OR LOC/DME RWY 7R; ILS RWY 7R (CAT II); ILS RWY 7R (CAT III), Amdt 1</FP>
                        <FP SOURCE="FP-1">
                            Anchorage, AK, Ted Stevens Anchorage Intl, RNAV (GPS) RWY 7R, Amdt 3
                            <PRTPAGE P="56971"/>
                        </FP>
                        <FP SOURCE="FP-1">De Queen, AR, J Lynn Helms Sevier County, NDB RWY 8, Amdt 5A, CANCELLED</FP>
                        <FP SOURCE="FP-1">Heber Springs, AR, Heber Springs Muni, Takeoff Minimums and Obstacle DP, Orig</FP>
                        <FP SOURCE="FP-1">Searcy, AR, Searcy Muni, Takeoff Minimums and Obstacle DP, Orig</FP>
                        <FP SOURCE="FP-1">Telluride, CO, Telluride Rgnl, GPS RWY 9, Amdt 1A, CANCELLED</FP>
                        <FP SOURCE="FP-1">Telluride, CO, Telluride Rgnl, RNAV (GPS) RWY 9, Orig</FP>
                        <FP SOURCE="FP-1">Bridgeport, CT, Igor I. Sikorsky Memorial, Takeoff Minimums and Obstacle DP, Amdt 5</FP>
                        <FP SOURCE="FP-1">Atlanta, GA, Hartsfield-Jackson Atlanta Intl, Takeoff Minimums and Obstacle, DP, Amdt 4</FP>
                        <FP SOURCE="FP-1">Corning, IA, Corning Muni, NDB RWY 18, Amdt 2, CANCELLED</FP>
                        <FP SOURCE="FP-1">Indianapolis, IN, Eagle Creek Airpark, Takeoff Minimums and Obstacle DP, Amdt 2</FP>
                        <FP SOURCE="FP-1">Indianapolis, IN, Greenwood Muni, Takeoff Minimums and Obstacle DP, Amdt 3</FP>
                        <FP SOURCE="FP-1">Indianapolis, IN, Indianapolis Executive, Takeoff Minimums and Obstacle DP, Amdt 1</FP>
                        <FP SOURCE="FP-1">Shelbyville, IN, Shelbyville Muni, Takeoff Minimums and Obstacle DP, Amdt 5</FP>
                        <FP SOURCE="FP-1">Leesville, LA, Leesville, NDB RWY 36, Amdt 2, Orig</FP>
                        <FP SOURCE="FP-1">Leesville, LA, Leesville, RNAV (GPS) RWY 18, Orig</FP>
                        <FP SOURCE="FP-1">Leesville, LA, Leesville, RNAV (GPS) RWY 36, Amdt 1</FP>
                        <FP SOURCE="FP-1">Leesville, LA, Leesville, Takeoff Minimums and Obstacle DP, Orig</FP>
                        <FP SOURCE="FP-1">Traverse City, MI, Cherry Capital, ILS OR LOC RWY 28, Amdt 13</FP>
                        <FP SOURCE="FP-1">Butler, MO, Butler Memorial, Takeoff Minimums and Obstacle DP, Orig</FP>
                        <FP SOURCE="FP-1">Marshall, MO, Marshall Memorial Muni, NDB RWY 36, Amdt 4</FP>
                        <FP SOURCE="FP-1">Marshall, MO, Marshall Memorial Muni, RNAV (GPS) RWY 18, Amdt 2A</FP>
                        <FP SOURCE="FP-1">Marshall, MO, Marshall Memorial Muni, RNAV (GPS) RWY 36, Amdt 3</FP>
                        <FP SOURCE="FP-1">Teterboro, NJ, Teterboro, Takeoff Minimums and Obstacle DP, Amdt 7</FP>
                        <FP SOURCE="FP-1">Ely, NV, Ely Arprt-Yelland Fld, ELY TWO Graphic DP</FP>
                        <FP SOURCE="FP-1">Akron, OH, Akron-Canton Rgnl, ILS OR LOC RWY 5, Orig-A</FP>
                        <FP SOURCE="FP-1">Akron, OH, Akron-Canton Rgnl, ILS OR LOC RWY 23, Amdt 11A</FP>
                        <FP SOURCE="FP-1">Cincinnati, OH, Cincinnati Muni Airport—Lunken Field, NDB RWY 25, Amdt 11</FP>
                        <FP SOURCE="FP-1">New Philadelphia, OH, Harry Clever Field, GPS RWY 14, Amdt 1, CANCELLED</FP>
                        <FP SOURCE="FP-1">New Philadelphia, OH, Harry Clever Field, RNAV (GPS) RWY 14, Orig</FP>
                        <FP SOURCE="FP-1">New Philadelphia, OH, Harry Clever Field, Takeoff Minimums and Obstacle DP, Amdt 3</FP>
                        <FP SOURCE="FP-1">New Philadelphia, OH, Harry Clever Field, VOR-A, Amdt 2</FP>
                        <FP SOURCE="FP-1">New Philadelphia, OH, Harry Clever Field, VOR/DME OR GPS-B, Amdt 2B, CANCELLED</FP>
                        <FP SOURCE="FP-1">Ardmore, OK, Ardmore Muni, ILS OR LOC RWY 31, Amdt 5</FP>
                        <FP SOURCE="FP-1">Ardmore, OK, Ardmore Muni, RNAV (GPS) RWY 13, Orig</FP>
                        <FP SOURCE="FP-1">Ardmore, OK, Ardmore Muni, RNAV (GPS) RWY 31, Amdt 1</FP>
                        <FP SOURCE="FP-1">Ardmore, OK, Ardmore Muni, Takeoff Minimums and Obstacle DP, Amdt 2</FP>
                        <FP SOURCE="FP-1">Salem, OR, McNary Field, Takeoff Minimums and Obstacle DP, Amdt 8</FP>
                        <FP SOURCE="FP-1">Meadville, PA, Port Meadville, LOC RWY 25, Amdt 6</FP>
                        <FP SOURCE="FP-1">Meadville, PA, Port Meadville, VOR RWY 7, Amdt 8</FP>
                        <FP SOURCE="FP-1">Greenville, TX, Majors, ILS OR LOC Y RWY 17, Orig</FP>
                        <FP SOURCE="FP-1">Greenville, TX, Majors, ILS OR LOC Z RWY 17, Amdt 7A</FP>
                        <FP SOURCE="FP-1">Greenville, TX, Majors, TACAN RWY 17, Orig</FP>
                        <FP SOURCE="FP-1">Greenville, TX, Majors, TACAN RWY 35, Orig</FP>
                        <FP SOURCE="FP-1">Wheeler, TX, Wheeler Muni, RNAV (GPS) RWY 17, Orig</FP>
                        <FP SOURCE="FP-1">Wheeler, TX, Wheeler Muni, RNAV (GPS) RWY 35, Orig</FP>
                        <FP SOURCE="FP-1">Wheeler, TX, Wheeler Muni, VOR/DME-A, Amdt 2</FP>
                        <FP SOURCE="FP-1">Milwaukee, WI, General Mitchell Intl, Takeoff Minimums and Obstacle DP, Amdt 7</FP>
                        <FP SOURCE="FP-1">Mineral Point, WI, Iowa County, Takeoff Minimums and Obstacle DP, Orig</FP>
                    </EXTRACT>
                </REGTEXT>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23182 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-13-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>Federal Aviation Administration</SUBAGY>
                <CFR>14 CFR Part 97</CFR>
                <DEPDOC>[Docket No. 30802; Amdt. No. 3443]</DEPDOC>
                <SUBJECT>Standard Instrument Approach Procedures, and Takeoff Minimums and Obstacle Departure Procedures; Miscellaneous Amendments</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Aviation Administration (FAA), DOT.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This rule establishes, amends, suspends, or revokes Standard Instrument Approach Procedures (SIAPs) and associated Takeoff Minimums and Obstacle Departure Procedures for operations at certain airports. These regulatory actions are needed because of the adoption of new or revised criteria, or because of changes occurring in the National Airspace System, such as the commissioning of new navigational facilities, adding new obstacles, or changing air traffic requirements. These changes are designed to provide safe and efficient use of the navigable airspace and to promote safe flight operations under instrument flight rules at the affected airports.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This rule is effective September 15, 2011. The compliance date for each SIAP, associated Takeoff Minimums, and ODP is specified in the amendatory provisions.</P>
                    <P>The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of September 15, 2011.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Availability of matter incorporated by reference in the amendment is as follows:</P>
                </ADD>
                <HD SOURCE="HD1">For Examination</HD>
                <P>1. FAA Rules Docket, FAA Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591;</P>
                <P>2. The FAA Regional Office of the region in which the affected airport is located;</P>
                <P>3. The National Flight Procedures Office, 6500 South MacArthur Blvd., Oklahoma City, OK 73169 or</P>
                <P>
                    4. The National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202-741-6030, or go to: 
                    <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E>
                </P>
                <HD SOURCE="HD1">Availability</HD>
                <P>
                    All SIAPs are available online free of charge. Visit 
                    <E T="03">nfdc.faa.gov</E>
                     to register. Additionally, individual SIAP and Takeoff Minimums and ODP copies may be obtained from:
                </P>
                <P>1. FAA Public Inquiry Center (APA-200), FAA Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591; or</P>
                <P>2. The FAA Regional Office of the region in which the affected airport is located.</P>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Harry J. Hodges, Flight Procedure Standards Branch (AFS-420) Flight Technologies and Programs Division, Flight Standards Service, Federal Aviation Administration, Mike Monroney Aeronautical Center, 6500 South MacArthur Blvd., Oklahoma City, OK 73169 (
                        <E T="03">Mail Address:</E>
                         P.O. Box 25082, Oklahoma City, OK 73125) 
                        <E T="03">telephone:</E>
                         (405) 954-4164.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>This rule amends Title 14, Code of Federal Regulations, part 97 (14 CFR part 97) by amending the referenced SIAPs. The complete regulatory description of each SIAP is listed on the appropriate FAA Form 8260, as modified by the National Flight Data Center (FDC)/Permanent Notice to Airmen (P-NOTAM), and is incorporated by reference in the amendment under 5 U.S.C. 552(a), 1 CFR part 51, and § 97.20 of Title 14 of the Code of Federal Regulations.</P>
                <P>
                    The large number of SIAPs, their complex nature, and the need for a special format make their verbatim publication in the 
                    <E T="04">Federal Register</E>
                      
                    <PRTPAGE P="56972"/>
                    expensive and impractical. Further, airmen do not use the regulatory text of the SIAPs, but refer to their graphic depiction on charts printed by publishers of aeronautical materials. Thus, the advantages of incorporation by reference are realized and publication of the complete description of each SIAP contained in FAA form documents is unnecessary. This amendment provides the affected CFR sections and specifies the types of SIAP and the corresponding effective dates. This amendment also identifies the airport and its location, the procedure and the amendment number.
                </P>
                <HD SOURCE="HD1">The Rule</HD>
                <P>This amendment to 14 CFR part 97 is effective upon publication of each separate SIAP as amended in the transmittal. For safety and timeliness of change considerations, this amendment incorporates only specific changes contained for each SIAP as modified by FDC/P-NOTAMs.</P>
                <P>The SIAPs, as modified by FDC P-NOTAM, and contained in this amendment are based on the criteria contained in the U.S. Standard for Terminal Instrument Procedures (TERPS). In developing these changes to SIAPs, the TERPS criteria were applied only to specific conditions existing at the affected airports. All SIAP amendments in this rule have been previously issued by the FAA in a FDC NOTAM as an emergency action of immediate flight safety relating directly to published aeronautical charts. The circumstances which created the need for all these SIAP amendments requires making them effective in less than 30 days.</P>
                <P>Because of the close and immediate relationship between these SIAPs and safety in air commerce, I find that notice and public procedure before adopting these SIAPs are impracticable and contrary to the public interest and, where applicable, that good cause exists for making these SIAPs effective in less than 30 days.</P>
                <HD SOURCE="HD1">Conclusion</HD>
                <P>The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore—(1) Is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. For the same reason, the FAA certifies that this amendment will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 14 CFR Part 97 </HD>
                </LSTSUB>
                <P>Air traffic control, Airports, Incorporation by reference, and Navigation (Air).</P>
                <SIG>
                    <DATED>Issued in Washington, DC, on September 2, 2011.</DATED>
                    <NAME>Ray Towles,</NAME>
                    <TITLE>Deputy Director, Flight Standards Service.</TITLE>
                </SIG>
                <HD SOURCE="HD1">Adoption of the Amendment</HD>
                <P>Accordingly, pursuant to the authority delegated to me, Title 14, Code of Federal regulations, part 97, 14 CFR part 97, is amended by amending Standard Instrument Approach Procedures, effective at 0901 UTC on the dates specified, as follows:</P>
                <PART>
                    <HD SOURCE="HED">PART 97—STANDARD INSTRUMENT APPROACH PROCEDURES</HD>
                </PART>
                <AMDPAR>1. The authority citation for part 97 continues to read as follows:</AMDPAR>
                <AUTH>
                    <HD SOURCE="HED">Authority:</HD>
                    <P>49 U.S.C. 106(g), 40103, 40106, 40113, 40114, 40120, 44502, 44514, 44701, 44719, 44721-44722.</P>
                </AUTH>
                <REGTEXT TITLE="14" PART="97">
                    <AMDPAR>2. Part 97 is amended to read as follows:</AMDPAR>
                </REGTEXT>
                <REGTEXT TITLE="14" PART="97">
                    <SECTION>
                        <SECTNO>§§ 97.23, 97.25, 97.27, 97.29, 97.31, 97.33, 97.35 </SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                        <P>By amending: § 97.23 VOR, VOR/DME, VOR or TACAN, and VOR/DME or TACAN; § 97.25 LOC, LOC/DME, LDA, LDA/DME, SDF, SDF/DME; § 97.27 NDB, NDB/DME; § 97.29 ILS, ILS/DME, MLS, MLS/DME, MLS/RNAV; § 97.31 RADAR SIAPs; § 97.33 RNAV SIAPs; and § 97.35 COPTER SIAPs, Identified as follows:</P>
                        <HD SOURCE="HD2">* * * Effective Upon Publication</HD>
                        <GPOTABLE COLS="7" OPTS="L2,tp0,i1" CDEF="xs48,xls24,r50,r50,8,8,r50">
                            <TTITLE> </TTITLE>
                            <BOXHD>
                                <CHED H="1">AIRAC Date</CHED>
                                <CHED H="1">State</CHED>
                                <CHED H="1">City</CHED>
                                <CHED H="1">Airport</CHED>
                                <CHED H="1">FDC No.</CHED>
                                <CHED H="1">FDC Date</CHED>
                                <CHED H="1">Subject</CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>GA</ENT>
                                <ENT>Waycross</ENT>
                                <ENT>Waycross-Ware County</ENT>
                                <ENT>1/0548</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>ILS OR LOC Rwy 18, Amdt 1</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>CA</ENT>
                                <ENT>San Diego</ENT>
                                <ENT>San Diego Intl</ENT>
                                <ENT>1/0549</ENT>
                                <ENT>9/1/11</ENT>
                                <ENT>ILS OR LOC Rwy 9, Amdt 1B</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>GA</ENT>
                                <ENT>Waycross</ENT>
                                <ENT>Waycross-Ware County</ENT>
                                <ENT>1/0550</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>RNAV (GPS) Rwy 18, Orig</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>GA</ENT>
                                <ENT>Waycross</ENT>
                                <ENT>Waycross-Ware County</ENT>
                                <ENT>1/0551</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>VOR A, Amdt 8</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>GA</ENT>
                                <ENT>Atlanta</ENT>
                                <ENT>Altanta Rgnl Falcon Field</ENT>
                                <ENT>1/0605</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>ILS OR LOC Rwy 31, Amdt 1</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>GA</ENT>
                                <ENT>Atlanta</ENT>
                                <ENT>Altanta Rgnl Falcon Field</ENT>
                                <ENT>1/0606</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>NDB Rwy 31, Amdt 2</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>GA</ENT>
                                <ENT>Atlanta</ENT>
                                <ENT>Altanta Rgnl Falcon Field</ENT>
                                <ENT>1/0607</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>RNAV (GPS) Rwy 31, Amdt 1A</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1056</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>ILS OR LOC Rwy 22, Amdt 9</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1057</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>VOR/DME Rwy 13, Orig</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1058</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>ILS OR LOC Rwy 4, Amdt 25C</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1059</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>RNAV (GPS) Rwy 13, Amdt 1</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1060</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>RADAR-1, Amdt 9</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1062</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>RNAV (GPS) Rwy 4, Orig-A</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1063</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>RNAV (GPS) Rwy 22, Orig</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>IL</ENT>
                                <ENT>Springfield</ENT>
                                <ENT>Abraham Lincoln Capital</ENT>
                                <ENT>1/1105</ENT>
                                <ENT>8/19/11</ENT>
                                <ENT>VOR/DME Rwy 22, Orig</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>MN</ENT>
                                <ENT>Alexandria</ENT>
                                <ENT>Chandler Field</ENT>
                                <ENT>1/2495</ENT>
                                <ENT>9/1/11</ENT>
                                <ENT>ILS OR LOC Rwy 31, Orig-B</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>CA</ENT>
                                <ENT>Santa Ana</ENT>
                                <ENT>John Wayne Airport—Orange County</ENT>
                                <ENT>1/2644</ENT>
                                <ENT>9/1/11</ENT>
                                <ENT>ILS OR LOC Rwy 19R, Amdt 12</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>CA</ENT>
                                <ENT>Santa Ana</ENT>
                                <ENT>John Wayne Airport—Orange County</ENT>
                                <ENT>1/2645</ENT>
                                <ENT>9/1/11</ENT>
                                <ENT>LOC BC Rwy 1L, Amdt 10B</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>HI</ENT>
                                <ENT>Lihue</ENT>
                                <ENT>Lihue</ENT>
                                <ENT>1/2848</ENT>
                                <ENT>9/1/11</ENT>
                                <ENT>RNAV (RNP) Z Rwy 35, Orig</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">20-Oct-11</ENT>
                                <ENT>HI</ENT>
                                <ENT>Lihue</ENT>
                                <ENT>Lihue</ENT>
                                <ENT>1/2849</ENT>
                                <ENT>9/1/11</ENT>
                                <ENT>RNAV (RNP) Z Rwy 21, Orig</ENT>
                            </ROW>
                        </GPOTABLE>
                    </SECTION>
                </REGTEXT>
                <PRTPAGE P="56973"/>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23187 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-13-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>National Oceanic and Atmospheric Administration</SUBAGY>
                <CFR>15 CFR Part 922</CFR>
                <SUBJECT>Office of National Marine Sanctuaries Final Policy and Permit Guidance for Submarine Cable Projects</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of National Marine Sanctuaries (ONMS), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce (DOC).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of availability; response to comments.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Office of National Marine Sanctuaries (ONMS) has developed final policy and permitting guidance for submarine cable projects proposed in national marine sanctuaries. This action identifies the criteria the ONMS will use to ensure that applications to install and maintain submarine cables in sanctuaries are reviewed consistently and in a manner that adheres to the National Marine Sanctuaries Act and ONMS regulations (15 CFR part 922). The ONMS is releasing its final policy and permitting guidance, and responding to comments on the interim policy.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This notice of availability is effective as a final policy as of September 15, 2011.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Copies of the final policy and permit guidance for submarine cable projects may be viewed and downloaded at 
                        <E T="03">http://sanctuaries.noaa.gov/library/welcome.html.</E>
                         You may also request a copy of the final policy by contacting Vicki Wedell, NOAA, Office of National Marine Sanctuaries, 1305 East-West Highway, (N/NMS2), 11th Floor, Silver Spring, Maryland 20910.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Vicki Wedell, (301) 713-3125.</P>
                    <SIG>
                        <DATED>Dated: September 6, 2011.</DATED>
                        <NAME>Daniel J. Basta,</NAME>
                        <TITLE>Director, Office of National Marine Sanctuaries.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23625 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-NK-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF THE TREASURY</AGENCY>
                <SUBAGY>Internal Revenue Service</SUBAGY>
                <CFR>26 CFR Part 1</CFR>
                <DEPDOC>[TD 9542]</DEPDOC>
                <RIN>RIN 1545-BE77</RIN>
                <SUBJECT>Elections Regarding Start-Up Expenditures, Corporation Organizational Expenditures, and Partnership Organizational Expenses; Correction</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Internal Revenue Service (IRS), Treasury.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Correcting amendment.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        This document contains corrections to final regulations and removal of temporary regulations (TD 9542) that were published in the 
                        <E T="04">Federal Register</E>
                         on Wednesday, August 17, 2011 (76 FR 50887) relating to elections to deduct start-up expenditures, organizational expenditures of corporations, and organizational expenses of partnerships. The American Jobs Creation Act of 2004 amended the Internal Revenue Code to permit the optional deduction of a limited amount of these types of expenses that are paid or incurred after October 22, 2004.
                    </P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This correction is effective on September 15, 2011 and is applicable August 16, 2011.</P>
                </EFFDATE>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>R. Matthew Kelley, (202) 622-7900 (not a toll-free number).</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">Background</HD>
                <P>The final regulations and removal of temporary regulations that are the subject of this document are under sections 195, 248, and 709 of the Internal Revenue Code.</P>
                <HD SOURCE="HD1">Need for Correction</HD>
                <P>As published, the final regulations and removal of temporary regulations (TD 9542) contain errors that may prove to be misleading and are in need of clarification.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 26 CFR Part 1</HD>
                    <P>Income taxes, Reporting and recordkeeping requirements.</P>
                </LSTSUB>
                <HD SOURCE="HD1">Correction of Publication</HD>
                <P>Accordingly, 26 CFR part 1 is corrected by making the following correcting amendments:</P>
                <REGTEXT TITLE="26" PART="1">
                    <PART>
                        <HD SOURCE="HED">PART 1—INCOME TAXES</HD>
                    </PART>
                    <AMDPAR>
                        <E T="04">Paragraph 1.</E>
                         The authority citation for part 1 continues to read in part as follows:
                    </AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>26 U.S.C. 7805  * * *.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="26" PART="1">
                    <AMDPAR>
                        <E T="04">Par. 2.</E>
                         Section 1.709-1 is amended by revising the last sentences of paragraphs (b)(4) 
                        <E T="03">Example 2, Example 5,</E>
                         and 
                        <E T="03">Example 6</E>
                         to read as follows:
                    </AMDPAR>
                    <SECTION>
                        <SECTNO>§ 1.709-1 </SECTNO>
                        <SUBJECT>Treatment of organization and syndication costs.</SUBJECT>
                        <STARS/>
                        <P>(b)  * * * </P>
                        <P>(4)  * * * </P>
                        <STARS/>
                        <EXAMPLE>
                            <HD SOURCE="HED">Example 2. * * * Partnership X may amortize the remaining $34,800</HD>
                            <P>($36,000 − $1,200 = $34,800) ratably over the remaining 174 months.</P>
                            <STARS/>
                        </EXAMPLE>
                        <EXAMPLE>
                            <HD SOURCE="HED">Example 5. * * * Partnership X may amortize the remaining $52,200</HD>
                            <P>($54,000 − $1,800 = $ 52,200) ratably over the remaining 174 months.</P>
                        </EXAMPLE>
                        <EXAMPLE>
                            <HD SOURCE="HED">Example 6. * * * Partnership X may amortize the remaining $435,000</HD>
                            <P>($450,000 − $15,000 = $435,000) ratably over the remaining 174 months.</P>
                            <STARS/>
                        </EXAMPLE>
                    </SECTION>
                </REGTEXT>
                <SIG>
                    <NAME>Diane Williams,</NAME>
                    <TITLE>Federal Register Liaison, Publications and Regulations Branch, Legal Processing Division, Associate Chief Counsel (Procedure and Administration).</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23598 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4830-01-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="N">PENSION BENEFIT GUARANTY CORPORATION</AGENCY>
                <CFR>29 CFR Parts 4022 and 4044</CFR>
                <SUBJECT>Allocation of Assets in Single-Employer Plans; Benefits Payable in Terminated Single-Employer Plans; Interest Assumptions for Valuing and Paying Benefits</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Pension Benefit Guaranty Corporation.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        This final rule amends the Pension Benefit Guaranty Corporation's regulations on Benefits Payable in Terminated Single-Employer Plans and Allocation of Assets in Single-Employer Plans to prescribe interest assumptions under the benefit payments regulation for valuation dates in October 2011 and interest assumptions under the asset allocation regulation for valuation dates in the fourth quarter of 2011. The interest assumptions are used for valuing and paying benefits under terminating single-employer plans 
                        <PRTPAGE P="56974"/>
                        covered by the pension insurance system administered by PBGC.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Effective October 1, 2011.</P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Catherine B. Klion (
                        <E T="03">Klion.Catherine@PBGC.gov</E>
                        ), Manager, Regulatory and Policy Division, Legislative and Regulatory Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005, 202-326-4024. (TTY/TDD users may call the Federal relay service toll free at 1-800-877-8339 and ask to be connected to 202-326-4024.)
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    PBGC's regulations on Allocation of Assets in Single-Employer Plans (29 CFR part 4044) and Benefits Payable in Terminated Single-Employer Plans (29 CFR part 4022) prescribe actuarial assumptions—including interest assumptions—for valuing and paying plan benefits under terminating single-employer plans covered by title IV of the Employee Retirement Income Security Act of 1974. The interest assumptions in the regulations are also published on PBGC's Web site (
                    <E T="03">http://www.pbgc.gov</E>
                    ).
                </P>
                <P>The interest assumptions in Appendix B to Part 4044 are used to value benefits for allocation purposes under ERISA section 4044. PBGC uses the interest assumptions in Appendix B to Part 4022 to determine whether a benefit is payable as a lump sum and to determine the amount to pay. Appendix C to Part 4022 contains interest assumptions for private-sector pension practitioners to refer to if they wish to use lump-sum interest rates determined using PBGC's historical methodology. Currently, the rates in Appendices B and C of the benefit payment regulation are the same.</P>
                <P>The interest assumptions are intended to reflect current conditions in the financial and annuity markets. Assumptions under the asset allocation regulation are updated quarterly; assumptions under the benefit payments regulation are updated monthly. This final rule updates the benefit payments interest assumptions for October 2011 and updates the asset allocation interest assumptions for the fourth quarter (October through December) of 2011.</P>
                <P>The fourth quarter 2011 interest assumptions under the allocation regulation will be 4.07 percent for the first 20 years following the valuation date and 4.28 percent thereafter. In comparison with the interest assumptions in effect for the third quarter of 2011, these interest assumptions represent a decrease of five years in the select period (the period during which the select rate (the initial rate) applies), a decrease of 0.14 percent in the select rate, and a decrease of 0.06 percent in the ultimate rate (the final rate).</P>
                <P>The October 2011 interest assumptions under the benefit payments regulation will be 1.75 percent for the period during which a benefit is in pay status and 4.00 percent during any years preceding the benefit's placement in pay status. In comparison with the interest assumptions in effect for September 2011, these interest assumptions represent a decrease of 0.50 percent in the immediate annuity rate and are otherwise unchanged.</P>
                <P>PBGC has determined that notice and public comment on this amendment are impracticable and contrary to the public interest. This finding is based on the need to determine and issue new interest assumptions promptly so that the assumptions can reflect current market conditions as accurately as possible.</P>
                <P>Because of the need to provide immediate guidance for the valuation and payment of benefits under plans with valuation dates during October 2011, PBGC finds that good cause exists for making the assumptions set forth in this amendment effective less than 30 days after publication.</P>
                <P>PBGC has determined that this action is not a “significant regulatory action” under the criteria set forth in Executive Order 12866.</P>
                <P>Because no general notice of proposed rulemaking is required for this amendment, the Regulatory Flexibility Act of 1980 does not apply. See 5 U.S.C. 601(2).</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects</HD>
                    <CFR>29 CFR Part 4022</CFR>
                    <P>Employee benefit plans, Pension insurance, Pensions, Reporting and recordkeeping requirements.</P>
                    <CFR>29 CFR Part 4044</CFR>
                    <P>Employee benefit plans, Pension insurance, Pensions.</P>
                </LSTSUB>
                <P>In consideration of the foregoing, 29 CFR parts 4022 and 4044 are amended as follows:</P>
                <REGTEXT TITLE="29" PART="4022">
                    <PART>
                        <HD SOURCE="HED">PART 4022—BENEFITS PAYABLE IN TERMINATED SINGLE-EMPLOYER PLANS</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for part 4022 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>29 U.S.C. 1302, 1322, 1322b, 1341(c)(3)(D), and 1344.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="29" PART="4022">
                    <AMDPAR>2. In appendix B to part 4022, Rate Set 216, as set forth below, is added to the table.</AMDPAR>
                    <HD SOURCE="HD1">Appendix B to Part 4022—Lump Sum Interest Rates for PBGC Payments</HD>
                    <STARS/>
                    <GPOTABLE COLS="9" OPTS="L1,tp0,i1" CDEF="10C,10C,10C,10C,10C,10C,10C,10C,10C">
                        <TTITLE> </TTITLE>
                        <BOXHD>
                            <CHED H="1">Rate set</CHED>
                            <CHED H="1">For plans with a valuation date</CHED>
                            <CHED H="2">On or after</CHED>
                            <CHED H="2">Before</CHED>
                            <CHED H="1">
                                Immediate annuity rate 
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="1">
                                Deferred annuities
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="2">
                                i
                                <E T="52">1</E>
                            </CHED>
                            <CHED H="2">
                                i
                                <E T="52">2</E>
                            </CHED>
                            <CHED H="2">
                                i
                                <E T="52">3</E>
                            </CHED>
                            <CHED H="2">
                                n
                                <E T="52">1</E>
                            </CHED>
                            <CHED H="2">
                                n
                                <E T="52">2</E>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="28">*         *         *         *         *         *         *</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">216</ENT>
                            <ENT>10-1-11</ENT>
                            <ENT>11-1-11</ENT>
                            <ENT>1.75</ENT>
                            <ENT>4.00</ENT>
                            <ENT>4.00</ENT>
                            <ENT>4.00</ENT>
                            <ENT>7</ENT>
                            <ENT>8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <AMDPAR>3. In appendix C to part 4022, Rate Set 216, as set forth below, is added to the table.</AMDPAR>
                    <HD SOURCE="HD1">Appendix C to Part 4022—Lump Sum Interest Rates for Private-Sector Payments</HD>
                    <STARS/>
                    <GPOTABLE COLS="9" OPTS="L1,tp0,i1" CDEF="10C,10C,10C,10C,10C,10C,10C,10C,10C">
                        <TTITLE> </TTITLE>
                        <BOXHD>
                            <CHED H="1">Rate set</CHED>
                            <CHED H="1">For plans with a valuation date</CHED>
                            <CHED H="2">On or after</CHED>
                            <CHED H="2">Before</CHED>
                            <CHED H="1">
                                Immediate annuity rate 
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="1">
                                Deferred annuities
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="2">
                                i
                                <E T="52">1</E>
                            </CHED>
                            <CHED H="2">
                                i
                                <E T="52">2</E>
                            </CHED>
                            <CHED H="2">
                                i
                                <E T="52">3</E>
                            </CHED>
                            <CHED H="2">
                                n
                                <E T="52">1</E>
                            </CHED>
                            <CHED H="2">
                                n
                                <E T="52">2</E>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="56975"/>
                            <ENT I="28">*         *         *         *         *         *         *</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">216</ENT>
                            <ENT>10-1-11</ENT>
                            <ENT>11-1-11</ENT>
                            <ENT>1.75</ENT>
                            <ENT>4.00</ENT>
                            <ENT>4.00</ENT>
                            <ENT>4.00</ENT>
                            <ENT>7</ENT>
                            <ENT>8</ENT>
                        </ROW>
                    </GPOTABLE>
                </REGTEXT>
                <REGTEXT TITLE="29" PART="4044">
                    <PART>
                        <HD SOURCE="HED">PART 4044—ALLOCATION OF ASSETS IN SINGLE-EMPLOYER PLANS</HD>
                    </PART>
                    <AMDPAR>4. The authority citation for part 4044 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>29 U.S.C. 1301(a), 1302(b)(3), 1341, 1344, 1362.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="29" PART="4044">
                    <AMDPAR>5. In appendix B to part 4044, a new entry for October-December 2011, as set forth below, is added to the table.</AMDPAR>
                    <HD SOURCE="HD1">Appendix B to Part 4044—Interest Rates Used to Value Benefits</HD>
                    <STARS/>
                    <GPOTABLE COLS="7" OPTS="L1,tp0,i1" CDEF="s50,12C,12C,12C,12C,12C,12C">
                        <TTITLE> </TTITLE>
                        <BOXHD>
                            <CHED H="1" O="L">For valuation dates occurring in the months —</CHED>
                            <CHED H="1" O="L">
                                The values of i
                                <E T="52">t</E>
                                 are:
                            </CHED>
                            <CHED H="2">
                                i
                                <E T="52">t</E>
                            </CHED>
                            <CHED H="2">for t =</CHED>
                            <CHED H="2">
                                i
                                <E T="52">t</E>
                            </CHED>
                            <CHED H="2">for t =</CHED>
                            <CHED H="2">
                                i
                                <E T="52">t</E>
                            </CHED>
                            <CHED H="2">for t =</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="28">*         *         *         *         *         *         *</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">October-December 2011</ENT>
                            <ENT>0.0407</ENT>
                            <ENT>1-20</ENT>
                            <ENT>0.0428</ENT>
                            <ENT>&gt;20</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                    </GPOTABLE>
                </REGTEXT>
                <SIG>
                    <DATED>Issued in Washington, DC, on this 9th day of September 2011.</DATED>
                    <NAME>Laricke Blanchard,</NAME>
                    <TITLE>Deputy Director for Policy, Pension Benefit Guaranty Corporation.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23686 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7709-01-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="N">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                <CFR>40 CFR Part 52</CFR>
                <DEPDOC>[EPA-R03-OAR-2011-0511; FRL-9462-6]</DEPDOC>
                <SUBJECT>Approval and Promulgation of Air Quality Implementation Plans; West Virginia; Revised Motor Vehicle Emission Budgets for the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-Hour Ozone Maintenance Areas</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Environmental Protection Agency (EPA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Direct final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>EPA is taking direct final action to approve a State Implementation Plan (SIP) revision submitted by the State of West Virginia. The revision amends the 8-hour ozone maintenance plans for the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-hour ozone maintenance areas. This revision amends the maintenance plans' 2009 and 2018 motor vehicle emissions budgets (MVEBs) by reallocating a portion of the plans' safety margins which results in an increase in the MVEBs. The revised plans continue to demonstrate maintenance of the 8-hour national ambient air quality standard (NAAQS) for ozone. EPA is approving this SIP revision to the West Virginia maintenance plans for the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-hour ozone maintenance areas in accordance with the requirements of the Clean Air Act (CAA).</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        This rule is effective on November 14, 2011 without further notice, unless EPA receives adverse written comment by October 17, 2011. If EPA receives such comments, it will publish a timely withdrawal of the direct final rule in the 
                        <E T="04">Federal Register</E>
                         and inform the public that the rule will not take effect.
                    </P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Submit your comments, identified by Docket ID Number EPA-R03-OAR-2011-0511 by one of the following methods:</P>
                    <P>
                        A. 
                        <E T="03">http://www.regulations.gov.</E>
                         Follow the on-line instructions for submitting comments.
                    </P>
                    <P>
                        B. 
                        <E T="03">E-mail: fernandez.cristina@epa.gov.</E>
                    </P>
                    <P>
                        C. 
                        <E T="03">Mail:</E>
                         EPA-R03-OAR-2011-0511, Cristina Fernandez, Associate Director, Office of Air Program Planning, Mailcode 3AP30, U.S. Environmental Protection Agency, Region III, 1650 Arch Street, Philadelphia, Pennsylvania 19103.
                    </P>
                    <P>
                        D. 
                        <E T="03">Hand Delivery:</E>
                         At the previously-listed EPA Region III address. Such deliveries are only accepted during the Docket's normal hours of operation, and special arrangements should be made for deliveries of boxed information.
                    </P>
                    <P>
                        <E T="03">Instructions:</E>
                         Direct your comments to Docket ID No. EPA-R03-OAR-2011-0511. EPA's policy is that all comments received will be included in the public docket without change, and may be made available online at
                        <E T="03"> http://www.regulations.gov,</E>
                         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 
                        <E T="03">http://www.regulations.gov</E>
                         or e-mail. The 
                        <E T="03">http://www.regulations.gov Web site</E>
                         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 e-mail comment directly to EPA without going through 
                        <E T="03">http://www.regulations.gov,</E>
                         your e-mail 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.
                    </P>
                    <P>
                        <E T="03">Docket:</E>
                         All documents in the electronic docket are listed in the 
                        <E T="03">http://www.regulations.gov</E>
                         index. Although listed in the index, some information is not publicly available, 
                        <E T="03">i.e.,</E>
                         CBI or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on 
                        <PRTPAGE P="56976"/>
                        the Internet and will be publicly available only in hard copy form. Publicly available docket materials are available either electronically in 
                        <E T="03">http://www.regulations.gov</E>
                         or in hard copy during normal business hours at the Air Protection Division, U.S. Environmental Protection Agency, Region III, 1650 Arch Street, Philadelphia, Pennsylvania 19103. Copies of the State submittal are available at the West Virginia Department of Environmental Protection, Division of Air Quality, 601 57th Street, SE., Charleston, West Virginia 25304.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Martin Kotsch, (215) 814-3335, or by e-mail at 
                        <E T="03">kotsch.martin@epa.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>Throughout this document whenever “we,” “us,” or “our” is used, we mean EPA.</P>
                <HD SOURCE="HD1">Table of Contents</HD>
                <EXTRACT>
                    <FP SOURCE="FP-2">I. Background</FP>
                    <FP SOURCE="FP-2">II. Summary of West Virginia's SIP Revision and EPA's Review</FP>
                    <FP SOURCE="FP-2">III. Final Action</FP>
                    <FP SOURCE="FP-2">IV. Statutory and Executive Order Reviews</FP>
                </EXTRACT>
                <HD SOURCE="HD1">I. Background</HD>
                <P>
                    On July 11, 2006 (71 FR 39001), EPA redesignated the Charleston area of West Virginia to attainment for the 8-hour ozone NAAQS. For the Charleston area, the redesignation included approval of an 8-hour ozone maintenance plan, which identifies on-road MVEBs for volatile organic compounds (VOCs) and nitrogen oxides (NO
                    <E T="52">X</E>
                    ), which are ozone precursors, which are then used for transportation planning and conformity purposes. Subsequently, on January 14, 2008 (73 FR 2156), EPA approved a revision to the Charleston maintenance plan mobile budgets.
                </P>
                <P>
                    On September 15, 2006 (71 FR 54421), EPA redesignated the Huntington-Ashland area of West Virginia to attainment for the 8-hour ozone NAAQS. For the Huntington area, the redesignation included approval of an 8-hour ozone maintenance plan, which identifies on-road MVEBs for VOCs and NO
                    <E T="52">X</E>
                    , which are ozone precursors, which are then used for transportation planning and conformity purposes.
                </P>
                <P>
                    On May 8, 2007 (72 FR 25967), EPA redesignated the Parkersburg-Marietta area of West Virginia to attainment for the 8-hour ozone NAAQS. For the Parkersburg area, the redesignation included approval of an 8-hour ozone maintenance plan, which identifies on-road MVEBs for VOCs and NO
                    <E T="52">X</E>
                    , which are ozone precursors, which are then used for transportation planning and conformity purposes. Subsequently, on October 30, 2008 (73 FR 64548), EPA approved a revision to the Parkersburg maintenance plan mobile budget.
                </P>
                <P>
                    On May 14, 2007 (72 FR 27060), EPA redesignated the Steubenville-Weirton area of West Virginia to attainment for the 8-hour ozone NAAQS. For the Weirton area, the redesignation included approval of an 8-hour ozone maintenance plan, which identifies on-road MVEBs for VOCs and NO
                    <E T="52">X</E>
                    , which are ozone precursors, which are then used for transportation planning and conformity purposes.
                </P>
                <P>
                    On May 15, 2007 (72 FR 27247), EPA redesignated the Wheeling area of West Virginia to attainment for the 8-hour ozone NAAQS. For the Wheeling area, the redesignation included approval of an 8-hour ozone maintenance plan, which identifies on-road MVEBs for VOCs and NO
                    <E T="52">X</E>
                    , which are ozone precursors, which are then used for transportation planning and conformity purposes.
                </P>
                <P>For all five of the nonattainment areas, the MVEBs are being revised to account for the new EPA emissions model called Motor Vehicle Emissions Simulator (MOVES) which by March 3, 2012 must be used for all new transportation conformity determinations which occur after that date. During early testing, it was found that mobile vehicle emissions using MOVES were predicted to be higher now than when using the older EPA model MOBILE6. The MOBILE6 emissions model was utilized in developing the MVEBs contained in the approved maintenance plan for each area. To account for this anticipated increase in predicted mobile emissions, West Virginia has revised its existing MVEBs in each area using available safety margins which is allowable.</P>
                <HD SOURCE="HD1">II. Summary of West Virginia's SIP Revision and EPA's Review</HD>
                <P>On March 14, 2011, the State of West Virginia submitted to EPA a formal revision to its SIP. The SIP revision proposes new MVEBs for the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-hour ozone maintenance areas, to reflect the reallocation of a portion of the differences (safety margins) between the total base year and total projected 2009 and 2018 8-hour ozone maintenance emissions, which produces an increase in the MVEBs. The base year is 2004 for all the 8 hour ozone maintenance areas. By increasing the MVEBs, the West Virginia Department of Environmental Protection (WVDEP) is ensuring that transportation conformity can be demonstrated in all 8-hour ozone maintenance areas. The March 14, 2011 submittal, while increasing the MVEBs, still ensures maintenance of the NAAQS for ozone for all of the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-hour ozone maintenance areas.</P>
                <P>Tables 1 and 2 describe the basis of the new revised MVEBs for the Charleston area.</P>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 1—Charleston Area Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>16.1</ENT>
                        <ENT>12.9</ENT>
                        <ENT>7.5</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>26.4</ENT>
                        <ENT>22.9</ENT>
                        <ENT>9.5</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>16.1</ENT>
                        <ENT>16.7</ENT>
                        <ENT>13.7</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>26.4</ENT>
                        <ENT>38.9</ENT>
                        <ENT>17.1</ENT>
                    </ROW>
                </GPOTABLE>
                <PRTPAGE P="56977"/>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 2—Charleston Area Total Emissions (Point, Area and Mobile) Before and After Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>52.3</ENT>
                        <ENT>48.1</ENT>
                        <ENT>45.4</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>129.4</ENT>
                        <ENT>105.5</ENT>
                        <ENT>81.9</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>52.3</ENT>
                        <ENT>51.9</ENT>
                        <ENT>51.6</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>129.4</ENT>
                        <ENT>121.5</ENT>
                        <ENT>89.5</ENT>
                    </ROW>
                </GPOTABLE>
                <P>
                    For the Charleston, West Virginia 8-hour ozone maintenance area addressed herein, the WVDEP increased the 2009 and 2018 MVEBs using available safety margins to allow for projected increases in emissions as predicted by the MOVES model. The 2009 and 2018 MVEBs for VOCs and NO
                    <E T="52">X</E>
                     emissions in the revised Maintenance Plan listed above in Table 1 under the Revised Total Emissions in the Revised Maintenance Plan section will serve as the new MVEBs for transportation conformity planning.
                </P>
                <P>
                    The State has proposed reallocating some of the emissions from the current safety margin into the MVEBs for both VOCs and NO
                    <E T="52">X</E>
                    . The remaining surplus emissions have been reserved as residual safety margins in the total maintenance budgets to ensure continued maintenance of the 8-hour ozone NAAQS.
                </P>
                <P>
                    To explain how the safety margins are determined and allocated for all the nonattainment areas, the NO
                    <E T="52">X</E>
                     emissions for the Charleston area may be used as an example. In Table 2, listed under the Revised Total Emissions in the Revised Maintenance Plan heading, the total 2004 base year NO
                    <E T="52">X</E>
                     emissions are 129.4 tons/day (tpd) for all NO
                    <E T="52">X</E>
                     sources, which is the maximum amount of NO
                    <E T="52">X</E>
                     emissions consistent with maintenance of the 8-hour ozone NAAQS. The projected total 2009 emissions for all NO
                    <E T="52">X</E>
                     sources would be 121.5 tpd, which still provides a 7.9 tpd NO
                    <E T="52">X</E>
                     safety margin (
                    <E T="03">i.e.,</E>
                     the ozone NAAQS would continue to be maintained if total NO
                    <E T="52">X</E>
                     emissions increased as much as 7.9 tpd above the projected 2009 emissions of 121.5 tpd). Therefore, the total projetced emissions for 2009 for all NO
                    <E T="52">X</E>
                     sources would be increased by 16.0 tpd above the currently approved emissions through the increase in the allowable mobile emissions for NO
                    <E T="52">X</E>
                     while still leaving a safety margin of 7.9 tpd. Therefore, even with the reallocation of some of the current safety margin into the MVEBs, the State of West Virginia has left a safety margin for any other unforseen growth in NO
                    <E T="52">X</E>
                     emissions. For all remaining areas, the principles for reallocating the safety margins to the MVEBs have the same impact.
                </P>
                <P>For the Huntington area, Tables 3 and 4 describe the basis of the new revised MVEBs and the overall emissions for the area.</P>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 3—Huntington Area Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>6.0</ENT>
                        <ENT>4.6</ENT>
                        <ENT>3.0</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>11.5</ENT>
                        <ENT>8.7</ENT>
                        <ENT>4.1</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>6.0</ENT>
                        <ENT>7.4</ENT>
                        <ENT>6.6</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>11.5</ENT>
                        <ENT>14.0</ENT>
                        <ENT>13.5</ENT>
                    </ROW>
                </GPOTABLE>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 4—Huntington Area Total Emissions (Point, Area and Mobile) Before and After Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>23.7</ENT>
                        <ENT>23.4</ENT>
                        <ENT>23.3</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>37.4</ENT>
                        <ENT>31.5</ENT>
                        <ENT>27.0</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>23.7</ENT>
                        <ENT>23.4</ENT>
                        <ENT>23.3</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>37.4</ENT>
                        <ENT>36.8</ENT>
                        <ENT>36.4</ENT>
                    </ROW>
                </GPOTABLE>
                <P>
                    For the Parkersburg area, Tables 5 and 6 describe the basis of the new revised MVEBs and the overall emissions for the area.
                    <PRTPAGE P="56978"/>
                </P>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 5—Parkersburg Area Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>4.0</ENT>
                        <ENT>3.8</ENT>
                        <ENT>2.4</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>5.66</ENT>
                        <ENT>5.5</ENT>
                        <ENT>2.7</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>4.0</ENT>
                        <ENT>5.5</ENT>
                        <ENT>4.7</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>5.66</ENT>
                        <ENT>7.3</ENT>
                        <ENT>7.3</ENT>
                    </ROW>
                </GPOTABLE>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 6—Parkersburg Area Total Emissions (Point, Area and Mobile) Before and After Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>16.7</ENT>
                        <ENT>14.8</ENT>
                        <ENT>14.1</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>15.2</ENT>
                        <ENT>13.2</ENT>
                        <ENT>10.1</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>16.7</ENT>
                        <ENT>16.5</ENT>
                        <ENT>16.4</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>15.2</ENT>
                        <ENT>15.0</ENT>
                        <ENT>14.7</ENT>
                    </ROW>
                </GPOTABLE>
                <P>For the Weirton area, Tables 7 and 8 describe the basis of the new revised MVEBs and the overall emissions for the area.</P>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 7—Weirton Area Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>2.6</ENT>
                        <ENT>2.0</ENT>
                        <ENT>1.0</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>3.6</ENT>
                        <ENT>2.8</ENT>
                        <ENT>1.2</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>2.6</ENT>
                        <ENT>3.4</ENT>
                        <ENT>1.9</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>3.6</ENT>
                        <ENT>4.2</ENT>
                        <ENT>3.9</ENT>
                    </ROW>
                </GPOTABLE>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 8—Weirton Area Total Emissions (Point, Area and Mobile) Before and After Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>13.5</ENT>
                        <ENT>12.0</ENT>
                        <ENT>12.5</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>18.2</ENT>
                        <ENT>16.6</ENT>
                        <ENT>15.2</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>13.5</ENT>
                        <ENT>13.4</ENT>
                        <ENT>13.4</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>18.2</ENT>
                        <ENT>18.0</ENT>
                        <ENT>17.9</ENT>
                    </ROW>
                </GPOTABLE>
                <P>
                    For the Wheeling area, Tables 9 and 10 describe the basis of the new revised MVEBs and the overall emissions for the area.
                    <PRTPAGE P="56979"/>
                </P>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 9—Wheeling Area Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>2.8</ENT>
                        <ENT>2.5</ENT>
                        <ENT>1.4</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>4.7</ENT>
                        <ENT>4.3</ENT>
                        <ENT>1.7</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>2.8</ENT>
                        <ENT>10.4</ENT>
                        <ENT>9.1</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>4.7</ENT>
                        <ENT>7.7</ENT>
                        <ENT>3.1</ENT>
                    </ROW>
                </GPOTABLE>
                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                    <TTITLE>Table 10—Wheeling Area Total Emissions (Point, Area and Mobile) Before and After Reallocation of Safety Margin to the MVEBs</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">2004 Base year</CHED>
                        <CHED H="1">2009 Projection</CHED>
                        <CHED H="1">2018 Projection</CHED>
                    </BOXHD>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Current Total Emissions in the Approved Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>23.5</ENT>
                        <ENT>14.7</ENT>
                        <ENT>14.9</ENT>
                    </ROW>
                    <ROW RUL="s">
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>101.2</ENT>
                        <ENT>72.9</ENT>
                        <ENT>34.5</ENT>
                    </ROW>
                    <ROW EXPSTB="03" RUL="s">
                        <ENT I="21">Revised Total Emissions in the Revised Maintenance Plan (Tons/Day)</ENT>
                    </ROW>
                    <ROW EXPSTB="00">
                        <ENT I="01">VOC</ENT>
                        <ENT>23.5</ENT>
                        <ENT>22.6</ENT>
                        <ENT>22.6</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">
                            NO
                            <E T="52">X</E>
                        </ENT>
                        <ENT>101.2</ENT>
                        <ENT>76.3</ENT>
                        <ENT>35.9</ENT>
                    </ROW>
                </GPOTABLE>
                <HD SOURCE="HD1">III. Final Action</HD>
                <P>
                    EPA is approving West Virginia's SIP revision submitted on March 14, 2011, which amends the 8-hour ozone maintenance plans for the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-hour ozone maintenance areas. These revisions amend the maintenance plans' 2009 and 2018 MVEBs to reflect the reallocation of a portion of the plans' safety margins which results in an increase in the MVEBs. EPA is approving this SIP revision to the maintenance plans for these areas because this revision continues to demonstrate maintenance of the 8-hour ozone NAAQS. EPA is publishing this rule without prior proposal because the Agency views this as a noncontroversial amendment and anticipates no adverse comment, since no significant adverse comments were received on the SIP revision at the State level. However, in the Proposed Rules section of today's 
                    <E T="04">Federal Register</E>
                    , EPA is publishing a separate document that will serve as the proposal to approve the SIP revision if adverse comments are filed. This rule will be effective on November 14, 2011 without further notice unless EPA receives adverse comment by October 17, 2011.
                </P>
                <P>
                    If EPA receives adverse comment, EPA will publish a timely withdrawal in the 
                    <E T="04">Federal Register</E>
                     informing the public that the rule will not take effect. EPA will address all public comments in a subsequent final rule based on the proposed rule. EPA will not institute a second comment period on this action. Any parties interested in commenting must do so at this time. Please note that if EPA receives adverse comment on an amendment, paragraph, or section of this rule and if that provision may be severed from the remainder of the rule, EPA may adopt as final those provisions of the rule that are not the subject of an adverse comment.
                </P>
                <HD SOURCE="HD1">IV. Statutory and Executive Order Reviews</HD>
                <HD SOURCE="HD2">A. General Requirements</HD>
                <P>Under the CAA, the Administrator is required to approve a SIP submission that complies with the provisions of the CAA and applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the CAA. Accordingly, this action merely approves state law as meeting Federal requirements and does not impose additional requirements beyond those imposed by state law. For that reason, this action:</P>
                <P>• Is not a “significant regulatory action” subject to review by the Office of Management and Budget under Executive Order 12866 (58 FR 51735, October 4, 1993);</P>
                <P>
                    • Does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501 
                    <E T="03">et seq.</E>
                    );
                </P>
                <P>
                    • Is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601 
                    <E T="03">et seq.</E>
                    );
                </P>
                <P>• Does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4);</P>
                <P>• Does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999);</P>
                <P>• Is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997);</P>
                <P>• Is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001);</P>
                <P>• Is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the CAA; and</P>
                <P>• Does not provide EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994).</P>
                <P>
                    In addition, this rule does not have tribal implications as specified by Executive Order 13175 (65 FR 67249, November 9, 2000), because the SIP is not approved to apply in Indian country located in the state, and EPA notes that it will not impose substantial direct costs on tribal governments or preempt tribal law.
                    <PRTPAGE P="56980"/>
                </P>
                <HD SOURCE="HD2">B. Submission to Congress and the Comptroller General</HD>
                <P>
                    The Congressional Review Act, 5 U.S.C. 801 
                    <E T="03">et seq.,</E>
                     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 will submit a report containing this action 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 
                    <E T="04">Federal Register</E>
                    . A major rule cannot take effect until 60 days after it is published in the 
                    <E T="04">Federal Register</E>
                    . This action is not a “major rule” as defined by 5 U.S.C. 804(2).
                </P>
                <HD SOURCE="HD2">C. Petitions for Judicial Review</HD>
                <P>
                    Under section 307(b)(1) of the CAA, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by November 14, 2011. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this action for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. Parties with objections to this direct final rule are encouraged to file a comment in response to the parallel notice of proposed rulemaking for this action published in the proposed rules section of today's 
                    <E T="04">Federal Register</E>
                    , rather than file an immediate petition for judicial review of this direct final rule, so that EPA can withdraw this direct final rule and address the comment in the proposed rulemaking.
                </P>
                <P>This action to approve the West Virginia 8 hour ozone maintenance plan revisions may not be challenged later in proceedings to enforce its requirements. (See section 307(b)(2).)</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 40 CFR Part 52</HD>
                    <P>Environmental protection, Air pollution control, Incorporation by reference, Nitrogen dioxide, Ozone, Reporting and recordkeeping requirements, Volatile organic compounds.</P>
                </LSTSUB>
                <SIG>
                    <DATED>Dated: August 29, 2011.</DATED>
                    <NAME>W.C. Early,</NAME>
                    <TITLE>Acting Regional Administrator, Region III.</TITLE>
                </SIG>
                <P>40 CFR Part 52 is amended as follows:</P>
                <REGTEXT TITLE="40" PART="52">
                    <PART>
                        <HD SOURCE="HED">PART 52—[AMENDED]</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for part 52 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>
                             42 U.S.C. 7401 
                            <E T="03">et seq.</E>
                        </P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="40" PART="52">
                    <SUBPART>
                        <HD SOURCE="HED">Subpart XX—West Virginia</HD>
                    </SUBPART>
                    <AMDPAR>2. In § 52.2520, the table in paragraph (e) is amended by revising the entries for 8-Hour Ozone Maintenance Plan for the Huntington-Ashland, WV-KY Area, 8-Hour Ozone Maintenance Plan for the Parkersburg-Marietta, WV-OH Area, 8-Hour Ozone Maintenance Plan for the Steubenville-Weirton, OH-WV Area, 8-Hour Ozone Maintenance Plan for the Wheeling, WV-OH Area, and 8-Hour Ozone Maintenance Plan for the Charleston, WV Area. The amendments read as follows:</AMDPAR>
                </REGTEXT>
                <REGTEXT TITLE="40" PART="52">
                    <SECTION>
                        <SECTNO>§ 52.2520 </SECTNO>
                        <SUBJECT>Identification of plan.</SUBJECT>
                        <STARS/>
                        <P>(e) EPA-approved nonregulatory and quasi-regulatory material.</P>
                        <GPOTABLE COLS="5" OPTS="L1,tp0,i1" CDEF="s60,r50,12,r100,r100">
                            <TTITLE> </TTITLE>
                            <BOXHD>
                                <CHED H="1">Name of non-regulatory SIP revision</CHED>
                                <CHED H="1">Applicable geographic area</CHED>
                                <CHED H="1">State submittal date</CHED>
                                <CHED H="1">EPA approval date</CHED>
                                <CHED H="1">Additional explanation</CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="22"> </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="28">*         *         *         *         *         *         *</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">8-Hour Ozone Maintenance Plan for the Huntington-Ashland, WV-KYArea</ENT>
                                <ENT>Cabell and Wayne Counties</ENT>
                                <ENT>5/17/06</ENT>
                                <ENT>9/15/06, 71 FR 54421</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                                <ENT O="xl"> </ENT>
                                <ENT>3/14/11</ENT>
                                <ENT>
                                    9/15/11 [
                                    <E T="03">Insert page number where the document begins]</E>
                                </ENT>
                                <ENT>
                                    Revised MVEB's for 2009 and 2018 (VOC and NO
                                    <E T="52">X</E>
                                    ). See § 52.2527.
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">8-Hour Ozone Maintenance Plan for the Parkersburg-Marietta, WV-OH Area</ENT>
                                <ENT>Wood County</ENT>
                                <ENT>9/8/06</ENT>
                                <ENT>5/8/07, 72 FR 2967</ENT>
                                <ENT>SIP effective date: 6/7/07.</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                                <ENT O="xl"> </ENT>
                                <ENT>3/14/11</ENT>
                                <ENT>
                                    9/15/11 [
                                    <E T="03">Insert page number where the document begins]</E>
                                </ENT>
                                <ENT>
                                    Revised MVEB's for 2009 and 2018 (VOC and NO
                                    <E T="52">X</E>
                                    ). See § 52.2527.
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">8-Hour Ozone Maintenance Plan for the Steubenville-Weirton, OH-WV Area</ENT>
                                <ENT>Brooke and Hancock Counties</ENT>
                                <ENT>8/3/06</ENT>
                                <ENT>5/14/07, 72 FR 27063</ENT>
                                <ENT>SIP effective date: 6/13/07.</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                                <ENT O="xl"> </ENT>
                                <ENT>3/14/11</ENT>
                                <ENT>
                                    9/15/11 [
                                    <E T="03">Insert page number where the document begins]</E>
                                </ENT>
                                <ENT>
                                    Revised MVEB's for 2009 and 2018 (VOC and NO
                                    <E T="52">X</E>
                                    ).  See § 52.2527.
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">8-Hour Ozone Maintenance Plan for the Wheeling, WV-OH Area</ENT>
                                <ENT>Marshall and Ohio County</ENT>
                                <ENT>7/24/06</ENT>
                                <ENT>5/15/07, 72 FR 2724</ENT>
                                <ENT>SIP effective date: 6/13/07.</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                                <ENT O="xl"> </ENT>
                                <ENT>3/14/11</ENT>
                                <ENT>
                                    9/15/11 [
                                    <E T="03">Insert page number where the document begins]</E>
                                </ENT>
                                <ENT>
                                    Revised MVEB's for 2009 and 2018 (VOC and NO
                                    <E T="52">X</E>
                                    ). See § 52.2527.
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="28">*         *         *         *         *         *         *</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">8-Hour Ozone Maintenance Plan for the Charleston, WV Area</ENT>
                                <ENT>Charleston Area (Kanawha and Putnam Counties)</ENT>
                                <ENT>11/30/05</ENT>
                                <ENT>7/11/06, 71 FR 39001</ENT>
                                <ENT>
                                    Action includes approval of the following motor vehicle emission budgets (MVEB): 8.2 tons per day (tpd) for NO
                                    <E T="52">X</E>
                                     and 7.2 tpd for VOC.
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                                <ENT O="xl"> </ENT>
                                <ENT>1/8/07</ENT>
                                <ENT>1/14/08, 73 FR 2156</ENT>
                                <ENT>Action includes approval of new MVEBs.</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                                <ENT O="xl"> </ENT>
                                <ENT>3/14/11</ENT>
                                <ENT>
                                    9/15/11 [
                                    <E T="03">Insert page number where the document begins]</E>
                                </ENT>
                                <ENT>
                                    Revised MVEB's for 2009 and 2018 (VOC and NO
                                    <E T="52">X</E>
                                    ). See § 52.2527.
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="22"> </ENT>
                            </ROW>
                            <ROW>
                                <PRTPAGE P="56981"/>
                                <ENT I="28">*         *         *         *         *         *         *</ENT>
                            </ROW>
                        </GPOTABLE>
                    </SECTION>
                    <AMDPAR>3. Section 52.2532 is added to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 52.2532 </SECTNO>
                        <SUBJECT>Motor vehicle emissions budgets.</SUBJECT>
                        <P>(a) EPA approves the following revised 2009 and 2018 motor vehicle emissions budgets (MVEBs) for the Charleston, West Virginia 8-hour ozone maintenance area submitted by the Secretary of the Department of Environmental Protection on March 14, 2011:</P>
                        <GPOTABLE COLS="4" OPTS="L2,tp0,i1" CDEF="s50,14,14,14">
                            <TTITLE> </TTITLE>
                            <BOXHD>
                                <CHED H="1">Applicable geographic area</CHED>
                                <CHED H="1">Year</CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>(TPD) VOC</LI>
                                </CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>
                                        (TPD) NO
                                        <E T="52">X</E>
                                    </LI>
                                </CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">Charleston Area (Kanawha and Putnam Counties)</ENT>
                                <ENT>2009</ENT>
                                <ENT>7.4</ENT>
                                <ENT>14.0</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">Charleston Area (Kanawha and Putnam Counties)</ENT>
                                <ENT>2018</ENT>
                                <ENT>6.6</ENT>
                                <ENT>13.5</ENT>
                            </ROW>
                        </GPOTABLE>
                        <P>(b) EPA approves the following revised 2009 and 2018 motor vehicle emissions budgets (MVEBs) for the Huntington, West Virginia 8-hour ozone maintenance area submitted by the Secretary of the Department of Environmental Protection on March 14, 2011:</P>
                        <GPOTABLE COLS="4" OPTS="L2,tp0,i1" CDEF="s50,14,14,14">
                            <TTITLE> </TTITLE>
                            <BOXHD>
                                <CHED H="1">Applicable geographic area</CHED>
                                <CHED H="1">Year</CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>(TPD) VOC</LI>
                                </CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>
                                        (TPD) NO
                                        <E T="52">X</E>
                                    </LI>
                                </CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">Huntington Area (Cabell and Wayne Counties)</ENT>
                                <ENT>2009</ENT>
                                <ENT>7.4</ENT>
                                <ENT>14.0</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">Huntington Area (Cabell and Wayne Counties)</ENT>
                                <ENT>2018</ENT>
                                <ENT>6.6</ENT>
                                <ENT>13.5</ENT>
                            </ROW>
                        </GPOTABLE>
                        <P>(c) EPA approves the following revised 2009 and 2018 motor vehicle emissions budgets (MVEBs) for the Parkersburg, West Virginia 8-hour ozone maintenance area submitted by the Secretary of the Department of Environmental Protection on March 14, 2011:</P>
                        <GPOTABLE COLS="4" OPTS="L2,tp0,i1" CDEF="s50,14,14,14">
                            <TTITLE> </TTITLE>
                            <BOXHD>
                                <CHED H="1">Applicable geographic area</CHED>
                                <CHED H="1">Year</CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>(TPD) VOC</LI>
                                </CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>
                                        (TPD) NO
                                        <E T="52">X</E>
                                    </LI>
                                </CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">Parkersburg Area (Wood County)</ENT>
                                <ENT>2009</ENT>
                                <ENT>5.5</ENT>
                                <ENT>7.3</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">Parkersburg Area (Wood County)</ENT>
                                <ENT>2018</ENT>
                                <ENT>4.7</ENT>
                                <ENT>7.3</ENT>
                            </ROW>
                        </GPOTABLE>
                        <P>(d) EPA approves the following revised 2009 and 2018 motor vehicle emissions budgets (MVEBs) for the Weirton, West Virginia 8-hour ozone maintenance area submitted by the Secretary of the Department of Environmental Protection on March 14, 2011:</P>
                        <GPOTABLE COLS="4" OPTS="L2,tp0,i1" CDEF="s50,14,14,14">
                            <TTITLE> </TTITLE>
                            <BOXHD>
                                <CHED H="1">Applicable geographic area</CHED>
                                <CHED H="1">Year</CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>(TPD) VOC</LI>
                                </CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>
                                        (TPD) NO
                                        <E T="52">X</E>
                                    </LI>
                                </CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">Weirton Area (Brooke and Hancock Counties)</ENT>
                                <ENT>2009</ENT>
                                <ENT>3.4</ENT>
                                <ENT>4.2</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">Weirton Area (Brooke and Hancock Counties)</ENT>
                                <ENT>2018</ENT>
                                <ENT>1.9</ENT>
                                <ENT>3.9</ENT>
                            </ROW>
                        </GPOTABLE>
                        <P>(e) EPA approves the following revised 2009 and 2018 motor vehicle emissions budgets (MVEBs) for the Wheeling, West Virginia 8-hour ozone maintenance area submitted by the Secretary of the Department of Environmental Protection on March 14, 2011:</P>
                        <GPOTABLE COLS="4" OPTS="L2,tp0,i1" CDEF="s50,14,14,14">
                            <TTITLE> </TTITLE>
                            <BOXHD>
                                <CHED H="1">Applicable geographic area</CHED>
                                <CHED H="1">Year</CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>(TPD) VOC</LI>
                                </CHED>
                                <CHED H="1">
                                    Tons per day
                                    <LI>
                                        (TPD) NO
                                        <E T="52">X</E>
                                    </LI>
                                </CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">Wheeling Area (Marshall and Ohio Counties)</ENT>
                                <ENT>2009</ENT>
                                <ENT>7.4</ENT>
                                <ENT>14.0</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">Wheeling Area (Marshall and Ohio Counties)</ENT>
                                <ENT>2018</ENT>
                                <ENT>6.6</ENT>
                                <ENT>13.5</ENT>
                            </ROW>
                        </GPOTABLE>
                    </SECTION>
                </REGTEXT>
                <PRTPAGE P="56982"/>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23261 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6560-50-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="S">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                <CFR>40 CFR Part 52</CFR>
                <DEPDOC>[EPA-R06-OAR-2011-0426; FRL-9463-6]</DEPDOC>
                <SUBJECT>Approval and Promulgation of Implementation Plans; Texas; Revisions to Permits by Rule and Regulations for Control of Air Pollution by Permits for New Construction or Modification</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Environmental Protection Agency (EPA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Withdrawal of direct final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        On July 25, 2011, EPA published a direct final rule approving portions of three revisions to the Texas State Implementation Plan (SIP) submitted on August 31, 1993; July 22, 1998; and October 5, 2010. The revisions amend existing sections and create new sections in Title 30 of the Texas Administrative Code (TAC), Chapter 116—Control of Air Pollution by Permits for New Construction or Modification. The August 31, 1993, revision creates two new sections at 30 TAC 116.174 and 116.175 for the use of emission reductions as offsets in new source review permitting. The July 22, 1998, revision creates 30 TAC 116.116(f) allowing for the use of Discrete Emission Reduction Credits (DERC) to exceed emission limits in permits (permit allowables) and amends 30 TAC 116.174 to update internal citations to other Texas regulations. The October 5, 2010, revision amends 30 TAC 116.116(f) to update internal citations to other Texas regulations. The direct final action was published without prior proposal because EPA anticipated no adverse comments. EPA stated in the direct final rule that if we received relevant, adverse comments by August 24, 2011, EPA would publish a timely withdrawal in the 
                        <E T="04">Federal Register</E>
                        . EPA subsequently received timely adverse comments on the direct final rule. Therefore, EPA is withdrawing the direct final approval. EPA will address all relevant, adverse comments submitted by August 24, 2011, in a subsequent final action based on the parallel proposal also published on July 25, 2011. As stated in the parallel proposal, EPA will not institute a second comment period on this action.
                    </P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The direct final rule published on July 25, 2011 (76 FR 44271), is withdrawn as of September 15, 2011.</P>
                </EFFDATE>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Ms. Erica Le Doux (6PD-R), Air Permits Section, Environmental Protection Agency, Region 6, 1445 Ross Avenue (6PD-R), Suite 1200, Dallas, TX 75202-2733. The telephone number is (214) 665-7265. Ms. Le Doux can also be reached via electronic mail at 
                        <E T="03">ledoux.erica@epa.gov.</E>
                    </P>
                    <LSTSUB>
                        <HD SOURCE="HED">List of Subjects in 40 CFR Part 52</HD>
                        <P>Environmental protection, Air pollution control, Carbon monoxide, Incorporation by reference, Intergovernmental relations, Lead, Nitrogen dioxide, Ozone, Particulate matter, Reporting and recordkeeping requirements, Sulfur oxides, Volatile organic compounds.</P>
                    </LSTSUB>
                    <SIG>
                        <DATED>Dated: September 6, 2011.</DATED>
                        <NAME>Al Armendariz,</NAME>
                        <TITLE>Regional Administrator, EPA Region 6.</TITLE>
                    </SIG>
                    <P>
                        Accordingly, the amendments to 40 CFR 52.2270 published in the 
                        <E T="04">Federal Register</E>
                         on July 25, 2011 (76 FR 44271), which were to become effective on September 23, 2011, are withdrawn.
                    </P>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23523 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6560-50-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="S">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                <CFR>40 CFR Parts 124, 144, 145, 146, and 147</CFR>
                <DEPDOC>[EPA-HQ-OW-2008-0390; FRL-9465-1]</DEPDOC>
                <SUBJECT>
                    Announcement of Federal Underground Injection Control (UIC) Class VI Program for Carbon Dioxide (CO
                    <E T="52">2</E>
                    ) Geologic Sequestration (GS) Wells
                </SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Environmental Protection Agency (EPA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Establishment of Class VI Program.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        EPA is announcing the establishment of a Federal Underground Injection Control (UIC) Class VI Program for Carbon Dioxide (CO
                        <E T="52">2</E>
                        ) Geologic Sequestration (GS) Wells under which EPA will directly implement the Class VI Program nationally as of September 7, 2011. States and potential owners or operators of CO
                        <E T="52">2</E>
                         GS wells must submit all permit applications to the appropriate EPA Region in order for a Class VI permit to be issued pursuant to the Federal Requirements under the Class VI rule finalized on December 10, 2010. Direct Federal implementation of the final Class VI requirements is in effect until such time as a State-submitted primary enforcement responsibility (primacy) application is approved by EPA.
                    </P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The national Class VI Program is effective as of September 7, 2011.</P>
                </EFFDATE>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Lisa McWhirter, Underground Injection Control Program, Drinking Water Protection Division, Office of Ground Water and Drinking Water (MC-4606M), Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460; 
                        <E T="03">telephone number:</E>
                         (202) 564-2317; 
                        <E T="03">fax number:</E>
                         (202) 564-3756; 
                        <E T="03">e-mail address: mcwhirter.lisa@epa.gov.</E>
                         For general information and to access information on the final Class VI rule, visit the Underground Injection Control Geologic Sequestration Web site at 
                        <E T="03">http://water.epa.gov/type/groundwater/uic/wells_sequestration.cfm.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. General Information</HD>
                <HD SOURCE="HD2">A. Does this action apply to me?</HD>
                <P>
                    This action applies to all State and Tribal governments and owners or operators of injection wells that will be used to inject CO
                    <E T="52">2</E>
                     into the subsurface for the purposes of GS. Entities include, but are not limited to, the following:
                </P>
                <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s50,r150">
                    <TTITLE> </TTITLE>
                    <BOXHD>
                        <CHED H="1">Category</CHED>
                        <CHED H="1">Examples of entities that this action applies to</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">States and Tribal Governments</ENT>
                        <ENT>States and Tribal governments.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Private</ENT>
                        <ENT>
                            Owners or Operators of CO
                            <E T="52">2</E>
                             injection wells used for Class VI GS.
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Private</ENT>
                        <ENT>
                            Owners or Operators of existing CO
                            <E T="52">2</E>
                             injection wells transitioning from Class I, II, or Class V injection activities to Class VI GS.
                        </ENT>
                    </ROW>
                </GPOTABLE>
                <P>
                    This table is not intended to be an exhaustive list; rather it provides a guide for readers regarding entities that this action applies to. This action could also apply to other types of entities not listed in the table. To determine 
                    <PRTPAGE P="56983"/>
                    whether this action applies to your facility or authority, you should carefully examine the applicability criteria found at 40 CFR part 146 in the Code of Federal Regulations. If you have questions regarding the applicability of this action to a particular entity, consult the person listed in the preceding 
                    <E T="02">FOR FURTHER INFORMATION CONTACT</E>
                     section.
                </P>
                <HD SOURCE="HD2">B. How can I get copies of this document and other related information?</HD>
                <P>
                    1. 
                    <E T="03">Docket.</E>
                     EPA has established a docket for this action under Docket ID No. EPA-HQ-OW-2008-0390. Publicly available docket materials are available either electronically through 
                    <E T="03">http://www.regulations.gov</E>
                     or in hard copy at the Water Docket in the EPA Docket Center, (EPA/DC) EPA West, Room 3334, 1301 Constitution Ave., NW., Washington, DC. The EPA Docket Center 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 Water Docket is (202) 566-2426.
                </P>
                <P>
                    2. 
                    <E T="03">Electronic Access.</E>
                     You may access this 
                    <E T="04">Federal Register</E>
                     document electronically through the EPA Internet under the “
                    <E T="04">Federal Register</E>
                    ” listings at 
                    <E T="03">http://www.epa.gov/fedrgstr/.</E>
                </P>
                <HD SOURCE="HD1">II. Background Information</HD>
                <P>
                    On December 10, 2010, EPA finalized minimum Federal requirements under the Safe Drinking Water Act (SDWA) for underground injection of CO
                    <E T="52">2</E>
                     for the purpose of GS (75 FR 77230) (Class VI Final Rule). Under the authority of the SDWA, EPA established a new class of well, Class VI, for underground injection of CO
                    <E T="52">2</E>
                     for the purpose of GS. The Agency set minimum technical criteria for the permitting, geologic site characterization, area of review (AoR) and corrective action, financial responsibility, well construction, operation, mechanical integrity testing (MIT), monitoring, well plugging, post-injection site care (PISC), and site closure of Class VI wells for the purposes of protecting underground sources of drinking water (USDWs).
                </P>
                <P>Under 40 CFR 145.21(h) in the Code of Federal Regulations (CFR), EPA provided States 270 days, from December 10, 2010, to submit a complete primary enforcement responsibility (primacy) application for implementation of the Class VI Program that met the requirements of 40 CFR 145.22 or 145.32 (75 FR 77242). While the Agency has worked with States interested in applying for Class VI Program primacy, as of September 6, 2011, EPA has not received or approved any complete primacy applications.</P>
                <HD SOURCE="HD1">III. Class VI Program Implementation</HD>
                <P>
                    In the preamble to the Class VI Final Rule (75 FR 77242), EPA clarified that, in light of national priorities for promoting climate change mitigation strategies and Administration priorities for developing and deploying CCS projects in the next few years as highlighted in the “Report of the Interagency Task Force on Carbon Capture and Storage” (August 2010), it is important to have enforceable Class VI regulations in place nationwide as soon as possible. As a result, in the Class VI Final Rule, EPA provided that the Federal rule would become effective in every State that had not submitted a primacy application within the 270-day transition period provided by SDWA. The Agency committed to publishing, in the 
                    <E T="04">Federal Register</E>
                    , a list of States where the Federal Class VI requirements have become applicable beginning September 7, 2011 (75 FR 77242). Because the Agency did not receive any complete primacy applications for Class VI Program implementation by September 6, 2011, no States have received Class VI primacy and the Federal requirements have become effective nationwide. In situations where States have not been granted authority to administer UIC Program regulations, EPA is responsible for implementing the Program in accordance with the provisions at 40 CFR 145.21(h) and 147.1(d). EPA describes this process in the preamble to the Class VI Final Rule at 75 FR 77242. In summary, on September 7, 2011, the Class VI permit requirements became effective throughout the United States, and EPA now implements and enforces the Federal Class VI requirements nationally, in all States, Tribes, and Territories even in States, Tribes, or Territories that have primacy to administer the UIC Program for other UIC well classes.
                </P>
                <P>As a result, beginning September 7:</P>
                <P>
                    • The “transitional period” during which States were able to use existing UIC authorities (
                    <E T="03">e.g.,</E>
                     Class I or Class V) to permit GS projects has ended (75 FR 77243). All current and future GS projects must now be evaluated by the appropriate EPA Regional office (the Class VI permitting authority).
                </P>
                <P>
                    • A State may no longer issue Class I permits for CO
                    <E T="52">2</E>
                     injection for GS for purposes of complying with SDWA.
                </P>
                <P>
                    • Until a State receives primacy for the Class VI Program, a State may not issue Class VI UIC permits (75 FR 77243) under SDWA. All permit applications for GS projects must be directed to the appropriate EPA Region in order for a Class VI permit to be issued (75 FR 77243). EPA encourages owners or operators to contact EPA Regions regarding existing and future GS projects. EPA Regions will work with States that are considering applying for Class VI primacy, where possible, to ensure that Class VI permits are designed in a way that will be compatible with the final State Program requirements. EPA expects the majority, if not all, of the wells injecting CO
                    <E T="52">2</E>
                     for GS to obtain Class VI permits.The Agency anticipates that few, if any Class V experimental technology well permits will be issued under SDWA for future GS projects. (75 FR 77245-46) EPA will determine, based on evaluation of project-specific information, whether a project needs to be permitted as a Class V experimental technology well because the Class VI requirements would be technologically inappropriate or would not adequately address the environmental risks of the project. In such cases, EPA will coordinate with the appropriate Class V permitting authority which may, in some cases, be the State.
                </P>
                <P>
                    • As provided in 40 CFR 146.81(c), owners or operators of either Class I wells previously permitted for the purpose of GS or Class V experimental technology wells no longer being used for experimental purposes that will continue injection of CO
                    <E T="52">2</E>
                     for the purpose of GS must apply to the appropriate EPA Region for a Class VI permit by December 10, 2011.
                </P>
                <P>
                    • A State may, at any time in the future, apply for Class VI Program primacy following establishment of a Federal Class VI UIC Program. If a State receives Class VI Program primacy approval in the future, EPA will publish a subsequent 
                    <E T="04">Federal Register</E>
                     notice that codifies the State Class VI Program in 40 CFR part 147; at that point, the State, rather than EPA, will implement the Class VI Program. For additional information about applying for Class VI Program primacy under SDWA Section 1422, see requirements at 40 CFR part 145 and the final rule and preamble (75 FR 77230-77303; December 10, 2010).
                </P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Cynthia C. Dougherty,</NAME>
                    <TITLE>Director, Office of Ground Water and Drinking Water.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23662 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6560-50-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <PRTPAGE P="56984"/>
                <AGENCY TYPE="N">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>National Telecommunications and Information Administration</SUBAGY>
                <CFR>47 CFR Part 300</CFR>
                <DEPDOC>[Docket Number 110907566-1566-01]</DEPDOC>
                <RIN>RIN 0660-AA25</RIN>
                <SUBJECT>Revision to the Manual of Regulations and Procedures for Federal Radio Frequency Management</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Telecommunications and Information Administration, U.S. Department of Commerce.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The National Telecommunications and Information Administration (NTIA) hereby makes certain changes to its regulations, which relate to the public availability of the Manual of Regulations and Procedures for Federal Radio Frequency Management (NTIA Manual). Specifically, NTIA updates the version of the Manual of Regulations and Procedures for Federal Radio Frequency Management with which federal agencies must comply when requesting use of the radio frequency spectrum.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This regulation is effective on September 15, 2011. The incorporation by reference of certain publications listed in the rule is approved by the Director of the Federal Register as of September 15, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>A reference copy of the NTIA Manual, including all revisions in effect, is available in the Office of Spectrum Management, 1401 Constitution Avenue, NW., Room 1087, Washington, DC 20230.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        William Mitchell, Office of Spectrum Management, at (202) 482-8124 or 
                        <E T="03">wmitchell@ntia.doc.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">Background</HD>
                <P>NTIA authorizes the U.S. Government's use of the radio frequency spectrum. 47 U.S.C. 902(b)(2)(A). As part of this authority, NTIA developed the NTIA Manual to provide further guidance to applicable federal agencies. The NTIA Manual is the compilation of policies and procedures that govern the use of the radio frequency spectrum by the U.S. Government. Federal government agencies are required to follow these policies and procedures in their use of the spectrum.</P>
                <P>
                    Part 300 of title 47 of the Code of Federal Regulations provides information about the process by which NTIA regularly revises the NTIA Manual and makes public this document and all revisions. Federal agencies are required to comply with the specifications in the NTIA Manual when requesting frequency assignments for use of the radio frequency spectrum. 
                    <E T="03">See</E>
                     47 U.S.C. 901 
                    <E T="03">et seq.,</E>
                     Executive Order 12046 (March 27, 1978), 43 FR 13349, 3 CFR 1978 Comp. at 158. 
                </P>
                <P>
                    This rule updates section 300.1(b) of title 47 of the Code of Federal Regulations to specify the version of the NTIA Manual with which federal agencies must comply when requesting frequency assignments for use of the radio frequency spectrum. In particular, this rule amends section 300.1(b) by replacing “September 2010” with “May 2011.” 
                    <E T="03">See</E>
                     Revision to the Manual of Regulations and Procedures for Federal Radio Frequency Management, 76 FR 18652, 18652-53 (April 5, 2011) (revising the Manual through September 2010). Upon the effective date of this rule, federal agencies must comply with the requirements set forth in the January 2008 edition of the NTIA Manual, as revised through May 2011.
                </P>
                <P>
                    The NTIA Manual is scheduled for revision in January, May, and September of each year and is submitted to the Director of the Federal Register for Incorporation by Reference approval. The Director of the Federal Register approved this incorporation by reference in accordance with 5 U.S.C. 552(a) and part 51 of title 1 of the Code of Federal Regulations. The NTIA Manual is available from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402, by referring to Catalog Number 903-008-00000-8. A reference copy of the NTIA Manual, including all revisions in effect, is available in the Office of Spectrum Management, 1401 Constitution Avenue, NW., Room 1087, Washington, DC 20230, or call William Mitchell on (202) 482-8124, and available online at 
                    <E T="03">http://www.ntia.doc.gov/osmhome/redbook/redbook.html.</E>
                     The NTIA Manual is also on file 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 
                    <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E>
                </P>
                <HD SOURCE="HD1">Paperwork Reduction Act</HD>
                <P>This action does not contain collection of information requirements subject to the Paperwork Reduction Act (PRA). Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the PRA, unless that collection displays a currently valid OMB Control Number.</P>
                <HD SOURCE="HD1">Executive Order 12866</HD>
                <P>This rule has been determined to be not significant for purposes of Executive Order 12866.</P>
                <HD SOURCE="HD1">Administrative Procedure Act/Regulatory Flexibility Act</HD>
                <P>
                    NTIA finds good cause under 5 U.S.C. 553(b)(B) to waive prior notice and opportunity for public comment as it is unnecessary. This action amends the regulations to include the date of the most current version of the NTIA Manual. These changes do not impact the rights or obligations of the public. The NTIA Manual applies only to federal agencies. Because these changes impact only federal agencies, NTIA finds it unnecessary to provide for the notice and comment requirements of 5 U.S.C. 553. NTIA also finds good cause under 5 U.S.C. 553(d)(3) to waive the 30-day delay in effectiveness for the reasons provided above. Because notice and opportunity for comment are not required pursuant to 5 U.S.C. 553 or any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601 
                    <E T="03">et seq.</E>
                    ) are not applicable. Therefore, a regulatory flexibility analysis is not required and has not been prepared.
                </P>
                <HD SOURCE="HD1">Congressional Review Act</HD>
                <P>The NTIA Manual provides for the policies and procedures for federal agencies' use of the radio spectrum. The NTIA Manual and the changes thereto do not substantially affect the rights or obligations of the public. As a result, this notice is not a “rule” as defined by the Congressional Review Act, 5 U.S.C. 804(3)(C).</P>
                <HD SOURCE="HD1">Executive Order 13132</HD>
                <P>This rule does not contain policies having federalism implications as that term is defined in EO 13132.</P>
                <HD SOURCE="HD1">Regulatory Text</HD>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 47 CFR Part 300</HD>
                    <P>Incorporation by reference; Radio.</P>
                </LSTSUB>
                <P>For the reasons set forth in the preamble, NTIA amends title 47, Part 300 as follows:</P>
                <REGTEXT TITLE="47" PART="300">
                    <PART>
                        <HD SOURCE="HED">PART 300—MANUAL OF REGULATIONS AND PROCEDURES FOR FEDERAL RADIO FREQUENCY MANAGEMENT</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for Part 300 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <PRTPAGE P="56985"/>
                        <HD SOURCE="HED"> Authority: </HD>
                        <P> 47 U.S.C. 901 et seq., Executive Order 12046 (March 27, 1978), 43 FR 13349, 3 CFR 1978 Comp., p. 158.</P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="49" PART="300">
                    <AMDPAR>2. Section 300.1(b) is revised to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 300.1 </SECTNO>
                        <SUBJECT>Incorporation by reference of the Manual of Regulations and Procedures for Federal Radio Frequency Management.</SUBJECT>
                        <STARS/>
                        <P>(b) The federal agencies shall comply with the requirements set forth in the January 2008 edition of the NTIA Manual, as revised through May 2011, which is incorporated by reference with approval of the Director, Office of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <SIG>
                    <DATED> Dated: September 8, 2011.</DATED>
                    <NAME>Lawrence E. Strickling,</NAME>
                    <TITLE>Assistant Secretary for Communications and Information.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23450 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-60-P</BILCOD>
        </RULE>
        <RULE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>National Oceanic and Atmospheric Administration</SUBAGY>
                <CFR>50 CFR Part 648</CFR>
                <DEPDOC>[Docket No. 110627355-1539-02]</DEPDOC>
                <RIN>RIN 0648-BB08</RIN>
                <SUBJECT>Magnuson-Stevens Fishery Conservation and Management Act Provisions; Fisheries of the Northeastern United States; Northeast (NE) Multispecies Fishery; Framework Adjustment 46</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Final rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This final rule partially approves Framework Adjustment (FW) 46 to the NE Multispecies Fishery Management Plan (FMP), which increases the haddock incidental catch cap allocated to the Atlantic midwater trawl herring fishery to 1 percent of the Georges Bank (GB) haddock Acceptable Biological Catch (ABC) and to 1 percent of the Gulf of Maine (GOM) haddock ABC, thereby, adjusting final fishing year (FY) 2011 specifications for the other fishery components of these ABCs. In addition, this action modifies the method for estimating haddock catch in the herring fishery and the relevant accountability measures (AMs) such that, upon attainment of the cap, the midwater trawl herring fleet may not catch or land herring in excess of the incidental catch limit (2,000 lb (907.2 kg)) in or from the appropriate haddock stock area. In addition, in this action NMFS disapproves measures in FW 46 that would have required open access herring vessels using midwater trawl gear to report total kept catch, and notify the Office of Law Enforcement, prior to landing. NMFS also disapproves a measure to require all midwater trawl vessels to report gear used on each trip into the Gulf of Maine or Georges Bank. FW 46 was developed by the New England Fishery Management Council (Council) to address the haddock incidental catch cap in the Atlantic herring fishery to allow the herring fishery to achieve optimum yield, by establishing a better opportunity to fully harvest the available herring quota, while providing incentives for the midwater trawl fishery to minimize haddock catch and, ensuring that haddock catch is adequately controlled and monitored.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This rule is effective September 14, 2011, except for § 648.10(l), which will become effective September 28, 2011.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Copies of FW 46, its Regulatory Impact Review (RIR), the final environmental assessment (EA) prepared for this action, and the Initial Regulatory Flexibility Analysis (IRFA) prepared by the Council are available from Paul J. Howard, Executive Director, New England Fishery Management Council, 50 Water Street, Mill 2, Newburyport, MA 01950. A Final Regulatory Flexibility Analysis (FRFA) was prepared for this final rule and is comprised of the EA, the preamble, and the Classification sections of the final rule. The FW 46 EA/RIR/IRFA are also accessible via the Internet at 
                        <E T="03">http://www.nefmc.org/nemulti/index.html</E>
                         or 
                        <E T="03">http://www.nero.noaa.gov.</E>
                         Written comments regarding the burden-hour estimates or other aspects of the collection-of-information requirements contained in this rule should be submitted to the Regional Administrator at the address above and to the Office of Management and Budget (OMB) by e-mail at 
                        <E T="03">OIRA_Submission@omb.eop.gov,</E>
                         or fax to (202) 395-7285.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Melissa Vasquez, Fishery Policy Analyst, 
                        <E T="03">phone:</E>
                         978-281-9166, 
                        <E T="03">fax:</E>
                         978-281-9135.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>A proposed rule to implement measures in FW 46 was published on July 19, 2011 (76 FR 42663), soliciting public comment through August 3, 2011. After review of all public comments, NMFS has approved several of the proposed measures in FW 46, determining that approved measures, as listed below, are consistent with the goals of the FMP as described in Amendment 16 to the FMP, the Magnuson-Stevens Fishery Conservation and Management Act (Magnuson-Stevens Act), and other applicable laws. These final measures are unchanged from those that were proposed.</P>
                <HD SOURCE="HD1">Background</HD>
                <P>
                    The Atlantic herring fishery is currently allocated a sub-Annual Catch Limit (ACL) of haddock that is equal to 0.2 percent of the combined GOM and GB haddock ABCs, to account for haddock that is incidentally caught in the herring fishery. When this cap is reached, herring vessels are restricted to an incidental possession limit of 2,000 lb (907.2 kg) of herring per trip in specific portions of the GOM and GB, which effectively closes these areas to directed herring fishing. The Council initiated FW 46 in January 2011 to address industry concerns that the haddock incidental catch cap was becoming too constraining on the herring fishery, particularly given the increased, healthy biomass of haddock on GB and the fact that the commercial groundfish fishery is not likely able to harvest its own sub-ACL for these stocks. An early effective closure of the directed herring fishery as a result of catching the incidental catch cap could result in thwarting fishery participants from potentially achieving optimum yield and limiting the supply of herring bait to the lobster fishery. For example, in FY 2010, the herring fishery was constrained by the cap and had to modify its behavior, which may have resulted in up to $5.5 million in foregone herring from Herring Management Area 3. Thus, the Council developed FW 46 to revise the haddock incidental catch cap for the Atlantic herring fishery to allow for the achievement of optimum yield through establishing a better opportunity to fully harvest the available herring quota, while providing incentives for the midwater trawl herring fishery to minimize haddock catch, and ensuring that haddock catch is adequately controlled and monitored. A complete discussion of the development of FW 46 and the pre-FW 46 haddock incidental catch cap measures and their rationale appears in the preamble to the proposed rule and is not repeated here.
                    <PRTPAGE P="56986"/>
                </P>
                <HD SOURCE="HD1">Disapproved Measures</HD>
                <HD SOURCE="HD2">Requirement for Open Access Vessels To Report Total Kept Catch</HD>
                <P>FW 46, as submitted by the Council, required all midwater trawl vessels (including any vessel issued an open access incidental herring permit (Category D)) to report total catch kept. NMFS has partially disapproved this measure as it applies to a Category D vessel, because it determined that additional reporting by Category D vessels is not necessary at this time and would be an unnecessary reporting burden contrary to National Standard 7 of the Magnuson-Stevens Act, given that weekly VTR submissions (as implemented by a recent regulatory amendment to the Atlantic Herring FMP, 76 FR 54385; September 1, 2011) is sufficient to monitor this small component of the herring fishery.</P>
                <HD SOURCE="HD2">Requirement for Midwater Trawl Vessels To Report Gear</HD>
                <P>In addition, although FW 46, as submitted by the Council, also required a midwater trawl vessel to report gear when reporting total kept catch prior to landing, in this rule, NMFS disapproves that measure because NMFS has determined that it would not be necessary for the timely monitoring of the proposed haddock incidental catch caps and, therefore, would be an unnecessary reporting burden contrary to National Standard 7 of the Magnuson-Stevens Act.</P>
                <HD SOURCE="HD2">Requirement for Open Access Vessels To Submit a Pre-Landing Hail</HD>
                <P>Although FW 46, as submitted by the Council, proposed to expand the current pre-landing hail requirements to all vessels using midwater trawl gear, NMFS disapproves that measure as it applied to an open access herring permit holder (Category D). Because Category D permits represent a small portion of the herring fishery, accounting for very little of the Atlantic herring landings (0.5 percent in FY 2010), and rarely using midwater trawl gear in applicable Areas (Category A vessels accounted for all landings by midwater trawl gear in FY 2008-2010), NMFS believes that requiring pre-landing hails of Category D vessels is an unnecessary reporting burden at this time, and is contrary to National Standard 7 of the Magnuson-Stevens Act.</P>
                <HD SOURCE="HD1">Approved Measures</HD>
                <HD SOURCE="HD2">Incidental Catch Cap for Midwater Trawl Vessels</HD>
                <P>
                    To achieve the stated purposes of this action to maximize opportunities to fish for herring on GB, provide incentives to minimize the bycatch of haddock in the herring fishery, and reduce unnecessary economic impacts on the herring fishery, FW 46 replaces the current combined GOM and GB haddock incidental catch cap with separate stock-specific caps for the GOM and GB haddock stocks, equal to 1 percent of the GOM haddock ABC and 1 percent of the GB haddock ABC, respectively. These caps apply to all vessels with a Federal Atlantic herring permit of any category using midwater trawl gear (both single and paired midwater trawl vessels) in Herring Management Areas 1A, 1B, and/or 3. The stock-specific caps better account for differences between these two stocks and eliminate the possibility that catches of one stock could trigger the closure of both stock areas. The amount of the cap is calculated according to the procedures established by Amendment 16 for the setting of ACLs and sub-ACLs for various components of the fishery for each stock, and the cap calculation method revised by FW 44 to the FMP (see Appendix III to FW 44, available on the Council's 
                    <E T="03">Web site</E>
                     at 
                    <E T="03">http://www.nefmc.org/nemulti/index.html</E>
                    ). The net result is that the GOM haddock catch cap is calculated based on one percent of the GOM haddock ABC (deducted from the sub-ABC allocated to commercial fisheries, which includes the Federal commercial groundfish fishery, state waters fishery, the Atlantic herring fishery, and the other commercial sub-component) with a subsequent reduction for management uncertainty. Similarly, the GB haddock incidental catch cap is based on one percent of the GB haddock ABC, and a reduction for management uncertainty (deducted from the ABC available to U.S. fishermen). Because FW 46 increases the percentage shares of the GOM and GB haddock sub-ABCs that are allocated to the herring midwater trawl fishery, the ACE available to sectors declines slightly, as does the amount of the ACL available to common pool groundfish fishing vessels.
                </P>
                <P>As noted in FW 46, these final measures are being implemented in-season, after the beginning of the 2011 Northeast multispecies (May 1, 2011-April 30, 2012) and herring (January 1, 2011-December 31, 2011) fishing years (FY). Therefore, this final rule revises the FY 2011 and FY 2012 sub-ACLs specified for the GOM haddock and GB haddock stocks in the FW 44 and FW 45 final rules, respectively (75 FR 18356; April 9, 2010 and 76 FR 23042; April 25, 2011) (see Table 1). The sub-ACLs published here supersede all other sub-ACLs specified for GOM and GB haddock in previous rules. Given that the haddock cap for the midwater trawl herring fishery is monitored based on the groundfish FY, upon publication of this final rule, NMFS will use observer data and other available data and information from applicable herring trips to estimate haddock catches by the herring fishery since the start of FY 2011 (beginning May 1, 2011). The catch estimate will then be counted against the increased stock-specific haddock caps.</P>
                <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,9,9,9,9,9,9">
                    <TTITLE>Table 1—Total ACL, Sub-ACL, and ACL-Subcomponents for FY 2011 and FY 2012 </TTITLE>
                    <TDESC>[Mt, live weight] *</TDESC>
                    <BOXHD>
                        <CHED H="1">Stock</CHED>
                        <CHED H="1">Total ACL</CHED>
                        <CHED H="2">FY 2011</CHED>
                        <CHED H="2">FY 2012</CHED>
                        <CHED H="1">Groundfish sub-ACL</CHED>
                        <CHED H="2">FY 2011</CHED>
                        <CHED H="2">FY 2012</CHED>
                        <CHED H="1">
                            Mid-water trawl
                            <LI>herring fishery</LI>
                        </CHED>
                        <CHED H="2">FY 2011</CHED>
                        <CHED H="2">FY 2012</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">GOM haddock</ENT>
                        <ENT>833</ENT>
                        <ENT>699</ENT>
                        <ENT>1,086</ENT>
                        <ENT>912</ENT>
                        <ENT>11</ENT>
                        <ENT>9</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">GB haddock **</ENT>
                        <ENT>32,611</ENT>
                        <ENT>27,632</ENT>
                        <ENT>30,580</ENT>
                        <ENT>25,911</ENT>
                        <ENT>318</ENT>
                        <ENT>270</ENT>
                    </ROW>
                    <TNOTE>* The GOM haddock allocations to the recreational groundfish fishery for FY 2011 and FY 2012 remain unchanged from the FW 44 final rule. FY 2011 and FY 2012 ACL-subcomponents not listed here also remain unchanged from the FW 44 and FW 45 final rules.</TNOTE>
                    <TNOTE>** Due to the need to re-specify the U.S. ABCs for GB haddock for FY 2012, consistent with the U.S./Canada Resource Sharing Understanding, all sub-components of the ABCs for GB haddock for FY 2012 will be re-specified when information on the Canadian TACs is available.</TNOTE>
                </GPOTABLE>
                <PRTPAGE P="56987"/>
                <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,9,9,9,9,9,9">
                    <TTITLE>Table 2—Distribution of Groundfish Sub-ACL Between Common Pool and Sector Vessels for FY 2011 and FY 2012 </TTITLE>
                    <TDESC>[Mt, live weight]</TDESC>
                    <BOXHD>
                        <CHED H="1">Stock</CHED>
                        <CHED H="1">Groundfish sub-ACL</CHED>
                        <CHED H="2">FY 2011</CHED>
                        <CHED H="2">FY 2012</CHED>
                        <CHED H="1">
                            Common pool
                            <LI>sub-ACL</LI>
                        </CHED>
                        <CHED H="2">FY 2011</CHED>
                        <CHED H="2">FY 2012 *</CHED>
                        <CHED H="1">Sector sub-ACL</CHED>
                        <CHED H="2">FY 2011</CHED>
                        <CHED H="2">FY 2012 *</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">GOM haddock</ENT>
                        <ENT>1,086</ENT>
                        <ENT>912</ENT>
                        <ENT>8</ENT>
                        <ENT>6</ENT>
                        <ENT>770</ENT>
                        <ENT>647</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">GB haddock **</ENT>
                        <ENT>30,580</ENT>
                        <ENT>25,911</ENT>
                        <ENT>187</ENT>
                        <ENT>158</ENT>
                        <ENT>30,393</ENT>
                        <ENT>25,753</ENT>
                    </ROW>
                    <TNOTE>* The FY 2012 common pool and sector sub-ACLs are based on final FY 2011 sector rosters submitted to NMFS May 1, 2011. It is almost certain that the FY 2012 sub-ACLs for the common pool and sectors will change and be re-specified prior to FY 2012 due to annual changes in sector rosters.</TNOTE>
                    <TNOTE>** Due to the need to re-specify the U.S. ABCs for GB haddock for FY 2012, consistent with the U.S./Canada Resource Sharing Understanding, all sub-components of the ABCs for GB haddock for FY 2012 will be re-specified when information on the Canadian TACs is available.</TNOTE>
                </GPOTABLE>
                <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,6.2,6.2,6.2,6.2">
                    <TTITLE>Table 3—Final ACE Each Sector Would Receive by Stock for FY 2011 </TTITLE>
                    <TDESC>[1,000 lb and mt, live weight] *</TDESC>
                    <BOXHD>
                        <CHED H="1">Sector name (defined below)</CHED>
                        <CHED H="1">GOM Haddock</CHED>
                        <CHED H="2">1,000 lb</CHED>
                        <CHED H="2">mt</CHED>
                        <CHED H="1">GB Haddock west</CHED>
                        <CHED H="2">1,000 lb</CHED>
                        <CHED H="2">mt</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">FGS</ENT>
                        <ENT>22.43</ENT>
                        <ENT>10.17</ENT>
                        <ENT>2932.44</ENT>
                        <ENT>1330.13</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">MPBS</ENT>
                        <ENT>1.31</ENT>
                        <ENT>0.60</ENT>
                        <ENT>3.89</ENT>
                        <ENT>1.77</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NCCS</ENT>
                        <ENT>5.83</ENT>
                        <ENT>2.64</ENT>
                        <ENT>55.98</ENT>
                        <ENT>25.39</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 2</ENT>
                        <ENT>314.38</ENT>
                        <ENT>142.60</ENT>
                        <ENT>5303.39</ENT>
                        <ENT>2405.58</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 3</ENT>
                        <ENT>211.05</ENT>
                        <ENT>95.73</ENT>
                        <ENT>74.26</ENT>
                        <ENT>33.68</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 4</ENT>
                        <ENT>103.17</ENT>
                        <ENT>46.80</ENT>
                        <ENT>2466.58</ENT>
                        <ENT>1118.82</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 5</ENT>
                        <ENT>5.56</ENT>
                        <ENT>2.52</ENT>
                        <ENT>1810.76</ENT>
                        <ENT>821.35</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 6</ENT>
                        <ENT>65.35</ENT>
                        <ENT>29.64</ENT>
                        <ENT>1348.52</ENT>
                        <ENT>611.68</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 7</ENT>
                        <ENT>9.64</ENT>
                        <ENT>4.37</ENT>
                        <ENT>1749.59</ENT>
                        <ENT>793.60</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 8</ENT>
                        <ENT>3.68</ENT>
                        <ENT>1.67</ENT>
                        <ENT>2696.94</ENT>
                        <ENT>1223.31</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 9</ENT>
                        <ENT>80.58</ENT>
                        <ENT>36.55</ENT>
                        <ENT>5524.58</ENT>
                        <ENT>2505.91</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 10</ENT>
                        <ENT>44.32</ENT>
                        <ENT>20.10</ENT>
                        <ENT>144.18</ENT>
                        <ENT>65.40</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 11</ENT>
                        <ENT>42.94</ENT>
                        <ENT>19.48</ENT>
                        <ENT>16.57</ENT>
                        <ENT>7.52</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 12</ENT>
                        <ENT>14.73</ENT>
                        <ENT>6.68</ENT>
                        <ENT>1.22</ENT>
                        <ENT>0.55</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">NEFS 13</ENT>
                        <ENT>14.70</ENT>
                        <ENT>6.67</ENT>
                        <ENT>6869.34</ENT>
                        <ENT>3115.88</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">PCCGS</ENT>
                        <ENT>36.78</ENT>
                        <ENT>16.68</ENT>
                        <ENT>14.58</ENT>
                        <ENT>6.62</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">SHS 1</ENT>
                        <ENT>688.04</ENT>
                        <ENT>312.09</ENT>
                        <ENT>13301.48</ENT>
                        <ENT>6033.45</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">SHS 3</ENT>
                        <ENT>26.04</ENT>
                        <ENT>11.81</ENT>
                        <ENT>899.84</ENT>
                        <ENT>408.16</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">TSS</ENT>
                        <ENT>7.95</ENT>
                        <ENT>3.60</ENT>
                        <ENT>668.28</ENT>
                        <ENT>303.13</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">All Sectors Combined</ENT>
                        <ENT>1698.46</ENT>
                        <ENT>770.41</ENT>
                        <ENT>45882.44</ENT>
                        <ENT>20811.93</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Common Pool</ENT>
                        <ENT>16.74</ENT>
                        <ENT>7.59</ENT>
                        <ENT>282.35</ENT>
                        <ENT>128.07</ENT>
                    </ROW>
                    <TNOTE>—Georges Bank Cod Fixed Gear Sector (FGS), Maine Permit Banking Sector (MPBS), Northeast Coastal Communities Sector (NCCS), Northeast Fishery Sector (NEFS), Port Clyde Community Groundfish Sector (PCCGS), Sustainable Harvest Sector (SHS), and Tri-State Sector.</TNOTE>
                    <TNOTE>* All ACE values for sectors outlined in Table 3 assume that each sector Moratorium Right Identifier has a valid permit for FY 2011. ACE values are based on final FY 2011 sector rosters submitted May 1, 2011.</TNOTE>
                </GPOTABLE>
                <P>This final rule revises the current haddock catch cap monitoring requirements such that only the haddock catches from vessels issued a Federal Atlantic herring permit and fishing with midwater trawl gear in Atlantic Herring Management Areas 1A, 1B, and/or 3 (GOM and GB) will be counted against the incidental haddock catch caps. Haddock catch reported by observers on observed herring trips using midwater trawl gear in Herring Management Areas 1A, 1B, and/or 3 will be extrapolated to estimate total haddock catch by the herring midwater trawl fleet in these herring management areas, for purposes of monitoring the attainment of each stock-specific cap. This extrapolation method contrasts to monitoring methods used prior to this rule, in which haddock caught was derived only from summing the reports of observers, dealers, vessels, and law enforcement officials.</P>
                <P>
                    FW 46 states that NMFS will develop the extrapolation methodology and post it on the Northeast Regional Office 
                    <E T="03">Web site</E>
                     (See 
                    <E T="02">ADDRESSES</E>
                    ), and that NMFS will monitor and post catches of haddock by the herring fishery at least monthly on its 
                    <E T="03">Web site.</E>
                     NMFS intends to use the cumulative methodology it currently uses to extrapolate catches of butterfish in the 
                    <E T="03">Loligo</E>
                     squid fishery and to estimate discards by sector vessels in the groundfish fishery, to extrapolate haddock catches by the herring midwater trawl fishery. This method is described in detail on the Northeast Regional Office 
                    <E T="03">Web site</E>
                     (
                    <E T="03">http://www.nero.noaa.gov/ro/fso/reports/reports_frame.htm</E>
                    ) and is summarized briefly here. This method derives a ratio of the kept catch (or discards) of the species in question to the total weight of all species kept on observed trips (total kept), based on all observed trips as of a certain date (cumulative sums of landings or discards and total kept of all species). The ratio is then expanded to a total catch estimate by applying the ratio to the total kept of all species from all trips by the applicable component of the fishery. For example, an observed haddock catch rate would be derived from the ratio of the sum of all haddock catch to the sum of all species kept on observed herring midwater trawl trips in Herring Management Areas 1A, 1B, and 3 to date. This rate would then be applied to the total weight of all species kept from all midwater trawl trips in 
                    <PRTPAGE P="56988"/>
                    these same areas to date, to estimate total haddock catch by the herring midwater trawl fleet in each of the GOM and GB haddock stock areas.
                </P>
                <P>A vessel with a Category A and/or B Atlantic herring permit is still required to land all haddock brought on deck or pumped into the hold, and may land up to 100 lb (45 kg) total of other regulated NE multispecies (§ 648.86(k)) per trip, but is prohibited from selling any groundfish for human consumption. In addition, these groundfish possession restrictions are revised to allow a Category C or D vessel and fishing any part of a trip with midwater trawl gear in Herring Management Areas 1A, 1B, or 3, to possess and land haddock and up to 100 lb (45 kg) of other groundfish, consistent with the revised scope of the cap. Consistent with the current requirements for a Category A or B vessel, such a Category C or D vessel is required to land all haddock, but is prohibited from selling it for human consumption. Additionally, NMFS has revised the regulations at § 648.86(k) to clarify that the 100 lb (45 kg) NE multispecies possession limit is meant to apply to NE. multispecies other than haddock.</P>
                <P>FW 46 eliminates the current AM where all vessels issued an Atlantic herring permit are prohibited from possessing or landing herring in excess of the incidental herring limit in the entire GOM/GB Herring Exemption Area, once the combined GOM/GB haddock cap is reached. FW 46 instead establishes smaller, stock-specific AM areas (the “Herring GOM Haddock AM Area” and the “Herring GB Haddock AM Area”), which would only apply to a herring vessel using midwater trawl gear in the GOM and GB, upon attainment of the cap. The intent of this measure is to make the haddock catch caps less constraining on the herring fishery by accounting for differences between the haddock stocks, and by limiting the AMs to the herring midwater trawl fleet, which has been primarily responsible for haddock catches in the herring fishery. If the Regional Administrator determines that the haddock incidental catch cap for a specific haddock stock has been caught, any vessel issued a herring permit and using midwater trawl gear would be prohibited from fishing for, possessing, or landing herring in excess of 2,000 lb (907.2 kg) per trip in or from the applicable AM Area (see Tables 2 and 3). Additionally, the haddock possession/landing limit for the applicable AM Area would be reduced to 0 lb (0 kg) for herring midwater trawl vessels and all Category A and B vessels. For example, if the GOM haddock catch cap were reached, the herring possession limit would be reduced to the incidental catch level (2,000 lb (907 kg)) in the Herring GOM Haddock AM Area (see Table 2) for any vessel issued a herring permit and fishing any part of a trip with midwater trawl gear. Upon reaching the fishery haddock cap, a Category A or B vessel (regardless of gear used) or a Category C or D vessel fishing with midwater trawl gear would not be able to possess/land any haddock, but would still be able to land up to 100 lb (45 kg) of other NE. multispecies from the applicable AM area. In addition, in this example, a midwater trawl vessel would still be able to retain herring in or from areas of 1A, 1B, or 3 that do not overlap with the Herring GOM Haddock AM Area. A herring vessel that fishes both inside and outside of an AM Area for which the haddock cap has been triggered on a given trip would be required to comply with the most restrictive measures, meaning the vessel is restricted to the 2,000 lb (907 kg) herring possession limit for that trip. The reduced haddock possession/landing limit would not apply to a herring vessel that also holds a NE multispecies permit when it is on a declared NE. multispecies trip.</P>
                <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,xl48,xl48">
                    <TTITLE>Table 2—Herring GOM Haddock AM Area</TTITLE>
                    <BOXHD>
                        <CHED H="1">Point</CHED>
                        <CHED H="1">N. latitude</CHED>
                        <CHED H="1">W. longitude</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">HGA1</ENT>
                        <ENT>
                            (
                            <SU>1</SU>
                            )
                        </ENT>
                        <ENT>69°20′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HGA</ENT>
                        <ENT>43°40′</ENT>
                        <ENT>69°20′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HGA3</ENT>
                        <ENT>43°40′</ENT>
                        <ENT>69°00′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HGA4</ENT>
                        <ENT>43°20′</ENT>
                        <ENT>69°00′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HGA5</ENT>
                        <ENT>43°20′</ENT>
                        <ENT>
                            (
                            <SU>2</SU>
                            )
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HGA6</ENT>
                        <ENT>42°20′</ENT>
                        <ENT>
                            (
                            <SU>3</SU>
                            )
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HGA7</ENT>
                        <ENT>42°20′</ENT>
                        <ENT>70°00′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HGA8</ENT>
                        <ENT>
                            (
                            <SU>4</SU>
                            )
                        </ENT>
                        <ENT>70°00′</ENT>
                    </ROW>
                    <TNOTE>
                        <SU>1</SU>
                         The intersection of the Maine coastline and 69°20′ W. long.
                    </TNOTE>
                    <TNOTE>
                        <SU>2</SU>
                         The intersection of the U.S./Canada maritime boundary and 43°20′ N. lat.
                    </TNOTE>
                    <TNOTE>
                        <SU>3</SU>
                         The intersection of the U.S./Canada maritime boundary and 42°20′ N. lat.
                    </TNOTE>
                    <TNOTE>
                        <SU>4</SU>
                         The intersection of the north-facing shoreline of Cape Cod, MA, and 70°00′ W. long.
                    </TNOTE>
                </GPOTABLE>
                <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,xl48,xl48">
                    <TTITLE>Table 3—Herring GB Haddock AM Area</TTITLE>
                    <BOXHD>
                        <CHED H="1">Point</CHED>
                        <CHED H="1">N. latitude</CHED>
                        <CHED H="1">W. longitude</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">HBA1</ENT>
                        <ENT>42°20′</ENT>
                        <ENT>70°00′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA2</ENT>
                        <ENT>42°20′</ENT>
                        <ENT>
                            (
                            <SU>1</SU>
                            )
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA3</ENT>
                        <ENT>40°30′</ENT>
                        <ENT>
                            (
                            <SU>1</SU>
                            )
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA4</ENT>
                        <ENT>40°30′</ENT>
                        <ENT>66°40′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA5</ENT>
                        <ENT>39°50′</ENT>
                        <ENT>66°40′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA6</ENT>
                        <ENT>39°50′</ENT>
                        <ENT>68°50′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA7</ENT>
                        <ENT>
                            (
                            <SU>2</SU>
                            )
                        </ENT>
                        <ENT>68°50′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA8</ENT>
                        <ENT>41°00′</ENT>
                        <ENT>
                            (
                            <SU>3</SU>
                            )
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA9</ENT>
                        <ENT>41°00′</ENT>
                        <ENT>69°30′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA10</ENT>
                        <ENT>41°10′</ENT>
                        <ENT>69°30′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA11</ENT>
                        <ENT>41°10′</ENT>
                        <ENT>69°50′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA12</ENT>
                        <ENT>41°20′</ENT>
                        <ENT>69°50′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA13</ENT>
                        <ENT>41°20′</ENT>
                        <ENT>
                            (
                            <SU>4</SU>
                            )
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA14</ENT>
                        <ENT>
                            (
                            <SU>5</SU>
                            )
                        </ENT>
                        <ENT>70°00′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA15</ENT>
                        <ENT>
                            (
                            <SU>6</SU>
                            )
                        </ENT>
                        <ENT>70°00′</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">HBA16</ENT>
                        <ENT>
                            (
                            <SU>7</SU>
                            )
                        </ENT>
                        <ENT>70°00′</ENT>
                    </ROW>
                    <TNOTE>
                        <SU>1</SU>
                         The intersection of the U.S./Canada maritime boundary.
                    </TNOTE>
                    <TNOTE>
                        <SU>2</SU>
                         The intersection of the boundary of Closed Area I and 68°50′ W. long.
                    </TNOTE>
                    <TNOTE>
                        <SU>3</SU>
                         The intersection of the boundary of Closed Area I and 41°00′ N. lat.
                    </TNOTE>
                    <TNOTE>
                        <SU>4</SU>
                         The intersection of the east-facing shoreline of Nantucket, MA, and 41°20′ N. lat.
                    </TNOTE>
                    <TNOTE>
                        <SU>5</SU>
                         The intersection of the north-facing shoreline of Nantucket, MA, and 70°00′ W. long.
                    </TNOTE>
                    <TNOTE>
                        <SU>6</SU>
                         The intersection of the south-facing shoreline of Cape Cod, MA, and 70°00′ W. long.
                    </TNOTE>
                    <TNOTE>
                        <SU>7</SU>
                         The intersection of the north-facing shoreline of Cape Cod, MA, and 70°00′ W. long.
                    </TNOTE>
                </GPOTABLE>
                <P>
                    FW 46 implements an automatic haddock sub-ACL reduction as an additional AM, if the herring midwater trawl fishery haddock catch exceeds the incidental catch cap for the AM area in a given FY. If it is determined that the total catch of haddock by herring midwater trawl vessels exceeds either of the herring midwater trawl fishery GOM or GB haddock sub-ACLs for a FY, that sub-ACL would be reduced by the amount of the overage in the following FY. For example, if final accounting of the FY 2011 total haddock midwater trawl catch in the GOM haddock stock area indicates that the GOM haddock incidental catch cap had been exceeded by 5 mt, the FY 2012 GOM haddock sub-ACL for the herring midwater trawl fishery would be reduced by 5 mt to account for the overage that occurred during FY 2011. Any reductions to the midwater trawl haddock sub-ACLs would be announced by NMFS, consistent with the Administrative Procedure Act (APA), in the 
                    <E T="04">Federal Register</E>
                    , prior to the start of the next groundfish FY (May 1). Although not addressed by FW 46, NMFS has added language to § 648.90(a)(5)(iii), under the authority provided to the Secretary under Section 305(d) of the Magnuson-Stevens Act to promulgate regulations necessary to carry out an FMP, to clarify that if final catch accounting indicating an overage were not completed until after the end of a groundfish FY, the overage would still be applied to the final specifications for the next groundfish fishing year after which the overage occurred. This would be consistent with the process and timing NMFS has developed for applying and announcing overage paybacks for sectors in the NE multispecies fishery.
                </P>
                <P>
                    Any vessel with a limited access herring permit (Category A, B, and C 
                    <PRTPAGE P="56989"/>
                    permits) using midwater trawl gear is required to report total kept catch by modified haddock stock area through daily Vessel Monitoring System (VMS) catch reports. A final rule published on September 1, 2011 (76 FR 54385), implemented requirements in the Atlantic Herring FMP for a limited access herring vessel (including any vessel with a herring limited access incidental permit) to submit daily catch reports through VMS to report herring catch by herring management area. Upon the effective date of this final rule, a limited access herring vessel fishing with midwater trawl gear in Herring Management Areas 1A, 1B, or 3 is now also required to report total weight kept of all species (including herring, mackerel, groundfish, and any other fish kept) by modified haddock stock area in these daily reports.
                </P>
                <P>The Council has initiated development of Amendment 5 to the Atlantic Herring FMP, which considers several alternatives that address interactions between the herring fishery and the groundfish fishery, and measures designed to improve catch monitoring. If approved, Amendment 5 would likely modify monitoring and reporting requirements for the herring fishery, including those that NMFS will use to monitor the proposed haddock incidental catch caps. Therefore, this rule provides the authority to the Regional Administrator to revise the reporting requirements implemented through this final rule, if the RA determines that revisions to such requirements are necessary to allow for the effective monitoring of the haddock incidental catch caps.</P>
                <P>Any Category A and B vessel intending to use midwater trawl or purse seine gear on a declared herring trip, and any vessel issued a Category C and/or D herring permit and intending to fish or fishing any part of a trip with midwater trawl gear in Herring Management Areas 1A, 1B, or 3, is now required to notify the NMFS Northeast Fisheries Observer Program (NEFOP) at least 72 hrs prior to beginning a trip, and declare whether or not it intends to fish any part of a trip in Closed Area I (CAI).</P>
                <P>A vessel issued a Category A or B permit, and on a declared herring trip fishing with midwater trawl or purse seine gear, and a vessel issued a Category C permit that fishes any part of a trip with midwater trawl gear in Herring Management Areas 1A, 1B, and/or 3, is now required to notify the NMFS Office of Law Enforcement through VMS of the time and place of offloading at least 6 hrs prior to crossing the VMS demarcation line, or at least 6 hrs prior to landing, if fishing inside the VMS demarcation line.</P>
                <P>Any federally permitted herring dealer or processor (including at-sea processors) that culls or separates out non-herring catch in the course of normal operations is now required to separate out all haddock offloaded from any vessel issued any Federal herring permit that fished in Herring Areas 1A, 1B, and/or 3 with midwater trawl gear, and any vessel issued a Category A and/or B permit, regardless of gear used or area fished. In addition, such haddock may not be sold for any purpose and must be retained for at least 12 hrs on land to allow inspection by enforcement officials.</P>
                <P>This final rule also revises the CA I restrictions regarding observers and net slippage for midwater trawl vessels, which are currently applicable to only Category A and B herring permit holders, by expanding these restrictions to any vessel issued a herring permit that fishes with midwater trawl gear in CA I. Thus, any vessel issued a herring permit is prohibited from fishing in CA I with midwater trawl gear without an observer. In addition, no vessel issued a herring permit and fishing with midwater trawl gear in CA I may release fish from the codend of the net, transfer fish to another vessel that is not carrying a NMFS-approved observer, or otherwise discard fish at sea, unless the fish has first been brought aboard the vessel and made available for sampling and inspection by the observer. All exemptions from the current requirements continue to apply to any vessel now subject to these restrictions.</P>
                <HD SOURCE="HD1">Comments and Responses</HD>
                <P>There were six comments received on the proposed measures from one member of the public, three fishing industry organizations, and two coalitions of fishing and marine industry and environmental. Four commenters generally or partially supported the proposed measures, and two commenters generally opposed the action.</P>
                <P>
                    <E T="03">Comment 1:</E>
                     Lund's Fisheries, Inc., and the O'Hara Corporation supported the proposed action and the Cape Cod Commercial Hook Fishermen's Association (CCCHFA) and the Coalition for the Atlantic Herring Fishery's Orderly, Informed, and Responsible Long Term Development (CHOIR) offered partial support for the proposed action. Lund's Fisheries, Inc., and O'Hara Corporation supported the increase in the haddock incidental catch cap to 1 percent, because it would allow the herring fishery to more fully utilize the available GB herring quota, while encouraging the midwater trawl fishery to avoid haddock. They requested that NMFS move as quickly as possible to implement the measures in order to minimize adverse economic impacts to the herring fishery in FY 2011. CCCHFA supported maintaining a bycatch cap and extrapolating haddock catches across the fleet, but commented that increasing the incidental catch cap would reduce incentives for the midwater trawl fishery to avoid haddock. CHOIR also partially supported the increase in the cap, but only over other less restrictive measures considered by the Council, and noted concern that FW 46 would establish a precedent for allowing increasing bycatch in the herring fishery.
                </P>
                <P>
                    <E T="03">Response:</E>
                     NMFS agrees that the proposed action will allow the herring fishery to achieve optimum yield through establishing a better opportunity to fully harvest the available herring quota. Contrary to comments made by CCCHFA, NMFS believes that the measures implemented by this final rule maintain incentives for herring midwater trawl vessels to avoid haddock catches and ensure that haddock catch is adequately controlled and monitored, as outlined further in the response to Comment 2 below. In addition, concerns expressed by CHOIR about the potential for this action to establish a precedent for future bycatch increases by the herring fishery are addressed in the response to Comment 2 below. Thus, NMFS has approved FW 46 as proposed, and is implementing these measures as soon as possible in order to minimize impacts to the fishery.
                </P>
                <P>
                    <E T="03">Comment 2:</E>
                     The Herring Alliance, CCCHFA, and one member of the public opposed increasing the haddock incidental catch cap. The Herring Alliance and CCCHFA commented that the current cap is an effective measure to reduce bycatch in the herring fishery, but commented that increasing the cap reduces incentives to avoid haddock, and is inconsistent with National Standard 9, and other related provisions of the Magnuson-Stevens Act. They request NMFS disapprove the increase in the cap and instead work with the Council to develop measures to reduce bycatch in the herring fishery. They also asserted that FW 46 does not create meaningful incentives for herring vessels to avoid haddock, and therefore does not meet the objectives of FW 46. The Herring Alliance also questioned the need for the haddock cap increase, when FY 2010 was the first year the herring fishery had caught more than half the cap amount. CHOIR also suggested that FW 46 would establish a 
                    <PRTPAGE P="56990"/>
                    precedent for allowing increasing bycatch in the herring fishery. Finally, one member of the public proposed a 75-percent decrease in haddock bycatch from previous years.
                </P>
                <P>
                    <E T="03">Response:</E>
                     In evaluating the approvability of FW 46 measures, in light of this comment the other comments received, NMFS considered several competing mandates and considerations set forth in the Magnuson-Stevens Act. With respect to this particular comment, NMFS considered the requirements of National Standard 1, which requires that FMPs prevent overfishing while achieving optimum yield; National Standard 8, which requires the consideration of the importance of the herring fishery to communities in order to achieve sustained participation of such communities and, to the extent practicable minimize adverse impacts on such communities; and National Standard 9, which requires an FMP to reduce bycatch, to the extent practicable. FW 46 represents an acceptable balance of these standards. As more fully described below, the framework increases the opportunity for the herring fishery to achieve optimum yield, while still preventing overfishing and with no adverse impact on the health of the herring or groundfish stocks, most notably haddock. Because of the greater opportunity for the herring fishery to achieve optimum yield, fishing communities involved in the herring fishery are more likely to be positively impacted without any perceivable detriment to other fisheries or communities, such as those more dependent on the groundfish fishery. Concerns about minimizing haddock bycatch, to the extent that haddock incidental catch is considered bycatch as defined by the Magnuson-Stevens Act, are more than adequately accounted for and allayed in the balancing of the practicability standard of National Standard 9. As described in Framework 46 and below, the opportunity provided by these measures for ensuring the achievement of optimum yield of Atlantic herring presents little or no possibility of undermining conservation objectives for haddock stocks in light of the healthy, abundant status of those stocks, and the wide gap between the ACL and actual catch of haddock by the groundfish fishery.
                </P>
                <P>NMFS agrees with the Council that the haddock catch cap is an effective measure to create incentives to avoid haddock and, thus, has approved the catch cap for the herring fishery. NMFS believes, in light of Magnuson-Stevens Act provisions as discussed above, that the revised cap represents a better balance of controlling incidental catch and bycatch of haddock and other stocks, reducing uncertainty in the fishery, and providing the herring fishery a better opportunity to achieve optimum yield. Although maintaining the current cap at 0.2 percent of the combined GOM and GB haddock ABCs may have created a greater incentive for the midwater trawl fleet to avoid haddock, due to the lower relative current amount, this alternative was not practicable because it failed to meet other stated objectives of FW 46 and competing National Standards discussed above. Moreover, the approved measures increase the haddock catch cap, and revise the cap and associated AMs to be specific to those areas and gears that are primarily responsible for haddock catches, thereby substantially reducing the risk of negative economic impacts to the entire herring fleet, while still maintaining an incentive for that component of the fishery to avoid haddock. While the haddock catch cap is increased from 0.2 to 1 percent, a separate cap is established for each haddock stock, eliminating the possibility that the entire cap could be caught in one haddock stock area and threaten mortality targets for that haddock stock. Furthermore, FW 46 introduces a more comprehensive and effective method for more accurately estimating haddock catches across the fleet that will provide more direct control on total haddock catches by the midwater trawl fishery and reduce uncertainty for the herring fishery. Because this new method significantly differs from the current method of merely summing actual observed catches, it is not possible to conclude that the 1-percent haddock cap will result in a five-fold increase in the amount of haddock that may be caught by the herring fishery, as alleged by the commenters. For example, extrapolating haddock catches observed in 2006 under the current method showed that the estimated total catch of haddock was potentially nearly four times the 0.2-percent cap. Since the existing cap only counted observed catches of haddock, it did not monitor the overall catches of haddock by the entire fleet. In fact, when all of these changes are considered together, Framework 46 should result in more direct control on the total haddock catch by the fleet than the current 0.2-percent cap.</P>
                <P>Furthermore, as described in the EA, the magnitude of catches from one stock area, as a proportion of biomass of these stocks, is not likely to have negative biological impacts on the status of the haddock stocks, or any effect on the populations of marine mammals or seabirds. In contrast, the revised haddock cap measures are likely to provide substantial economic benefits to the herring fishery, when compared to the no action alternative, without any negative biological impacts. Given these social and economic benefits, and that there is almost no likelihood of negative biological impacts, FW 46 achieves its stated objectives while minimizing bycatch to the extent practicable, consistent with the Magnuson-Stevens Act National Standards.</P>
                <P>The herring fishery may be expected to be constrained under the current system more in future years than in the past. Although the herring fishery has not previously come close to achieving the cap, except for FY 2010, the herring fishery effort may be expected to increase in Area 3 as a result of area TAC allocations specified for the herring fishery in recent years. The Council reduced Area 1A TAC allocations through the FY 2010-2012 herring fishery specifications (75 FR 48874; August 12, 2010) to address concerns about the disproportionate amount of effort that exists on this inshore component of the herring stock, despite the fact that its constitutes only approximately 18 percent of the available biomass. The EA for the 2010-2012 herring specifications noted that higher Area 3 TACs (compared to Area 1A) might provide an opportunity for the herring fleet to regain yield lost from the Area 1A TAC reductions, but raised concerns that this effort might be inhibited by haddock bycatch measures. Given these steps by the Council to shift herring fishery effort to the offshore stock component, and continued declines in both herring and haddock stock biomasses and, subsequently, sub-ACLs, the herring fishery may be expected to bump up against the cap more frequently in future years under the no action alternative.</P>
                <P>
                    NMFS cannot prevent the Council from considering or proposing future changes to the haddock catch cap for the herring fishery. However, as noted above, any such change must be consistent with applicable law, including the competing mandates and considerations set forth in the Magnuson-Stevens Act under National Standards 1, 8, and 9. If any future changes to the haddock catch cap for the herring fishery are proposed, NMFS will evaluate that action on its own merit, independent from any previous management action, based on these and other national standards and applicable law, and consider further public 
                    <PRTPAGE P="56991"/>
                    comment before making a final decision to approve or disapprove any such future action.
                </P>
                <P>Regarding the suggestions to disapprove the measure or require a 75-percent reduction in haddock bycatch from previous years, NMFS can only approve, disapprove, or partially approve a Council action, but cannot modify the measures proposed in FW 46. Reducing the haddock cap by 75 percent from previous years represents a new management proposal and, as such, would require consideration and action by the Council as well as an opportunity for public comment on the measure. NMFS approved the measures proposed in FW 46 because they are consistent with the objectives of FW 46 and the NE Multispecies FMP, and other applicable laws, and will allow the prosecution of the herring fishery, while minimizing haddock catches by the herring fishery to the extent practicable.</P>
                <P>
                    <E T="03">Comment 3:</E>
                     The Herring Alliance commented that FW 46 does not meet its objective to encourage midwater trawl vessels to fish offshore simply by facilitating herring fishing in Herring Management Area 3, because Herring Management Area 3 also contains inshore fishing grounds where the herring fleet may encounter the inshore component of the herring stock.
                </P>
                <P>
                    <E T="03">Response:</E>
                     NMFS believes that, based upon the biology and ecology of the herring stock, and the definition of the herring management areas, FW 46 achieves its objective to encourage vessels to fish offshore. The herring stock complex is assessed as a unit stock, but is comprised of inshore (GOM) and offshore (GB) stock components. The stock components segregate during spawning and mix during feeding and migration. The herring management areas were developed in recognition of these different stock components and, despite mixing of components, provide a method to manage the fishing mortality of each stock component somewhat independently. According to the EA that accompanied the 2010-2012 herring fishery specifications, while some mixing may occur, most fishing mortality on the inshore stock component occurs in Areas 1A, 1B, and 2, and fishing mortality on the offshore component occurs in Area 3. The purpose of FW 46 is to address the haddock catch cap, while achieving the four stated objectives, including providing incentives for midwater trawl vessels to fish offshore. FW 46 was not initiated to address or redefine Herring Management Areas established by the Atlantic Herring FMP. To the extent that Area 3 represents the “offshore” component of the herring fishery effort and the area where the majority of fishing effort on the offshore component of the herring stock occurs, FW 46 reduces the risk of an early closure of this area, thereby facilitating further development of the offshore fishery in this area.
                </P>
                <P>
                    <E T="03">Comment 4:</E>
                     Three commenters commented on the scope of the proposed measures. The Herring Alliance supported focusing the scope of the cap on midwater trawl vessels and establishing a separate cap for each haddock stock, but commented that Category C and D herring vessels should be excluded from the proposed measures, because they do not have documented catches of haddock or herring with midwater trawl gear in the areas of concern. Lund's Fisheries, Inc. supported excluding Area 2 from the cap and AMs, because this area is critical to the winter mackerel fishery.
                </P>
                <P>
                    <E T="03">Response:</E>
                     NMFS agrees that having separate caps for each haddock stock will provide more direct control on fishing mortality for each haddock stock resulting from herring midwater trawl fishery operations and more direct accountability for those vessels actually responsible for haddock catches. NMFS also agrees that revising the cap to focus on those areas and gears where haddock catches have been observed achieves FW 46's objectives, and is necessary to reduce the impact of the cap on the herring fishery as a whole by eliminating unnecessary restrictions on those segments of the fishery that have historically not had much interaction with haddock.
                </P>
                <P>The Council intended that the cap measures apply to all midwater trawl vessels, regardless of herring permit category, because this is the gear with documented catches of haddock. Although only Category A and B vessels have documented landings with midwater trawl gear, there is no prohibition on Category C or D vessels using midwater trawl gear, which is the gear most likely to catch haddock incidentally. The application of the measures to a Category C or D vessel imposes no burden unless such vessel chooses to use midwater trawl gear, in which case the relevance of the regulations are justified. Furthermore, future modifications to the Atlantic Herring FMP may change incentives and result in changes in fishing practices, such that Category C and/or D vessels begin to target herring using midwater trawl gear. If Category C and D midwater trawl vessels were excluded from these measures at this time, such changes in fishing behavior might undermine the FW 46 measures in the future. Thus, NMFS has approved FW 46 measures regarding Category C and D vessels, as proposed, because they are preventative in nature and consistent with the stated objectives of the action. However, the FW 46 requirements (including reporting requirements) only apply to vessels with Category C and D permits when fishing with midwater trawl gear in Areas 1A, 1B and/or 3. Category C or D vessels fishing with purse seine or otter trawl gear, or midwater trawl gear in Area 2, will be unaffected by this action.</P>
                <P>
                    <E T="03">Comment 5:</E>
                     Three commenters supported extrapolating haddock catches to the entire herring midwater trawl fleet, because this increases accountability and provides more accurate monitoring. The Herring Alliance further supported extrapolating the haddock catches back to the start of FY 2011, if these measures are implemented mid-season. The Herring Alliance and CCCHFA commented that the proposed rule should have provided more detail on the extrapolation methodology NMFS intends to use to monitor the cap, so the public could have an opportunity to comment on it. The Herring Alliance requested that NMFS clarify how observed trips that encounter haddock, but do not retain any catch, and observed trips that have slipped tows, will be handled in the extrapolation. The Herring Alliance suggested that these fishing practices would undermine the extrapolation methodology and that NMFS should conduct an analysis of the observer effect in the herring fleet, and extend the CAI no-slippage provisions currently in place to all trips by Category A and B vessels, to facilitate more accurate observations. The Herring Alliance and CCCHFA both requested that NMFS post haddock catch cap monitoring updates on its Web site weekly, instead of monthly, consistent with how the cap is currently monitored.
                </P>
                <P>
                    <E T="03">Response:</E>
                     NMFS agrees that the extrapolation of haddock catches to the entire midwater trawl fleet will increase accountability for total haddock catches by the herring fishery and provide more accurate catch estimates that are less sensitive to changes in observer coverage rates, and has approved that measure. As stated in the proposed rule, NMFS intends to use the same methodology that it uses to monitor butterfish catch in the 
                    <E T="03">Loligo</E>
                     fishery and groundfish discards by sector vessels in the NE multispecies fishery. These methodologies are described in detail on NERO's 
                    <E T="03">Web site</E>
                     (
                    <E T="03">http://www.nero.noaa.gov/ro/fso/reports/reports_frame.htm</E>
                    ), and were 
                    <PRTPAGE P="56992"/>
                    summarized in the preamble to the proposed rule. According to this methodology, only discards and kept fish from observed tows to date are used in the calculation of an observed haddock catch rate for the applicable stock area. The numerator for the catch rate on a given date is generated by summing the observed haddock catch from all observed tows in the applicable stock area as of that date. Similarly, the denominator is the cumulative sum of all kept catch on all observed tows in the applicable stock area to date. Thus, haddock catches in a tow that was sampled by the observer would be added to the numerator, and if this haddock was the only catch retained (because it must be landed if brought on board), then this amount would be added to the denominator to generate a cumulative discard rate for all observed tows up to that date. Thus, the haddock catch rate is a cumulative rate made up of all observed tows across the fleet, not an individual catch rate for each observed trip or vessel. Tows that are slipped, or partially slipped, on an observed trip will not be incorporated into the extrapolation, because such tows are not considered to be “observed” by the observer. Although such slippage is of concern, and is a source of uncertainty, the NE Multispecies FMP takes into account such uncertainty in the method of calculating ABCs. Specifically, the sub-ABCs of GOM and GB haddock allocated to the midwater trawl fishery are reduced by 7 percent, as prescribed by FW 44, before arriving at the actual sub-ACLs that are monitored, in order to account for such management uncertainty in this component of the fishery.
                </P>
                <P>
                    Currently, the herring trips applied to the haddock catch cap are updated on a weekly basis, depending on the availability of data. NMFS intends to continue to update the haddock catch cap monitoring pages on its 
                    <E T="03">Web site</E>
                     on a weekly basis, provided the necessary data are available. Midwater trawl vessels will be reporting the “kept all” amount daily through their VMS catch reports, which will be used to extrapolate observed haddock catches. However, preliminary trip-summary information from observed midwater trawl trips catching groundfish is available within approximately 72 hrs of landing. Thus, while the total weight to which the haddock catch rates are applied to derive an estimate of the total catch of haddock may be updated almost daily, the frequency of updates to the haddock catch rates that are extrapolated will be limited by the availability of observer data.
                </P>
                <P>
                    <E T="03">Comment 6:</E>
                     The Herring Alliance supported the proposal to require midwater trawl vessels fishing both inside and outside an AM area on the same trip when an AM is in place to comply with the most restrictive possession limits. However, the Herring Alliance suggested that NMFS prohibit herring vessels from towing midwater trawls across the boundaries between different haddock AM areas, since this inhibits the observer's ability to accurately assign catch from such tows to the proper area.
                </P>
                <P>
                    <E T="03">Response:</E>
                     NMFS has approved the requirement that vessels comply with the most restrictive measures when fishing both inside and outside an effective AM area on the same trip. With respect to the suggestion that NMFS prohibit midwater trawl vessels from towing across haddock stock areas, this would further complicate the regulations and be overly restrictive for herring midwater trawl vessels. The regulation as approved represents a balance between the need to implement and enforce possession limits and monitor catch and the industry's need for flexibility to fish and target herring.
                </P>
                <P>
                    <E T="03">Comment 7:</E>
                     The Herring Alliance commented that NMFS should clarify the description of the overage payback provision to clarify that any overage reduction to the haddock sub-ACL in response to an overage would apply in the year immediately following the year in which the overage occurred, even if final accounting of haddock catch by the herring fleet occurs after the end of the year in which the overage occurred.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The Herring Alliance is correct, the overage reduction would apply in the year immediately following the year in which the overage occurred, even if final catch accounting is not completed until after the end of the FY. Although not directly addressed by FW 46, NMFS has added language to § 648.90(a)(5)(iii), under the authority provided to the Secretary by Section 305(d) of the Magnuson-Stevens Act to promulgate regulations necessary to carry out an FMP, to clarify that if final catch accounting indicating an overage were not completed until after the end of a groundfish FY, the overage would still be applied to the final specifications for the next groundfish fishing year after which the overage occurred.
                </P>
                <P>
                    <E T="03">Comment 8:</E>
                     The Herring Alliance commented that NMFS should revise the method of calculating the GOM haddock catch cap such that the herring midwater trawl fishery is allocated 1 percent of the commercial sub-ABC and not 1 percent of the overall ABC, because this would be consistent with how shares are specified for the other commercial components of the commercial sub-ABC.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The method of specifying the herring midwater trawl fishery haddock sub-ACL was implemented through FW 44 to the NE Multispecies FMP. FW 46 only revises the percentage that is applied to determine the herring fishery's share of the commercial sub-ABC, but does not revise the method of dividing the ABC into its various components. Revising the method of calculation would be outside the scope of FW 46 and NMFS's authority to approve, disapprove, or partially approve this action. FW 44 incorporated the haddock catch cap into the ACL and AM system implemented by Amendment 16, but endeavored to be consistent with the method of identifying the 0.2-percent share allocated to the herring fishery that was implemented by FW 43, which was based upon the Target TAC. Thus, the 1 percent is applied to the ABC, but deducted from the commercial sub-ABC, because the ABC is analogous to the Target TACs that were the basis for the original 0.2-percent haddock catch cap allocated to the herring fishery through FW 43. Secondly, because management uncertainty is considered separately for each component of the ABC, the first step in the calculation procedure must be the dividing of the ABC into components, prior to making the deduction for management uncertainty. In other words, although the haddock ABC is the initial basis for the calculation of the haddock sub-ACL for the herring fishery, the net amount allocated to the herring fishery reflects a deduction for management uncertainty. Any modifications to this distribution of the GOM haddock ABC would require further Council action.
                </P>
                <P>
                    <E T="03">Comment 9:</E>
                     The Herring Alliance commented that NMFS should require all Category A and B midwater trawl vessels to report all groundfish catch through their daily VMS catch reports, in order to facilitate the monitoring of groundfish bycatch thresholds in the groundfish closed areas.
                </P>
                <P>
                    <E T="03">Response:</E>
                     FW 46 was developed to address the haddock catch cap for the herring fishery, and was not intended to address groundfish bycatch in the closed areas. Requiring midwater trawl vessels to report all groundfish catch through daily VMS catch reports would be outside the scope of this action and NMFS's authority to promulgate the measures of FW 46 through the regulations. Groundfish bycatch in closed areas is monitored based on 
                    <PRTPAGE P="56993"/>
                    complete, audited observer data, which contain latitudinal and longitudinal data that can be used assign to catch to the closed areas. Such data are not available until approximately 90 days after completion of the observed trip. Requiring midwater trawl vessels to report groundfish catch in daily VMS catch reports would not assist in obtaining more timely observer data, and would be an unnecessary reporting burden. Furthermore, Amendment 5 to the Atlantic Herring FMP, currently under development by the Council, is focusing on other issues related to the monitoring of the herring fishery, including catch of groundfish by the herring fishery in closed areas.
                </P>
                <P>
                    <E T="03">Comment 10:</E>
                     The Herring Alliance took issue with the descriptions of the need and objectives for FW 46 in the EA, alleging they did not reflect the original purpose of the action.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The National Environmental Policy Act requires that an EA briefly specify the underlying purpose and need to which the agency is responding in proposing alternatives, including the proposed action (40 CFR 1502.13). The need is the underlying purpose of the action, while the stated objectives of the action are its intended goals. Thus, Section 3.2 of the EA separately describes the underlying need of FW 46—the need to take action to modify the provisions adopted in FW 43 to reflect current conditions in the fishery and to prevent the catch cap from unnecessarily constraining the herring fishery on GB, in addition to several other reasons—and the stated objectives of the action, which are those adopted by the Council at its January 2011 meeting. Furthermore, the Council approved FW 46 and the EA as consistent with their intent and goals at its April 2011 meeting.
                </P>
                <P>
                    <E T="03">Comment 11:</E>
                     The Herring Alliance made several suggestions to improve analyses in the EA, commenting that the EA relied only on dealer reports to analyze the occurrence of haddock being sold as bait. The Herring Alliance alleges the dealer reports are not accurate because dealers are not compliant with the requirement to report by species. They also commented that the EA did not analyze the presence of other evidence (other than catch of bottom-dwelling species), such as the presence of mud or rocks in the gear, when analyzing the degree of bottom contact by midwater trawl gear, and did not adequately address the possibility of localized haddock depletion due to concentrated midwater trawl fishing. They further commented that the analysis used to determine the “practicability” of the proposed action with respect to National Standard 9 should have been described in more detail and should have incorporated the cost of bycatch reduction and mitigation strategies.
                </P>
                <P>
                    <E T="03">Response:</E>
                     Although additional or different information may have been used in the analysis of dealer reports for haddock bait sales or observer reports for the degree of midwater trawl contact with the sea floor, the analysis contained in FW 46 was based on the best available information and sufficient to assess the impacts of the proposed action relative to the no action alternative and alternative to the proposed action. In the absence of data other than dealer reports, there is no other firm basis to assume or estimate the amount of haddock that might be sold as bait when mixed with herring. The dealer data is compiled according to a transparent process that is relevant, timely, and inclusive of the herring fishery. NMFS utilizes validation and verification techniques as part of its standard procedures. In addition, haddock reported as bait would not be expected to be a common occurrence in the dealer reports, because the selling of culled haddock by dealers for any purpose is prohibited by the regulations. Regardless, the presence or absence of haddock in the bait supply would not affect the precision of haddock catch estimates under the approved measures, because dealer reports will no longer be used to monitor the haddock catch cap (only observer reports will be used in the calculation of total haddock catch). Furthermore, Amendment 5 to the Herring FMP, which is under the development by the Council to address monitoring and reporting requirements in the herring fishery, is considering weighmaster systems, among other alternatives, to improve catch reporting by vessels and dealers.
                </P>
                <P>The EA addressed the issue of localized haddock and other groundfish depletion by examining the presence and absence of groundfish fishing effort in an area before and after midwater trawl fishing effort in Section 8.4.2. The EA concluded that a strong relationship could not be determined, but the analysis did not support the idea that groundfish effort is displaced by midwater trawl activity, suggesting that groundfish may still be present in an area after midwater trawl activity.</P>
                <P>Finally, it is not clear what bycatch reduction or mitigation strategies the commenter is referring to that could have been incorporated into the practicability analysis. The Council did not consider gear modifications or other reduction strategies in the development of FW 46, and it is not clear how the EA analysis could predict the extent to which any bycatch reduction or mitigation strategies would be undertaken by herring vessels in response to the cap, except to cease fishing operations in Area 3, as they did in FY 2010. The EA analysis concluded that the level of bycatch associated with the proposed action was practicable according to the National Standard Guidelines because the stock-specific caps would eliminate the remote possibility that the entire cap could be caught in the GOM haddock stock area and, thus, there would be almost no likelihood that haddock bycatch associated with the proposed action would have any impacts on the status of haddock stocks, or any effect on the population status of marine mammals or seabirds. It concluded further that the stock-specific caps will incentivize the midwater trawl fishery to reduce incidental catch and bycatch of haddock by avoiding fishing in areas and times where haddock are encountered in order to avoid an effective closure of the directed herring fishery. In addition, the increased, separate caps increased the likelihood that the herring GB quota would be harvested, providing opportunity for the herring fishery to achieve optimum yield, minimizing impacts on fishing practices and providing economic and cultural benefits.</P>
                <P>In contrast, the EA concluded that the no action alternative, which maintained the current cap measures, was not practicable according to National Standard 9. The EA concluded that, although bycatch of haddock and other species under the current system would likely be lower than under the increased cap because the current cap would be more constraining if observer coverage levels remain high, there existed a small risk that a large portion of the shared cap could be caught in the GOM, threatening mortality targets for the GOM haddock stock. In addition, the current shared cap would have adverse effects on the economic, social, and cultural status of the herring fishery, which are mitigated under the increased stock-specific caps.</P>
                <P>Thus, the approved measures represent a balance between allowing the herring fishery opportunity to achieve optimum yield, while providing incentives for the midwater trawl fishery to minimize haddock catch, and ensuring that haddock catch is adequately controlled and monitored.</P>
                <P>
                    <E T="03">Comment 12:</E>
                     The Herring Alliance took issue with the EA analysis of foregone herring yield, because the EA did not consider the fact that the herring 
                    <PRTPAGE P="56994"/>
                    fleet has never fully harvested the Area 3 sub-ACL.
                </P>
                <P>
                    <E T="03">Response:</E>
                     The EA did not suggest that the herring fishery would necessarily catch the full Area 3 sub-ACL in absence of the haddock cap, but attempted to quantify the potential economic impacts that might result if the haddock cap in fact precluded the full utilization of the herring quota in Area 3. This analysis was based on the fact that the herring fleet is capable of achieving catches as high as the current Area 3 sub-ACL, as evidenced by their landings in 2001. Thus, the EA was merely analyzing the potential impacts that may result if the herring fleet were to be able to achieve the Area 3 sub-ACL, or at least catch more than it has in past years, if participation in the offshore fishery increases.
                </P>
                <P>
                    <E T="03">Comment 13:</E>
                     The Herring Alliance questioned the conclusion in the EA that the haddock catch cap was a driver of the low Atlantic mackerel catches in FY 2010, suggesting it was not supported by the analysis.
                </P>
                <P>
                    <E T="03">Response:</E>
                     Section 8.4.1 of the EA clearly stated that the low landings of mackerel in 2010 are likely due to fish availability and other factors. The EA acknowledged that vessels that participate in both the herring and mackerel fishery may have reduced mackerel effort as a result of concern over the haddock catch cap, which is a possible indirect economic impact of the haddock catch cap. However, the EA clearly noted that more information and analysis would be necessary to make a clear determination about causality.
                </P>
                <HD SOURCE="HD1">Classification</HD>
                <P>Pursuant to section 304 (b)(1)(A) of the Magnuson-Stevens Act, the NMFS Assistant Administrator has determined that this final rule is consistent with the NE Multispecies FMP, other provisions of the Magnuson-Stevens Act, and other applicable law.</P>
                <P>Pursuant to 5 U.S.C. 553(d)(1), the Assistant Administrator for Fisheries finds good cause to waive the 30-day delayed effectiveness provision of the APA. The Atlantic herring fishery is allocated a portion of the allowable catch of GOM and GB haddock each year, to account for incidental catch of haddock in the herring midwater trawl fleet. When this cap is reached or exceeded, all herring vessels are restricted to very low incidental possession limits for herring in a large portion of their fishing grounds in the GOM and GB, thereby effectively closing the areas to directed fishing because such low possession limits do not permit an economically viable fishing trip. In FY 2010, the catch of haddock primarily by the herring midwater trawl fleet reached approximately 81 percent of the haddock catch cap, and in October 2010, the herring midwater trawl fleet voluntarily moved to avoid fishing in areas with high haddock catch. As a result, fishing and processing operations were unnecessarily interrupted and the industry likely incurred increased operational costs. In addition, some of the GB herring TAC was not harvested, potentially resulting in lost economic yield for a large portion of the Atlantic herring fishery. This final rule implements measures in FW 46 that increase the haddock catch cap, thus reducing the risk that the cap would be constraining. If the stock-specific cap is reached, midwater trawl fishing for herring in that stock area would be restricted—unlike the current combined cap that, if reached, closes a large portion of the GOM and GB area to the entire herring fishery.</P>
                <P>Summer and early fall are typically when herring fishery effort on GB and interactions with haddock are highest. Beginning in September, the restrictive haddock catch cap may force the herring fleet to curtail prematurely its fishing operations in Area 3 in order to avoid triggering the AMs. It is important that the revised haddock catch cap and accountability measures be implemented as soon as possible, before October 2011, in order to avert an effective early end to the herring fishing season on GB. After September 2011 these measures would have limited utility to herring fishery participants until summer 2012. Thus, delaying implementation would result in short-term adverse economic impacts to Atlantic herring vessels and associated shoreside facilities and fishing communities.</P>
                <P>This final rule has been determined to be not significant for the purposes of Executive Order (E.O.) 12866.</P>
                <P>This final rule does not contain policies with Federalism or “takings” implications as those terms are defined in E.O. 13132 and E.O. 12630, respectively.</P>
                <P>A FRFA was prepared for this final rule, as required by section 604 of the Regulatory Flexibility Act (RFA). The FRFA, which includes the summary in this rule and the analyses contained in FW 46 and its accompanying EA/RIR/FRFA, describes the economic impact the measures proposed in FW 46 would have on small entities. A description of the action, why it is being considered, and the legal basis for this action are contained in FW 46 and the preamble to this rule.</P>
                <P>No issues were raised by public comments specifically in response to the IRFA or with respect to the economic impacts of this action. Accordingly, no changes were made from the proposed rule as the result of any such comments.</P>
                <HD SOURCE="HD2">Description and Estimate of Number of Small Entities to Which the Final Rule Will Apply</HD>
                <P>Regulated entities include businesses owning vessels engaged in the Atlantic herring and NE multispecies fisheries. These measures would affect regulated entities engaged in commercial fishing for herring. Because the measures reduce the available GOM and GB haddock ABC for the groundfish fishery, vessels permitted in this fishery are potentially regulated by this action. However, because only approximately 17 percent of the haddock GOM and GB ABCs was landed in FY 2010 (and similar under-capture of available quota is expected in FY 2011-2012), it is not expected that NE multispecies permitted vessels would be affected by this action in the near-term or foreseeable future. The size standard for commercial fishing entities (NAICS code 114111) is $4 million in sales. Although multiple vessels may be owned by a single owner, available tracking of ownership is not readily available to reliably ascertain affiliated entities. Therefore, for purposes of analysis, each permitted vessel is treated as a single entity. In 2008 and 2009, one vessel exceeded $4 million in gross sales in each year, while in 2010, two vessels exceeded that threshold amount. During calendar year 2010, 86 vessels were issued a limited access herring permit. Therefore, because 2 entities operating in 2010 exceeded the gross sales threshold defining a large entity, 84 small commercial fishing entities were both regulated and potentially affected by the proposed action.</P>
                <HD SOURCE="HD2">Description of Steps the Agency Has Taken to Minimize the Economic Impact on Small Entities Consistent With the Stated Objectives of Applicable Statutes</HD>
                <P>
                    In total, six alternatives to the action implemented by this final rule were considered during the development of FW 46. Detailed descriptions of all the alternatives considered are available in the FW 46 EA (See 
                    <E T="02">ADDRESSES</E>
                    ). Four alternatives were rejected by the Council and the Groundfish Oversight Committee because they were difficult to implement and monitor, could not be implemented legally through a framework adjustment, and/or did not 
                    <PRTPAGE P="56995"/>
                    meet the stated objectives of the framework. As detailed in the proposed rule for this action, the two other alternatives considered, including the no action alternative that would have maintained the haddock catch cap for the herring fishery at 0.2 percent of the combined GOM and GB haddock ABC, and a second alternative that would have incorporated the catch of haddock in the Atlantic herring fishery into the sub-ACL for other sub-components of the haddock fisheries, with options for AMs that would have implemented the proposed action as a backstop. The no action alternative was not selected because it would not maximize the chance for the GB herring TAC to be caught or exercise firm control over haddock catches by the herring fishery compared to the preferred alternative. The second alternative considered was not selected because it presented the least direct limitation on herring fishery haddock catches when compared to the preferred alternative and the no action alternatives and, thus, failed to provide adequate incentives for midwater trawl vessels to fish offshore and to minimize haddock incidental catch, as required by the framework's stated objectives.
                </P>
                <P>The economic impacts of this action on affected regulated small entities are positive and not different from economic impacts to large entities. NMFS disapproved measures as they apply to open access vessels that would have resulted in differential impacts to entities that represent a de minimus portion of the directed herring fishery. This action would have no short-term measurable economic impacts to vessels participating in the groundfish fishery, because it implements small allocations of haddock to the herring fishery that would have no effect on current groundfish revenues, based on most recent fishing activities, and only minor effects, if any, on possible future revenues, as these small allocations are unlikely to constrain the groundfish fishery or allow the herring fishery to displace groundfish effort. This action is likely to have a positive impact on large and small vessels participating in the Atlantic herring fishery, as it greatly reduces the possibility that a haddock catch cap would result in AMs that restrict the fishery to incidental catch limits throughout a large portion of the GOM and GB. This is because, unlike the no action alternative, the measures implemented by this final rule increase the haddock catch cap applicable to the herring fishery. Based on observed levels of haddock bycatch in the herring fishery and recent reductions in herring fishing effort (through greatly reduced ACLs in 2010), a 1-percent haddock catch cap is unlikely to be reached in the short-term, but provides a backstop and establishes a mechanism to estimate fleet-wide bycatch on a real-time basis. This will provide more effective controls over the bycatch of haddock in the herring fishery compared to the no action alternative. In addition, contrary to existing measures that would be maintained under the no action alternative, this action separates the GOM and GB haddock stocks and related catch, thereby reducing the overall impact of an effective directed fishery closure, if one were to occur. It also eliminates impacts on purse seine and otter trawl vessels (typically smaller fishing operations) by restricting the cap and the AM to midwater trawl vessels only. Because this action makes it more likely that the haddock catch cap will not constrain herring fishing beyond levels anticipated in the Atlantic Herring FMP, this action will not result in a decline in revenue for the herring fishery and may increase fishing opportunities for the herring mid-water trawl fleet regardless of size for several months relative to baseline conditions that would result if the no action alternative would be maintained. Opportunities to prosecute the offshore fishery (Area 3, GB) and fully harvest the herring optimum yield should be higher under the proposed action than under baseline conditions. The precise magnitude of the positive impact is uncertain, though the offshore areas (Areas 2 and 3) of the herring fishery generated approximately $17 million in gross herring revenues in calendar year 2009, and the revenues from fishing trips expected to be unconstrained due to the proposed action represent a relatively small fraction of that total.</P>
                <P>
                    This action and alternatives are described in detail in FW 46, which includes an EA, RIR, and FRFA (See 
                    <E T="02">ADDRESSES</E>
                    ).
                </P>
                <HD SOURCE="HD2">Description of the Projected Reporting, Recordkeeping, and Other Compliance Requirements</HD>
                <P>This final rule contains a collection-of-information requirement subject to review and approval by OMB under the PRA. The requirement for limited access vessels using midwater trawl gear to report total kept catch via daily VMS catch reports has been approved by OMB on September 6, 2011, under OMB Control Number 0648-0202. This action does not duplicate, overlap, or conflict with any other Federal rules.</P>
                <P>This action would expand some reporting requirements implemented through FW 43 to monitor the current herring fishery haddock incidental catch cap, to include additional herring permit categories. Limited access herring permit holders fishing with midwater trawl gear in Herring Management Areas 1A, 1B, and/or 3 would be required to report total kept catch by haddock stock area via daily VMS catch reports. The proposed Atlantic herring regulatory amendment would require daily VMS catch reporting by limited access herring vessels for quota monitoring purposes, and the burden to the public of those catch report submissions has been analyzed in that regulatory amendment (76 FR 34947; June 15, 2011). This action would modify that proposed report to add two additional fields and thereby increase the cost per submission for limited access vessels that fish with midwater trawl gear in the GOM or on GB. Based on historic participation in the herring midwater trawl fishery, this change is expected to increase the total annual burden to the public for herring VMS catch reporting by $160 to $2,482, or $26 per entity. This action would also expand the requirements for Category A and B vessels to notify the Northeast Fishery Observer Program by phone of their intent to take a trip, and to submit a pre-landing hail to enforcement via VMS, to additional permit categories when fishing with midwater trawl gear in the GOM or on GB. However, no Category C or D vessels have reported landing herring or mackerel using midwater trawl gear in the GOM or GB. Thus, based on historic participation in the herring midwater trawl fishery, this action would not be expected to change the reporting burden associated with these requirements. In addition, applying the requirement to submit a CA I Midwater Trawl Codend Release Affidavit to additional permit categories is not expected to change the reporting burden associated with this affidavit, based on historic participation in the CA I herring fishery.</P>
                <P>Public reporting burden for these requirements includes the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.</P>
                <HD SOURCE="HD2">Small Entity Compliance Guide</HD>
                <P>
                    Section 212 of the Small Business Regulatory Enforcement Fairness Act of 1966 states that, for each rule or group of related rules for which an agency is required to prepare a FRFA, the agency shall publish one or more guides to assist small entities in complying with the rule, and shall designate such publications as “small entity compliance guides.” The agency shall 
                    <PRTPAGE P="56996"/>
                    explain the actions a small entity is required to take to comply with a rule or group of rules. As part of this rulemaking, a small entity compliance guide will be sent to all holders of permits issued for the herring fishery and the NE. multispecies fishery. In addition, copies of this final rule and guide (
                    <E T="03">i.e.,</E>
                     permit holder letter are available from the Regional Administrator (see 
                    <E T="02">ADDRESSES</E>
                    ) and may be found at the following Web site: 
                    <E T="03">http://www.nero.noaa.gov.</E>
                </P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 50 CFR Part 648</HD>
                    <P>Fisheries, Fishing, Reporting and recordkeeping requirements.</P>
                </LSTSUB>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>John Oliver,</NAME>
                    <TITLE>Deputy Assistant Administrator for Operations, National Marine Fisheries Service.</TITLE>
                </SIG>
                <P>For the reasons stated in the preamble, 50 CFR part 648 is amended as follows:</P>
                <REGTEXT TITLE="50" PART="648">
                    <PART>
                        <HD SOURCE="HED">PART 648—FISHERIES OF THE NORTHEASTERN UNITED STATES</HD>
                    </PART>
                    <AMDPAR>1. The authority citation for part 648 continues to read as follows:</AMDPAR>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>
                             16 U.S.C. 1801 
                            <E T="03">et seq.</E>
                        </P>
                    </AUTH>
                </REGTEXT>
                <REGTEXT TITLE="50" PART="648">
                    <AMDPAR>2. In § 648.10, add paragraph (l) to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 648.10 </SECTNO>
                        <SUBJECT>VMS and DAS requirements for vessel owners/operators.</SUBJECT>
                        <STARS/>
                        <P>
                            (l) 
                            <E T="03">Area-specific reporting requirements for limited access Atlantic herring vessels fishing in Atlantic Herring Management Areas 1A, 1B, and 3</E>
                            —(1) 
                            <E T="03">Reporting requirements for vessel operators.</E>
                             The owner or operator of any vessel issued a limited access herring permit that fishes any part of a tow with midwater trawl gear (including midwater pair-trawl gear) in Management Areas 1A, 1B, and/or 3, as defined at § 648.200(f)(1) and (f)(3), must report the estimated total amount of all species retained (in pounds, landed weight) from each of the GOM and GB modified haddock stock areas as defined in paragraph (l)(2) of this section, via the required reporting method specified for Atlantic herring owners or operators at § 648.7(b)(2)(i), unless otherwise specified by § 648.201.
                        </P>
                        <P>
                            (2) 
                            <E T="03">GOM and GB Modified Haddock Stock Areas.</E>
                             For the sole purpose of the area-specific reporting requirements in paragraph (l)(2) of this section, the GOM and GB Modified Haddock Stock Areas are defined in paragraphs (l)(2)(i) and (l)(2)(ii) of this section. Copies of a map depicting these areas are available from the Regional Administrator upon request.
                        </P>
                        <P>
                            (i) 
                            <E T="03">GOM Modified Haddock Stock Area.</E>
                             The GOM Modified Haddock Stock Area is bounded on the east by the U.S./Canadian maritime boundary and straight lines connecting the following points in the order stated:
                        </P>
                        <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,xl48,xl48">
                            <TTITLE>GOM Modified Haddock Stock Area</TTITLE>
                            <BOXHD>
                                <CHED H="1">Point</CHED>
                                <CHED H="1">N. latitude</CHED>
                                <CHED H="1">W. longitude</CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">GMH1</ENT>
                                <ENT>
                                    (
                                    <SU>1</SU>
                                    )
                                </ENT>
                                <ENT>
                                    (
                                    <SU>1</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GMH2</ENT>
                                <ENT>42°20′</ENT>
                                <ENT>
                                    (
                                    <SU>2</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GMH4</ENT>
                                <ENT>42°20′</ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GMH4</ENT>
                                <ENT>
                                    (
                                    <SU>3</SU>
                                    )
                                </ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <TNOTE>
                                <SU>1</SU>
                                 The intersection of the shoreline and the U.S.-Canada maritime boundary.
                            </TNOTE>
                            <TNOTE>
                                <SU>2</SU>
                                 The intersection of 42°20 N. lat. and the U.S./Canada maritime boundary.
                            </TNOTE>
                            <TNOTE>
                                <SU>3</SU>
                                 The intersection of the Cape Cod, MA, coastline and 70° 00′ W. long.
                            </TNOTE>
                        </GPOTABLE>
                        <P>
                            (ii) 
                            <E T="03">GB Modified Haddock Stock Area.</E>
                             The GB Modified Haddock Stock Area is bounded on the east by the U.S./Canadian maritime boundary and straight lines connecting the following points in the order stated:
                        </P>
                        <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,xl48,xl48">
                            <TTITLE>GB Modified Haddock Stock Area</TTITLE>
                            <BOXHD>
                                <CHED H="1">Point</CHED>
                                <CHED H="1">N. latitude</CHED>
                                <CHED H="1">W. longitude</CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">GBM1</ENT>
                                <ENT>
                                    (
                                    <SU>1</SU>
                                    )
                                </ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GBM2</ENT>
                                <ENT>42°20′</ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GBM3</ENT>
                                <ENT>42°20′</ENT>
                                <ENT>
                                    (
                                    <SU>2</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GBM4</ENT>
                                <ENT>40°30′</ENT>
                                <ENT>
                                    (
                                    <SU>2</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GBM5</ENT>
                                <ENT>40°30′</ENT>
                                <ENT>66°40′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GBM6</ENT>
                                <ENT>39°50′</ENT>
                                <ENT>66°40′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GBM7</ENT>
                                <ENT>39°50′</ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">GBM8</ENT>
                                <ENT>
                                    (
                                    <SU>3</SU>
                                    )
                                </ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <TNOTE>
                                <SU>1</SU>
                                 The intersection of the North-facing shoreline of Cape Cod, MA and 70°00′ W. long.
                            </TNOTE>
                            <TNOTE>
                                <SU>2</SU>
                                 The U.S.-Canada maritime boundary as it intersects with the EEZ.
                            </TNOTE>
                            <TNOTE>
                                <SU>3</SU>
                                 The intersection of the South-facing shoreline of Cape Cod, MA and 70°00′ W. long.
                            </TNOTE>
                        </GPOTABLE>
                        <P>3. In § 648.14, revise paragraphs (k)(1)(i)(D); (r)(1)(vi)(A), (B), and (C); (r)(1)(vii)(E); (r)(1)(viii)(B); and (r)(2)(i) through (v); and add paragraphs (r)(1)(vi)(E) and (F) to read as follows:</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 648.14 </SECTNO>
                        <SUBJECT>Prohibitions.</SUBJECT>
                        <STARS/>
                        <P>(k) * * *</P>
                        <P>(1) * * *</P>
                        <P>(i) * * *</P>
                        <P>(D) Any haddock, and up to 100 lb (45 kg) of other regulated NE. multispecies other than haddock, were harvested by a vessel issued an All Areas Limited Access Herring Permit and/or an Area 2 and 3 Limited Access Herring Permit on a declared herring trip, regardless of gear or area fished, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit that fished with midwater trawl gear, pursuant to the requirements in § 648.80(d) and (e), and such fish are not sold for human consumption.</P>
                        <STARS/>
                        <P>(r) * * *</P>
                        <P>(1) * * *</P>
                        <P>(vi) * * *</P>
                        <P>(A) For the purposes of observer deployment, fail to notify NMFS at least 72 hr prior to departing on a declared herring trip with a vessel issued an All Areas Limited Access Herring Permit and/or an Area 2 and 3 Limited Access Herring Permit and fishing with midwater trawl or purse seine gear, or on a trip with a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit that is fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3, as defined in § 648.200(f)(1) and (3), pursuant to the requirements in § 648.80(d) and (e).</P>
                        <P>
                            (B) Possess, land, transfer, receive, sell, purchase, trade, or barter; or attempt to transfer, receive, sell, purchase, trade, or barter, or sell more than 2,000 lb (907 kg) of Atlantic herring per trip taken from the Herring GOM Haddock Accountability Measure Area and/or the Herring GB Haddock Accountability Measure Area, defined in § 648.86(a)(3)(ii)(A)(
                            <E T="03">1</E>
                            ), by a vessel issued an Atlantic herring permit and that fished with midwater trawl gear, after the haddock cap for the area(s) has been reached pursuant to § 648.86(a)(3), unless all herring possessed or landed by the vessel was caught outside the applicable Accountability Measure Area(s).
                        </P>
                        <P>
                            (C) Transit the Herring GOM Haddock Accountability Measure Area and/or the Herring GB Haddock Accountability Measure Area, defined in § 648.86(a)(3)(ii)(A)(
                            <E T="03">1</E>
                            ), with a vessel issued an Atlantic herring permit and that fished with midwater trawl gear, when the 2,000-lb (907.2 kg) limit specified in § 648.86(a)(3)(ii)(A)(
                            <E T="03">1</E>
                            ) is in place for the area being transited, in possession of more than 2,000 lb (907.2 kg) of herring, unless all herring on board was caught outside of the applicable Herring GOM Haddock Accountability Measure Area and/or the Herring GB Haddock Accountability Measure Area, and all fishing gear is stowed and not available for immediate use, as required by § 648.23(b).
                        </P>
                        <STARS/>
                        <P>
                            (E) Possess or land haddock taken from the Herring GOM Haddock Accountability Measure Area and/or the Herring GB Haddock Accountability Measure Area, defined in § 648.86(a)(3)(ii)(A)(
                            <E T="03">1</E>
                            ), by a vessel issued an Atlantic herring permit and 
                            <PRTPAGE P="56997"/>
                            that fished with midwater trawl gear, after the haddock cap for the area(s) has been reached pursuant to § 648.86(a)(3), unless all haddock possessed or landed by the vessel was caught outside the applicable Accountability Measure Area(s).
                        </P>
                        <P>
                            (F) Transit the Herring GOM Haddock Accountability Measure Area and/or the Herring GB Haddock Accountability Measure Area, defined in § 648.86(a)(3)(ii)(A)(
                            <E T="03">1</E>
                            ), with a vessel issued an Atlantic herring permit and that fished with midwater trawl gear, when the 0-lb (0-kg) haddock possession limit in § 648.86(a)(3)(ii)(A)(
                            <E T="03">1</E>
                            ) is in place for the area being transited, in possession of haddock, unless all haddock on board was caught outside of the applicable Herring GOM Haddock Accountability Measure Area and/or the Herring GB Haddock Accountability Measure Area, and all fishing gear is stowed and not available for immediate use, as required by § 648.23(b).
                        </P>
                        <P>(vii) * * *</P>
                        <P>(E) Discard haddock at sea that has been brought on deck, or pumped into the hold, of a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip, regardless of gear or area fished, or on a trip with a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit fishing with midwater trawl gear, pursuant to the requirements  in § 648.80(d) and (e).</P>
                        <STARS/>
                        <P>(viii) * * *</P>
                        <P>(B) Fail to notify the NMFS Office of Law Enforcement of the time and date of landing via VMS at least 6 hr prior to landing herring at the end of a declared herring trip, if a vessel has an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit and is fishing with either midwater trawl or purse seine gear, or a Limited Access Incidental Catch Herring Permit and is fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3, as defined in § 648.200(f)(1) and (3).</P>
                        <STARS/>
                        <P>(2) * * *</P>
                        <P>(i) Sell, purchase, receive, trade, barter, or transfer haddock or other regulated NE. multispecies (cod, witch flounder, plaice, yellowtail flounder, pollock, winter flounder, windowpane flounder, redfish, white hake, and Atlantic wolffish); or attempt to sell, purchase, receive, trade, barter, or transfer haddock or other regulated NE. multispecies for human consumption; if the regulated NE. multispecies are landed by a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip, regardless of gear or area fished, or by a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit fishing with midwater trawl gear pursuant to § 648.80(d).</P>
                        <P>(ii) Fail to comply with requirements for herring processors/dealers that handle individual fish to separate out, and retain, for at least 12 hr, all haddock offloaded from a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit that fished on a declared herring trip regardless of gear or area fished, or by a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit that fished with midwater trawl gear pursuant to § 648.80(d).</P>
                        <P>(iii) Sell, purchase, receive, trade, barter, or transfer; or attempt to sell, purchase, receive, trade, barter, or transfer; to another person, any haddock or other regulated NE. multispecies (cod, witch flounder, plaice, yellowtail flounder, pollock, winter flounder, windowpane flounder, redfish, white hake, and Atlantic wolffish) separated out from a herring catch offloaded from a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit that fished on a declared herring trip regardless of gear or area fished, or by a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit that fished with midwater trawl gear pursuant to § 648.80(d).</P>
                        <P>(iv) While operating as an at-sea herring processor, fail to comply with requirements to separate out and retain all haddock offloaded from a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit that fished on a declared herring trip regardless of gear or area fished, or by a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit that fished with midwater trawl gear pursuant to § 648.80(d).</P>
                        <P>(v) Fish with midwater trawl gear in Closed Area I, as specified at § 648.81(a), without a NMFS approved observer onboard, if the vessel has been issued an Atlantic herring permit.</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="50" PART="648">
                    <AMDPAR>4. In § 648.15, revise paragraphs (d)(1) and (e) to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 648.15 </SECTNO>
                        <SUBJECT>Facilitation of enforcement.</SUBJECT>
                        <STARS/>
                        <P>
                            (d) 
                            <E T="03">Retention of haddock by herring dealers and processors.</E>
                             (1) Federally permitted herring dealers and processors, including at-sea processors, that cull or separate out from the herring catch all fish other than herring in the course of normal operations, must separate out and retain all haddock offloaded from a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit that fished on a declared herring trip regardless of gear or area fished, or by a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit that fished with midwater trawl gear pursuant to § 648.80(d). Such haddock may not be sold, purchased, received, traded, bartered, or transferred, and must be retained, after they have been separated, for at least 12 hr for dealers and processors on land, and for 12 hr after landing by at-sea processors. The dealer or processor, including at-sea processors, must clearly indicate the vessel that landed the retained haddock or transferred the retained haddock to an at-sea processor. Authorized officers must be given access to inspect the haddock.
                        </P>
                        <STARS/>
                        <P>
                            (e) 
                            <E T="03">Retention of haddock by herring vessels using midwater trawl gear.</E>
                             A vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip regardless of gear or area fished, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit and fishing with midwater trawl gear pursuant to § 648.80(d), may not discard any haddock that has been brought on the deck or pumped into the hold.
                        </P>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="50" PART="648">
                    <AMDPAR>5. In § 648.80, revise paragraphs (d)(4) through (d)(6), (d)(7)(i) and (d)(7)(ii) introductory text, and (e)(4) to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 648.80 </SECTNO>
                        <SUBJECT>NE. Multispecies regulated mesh areas and restrictions on gear and methods of fishing.</SUBJECT>
                        <STARS/>
                        <P>(d) * * *</P>
                        <P>
                            (4) The vessel does not fish for, possess or land NE. multispecies, except that a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit and fishing on a declared herring trip, regardless of gear or area fished, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit and fishing with midwater trawl gear pursuant to paragraph (d) of this section, may possess and land haddock 
                            <PRTPAGE P="56998"/>
                            and other regulated multispecies consistent with the catch caps and possession restrictions in § 648.86(a)(3) and (k). Such haddock or other regulated NE. multispecies may not be sold, purchased, received, traded, bartered, or transferred, or attempted to be sold, purchased, received, traded, bartered, or transferred for, or intended for, human consumption. Haddock or other regulated NE. multispecies that are separated out from the herring catch pursuant to § 648.15(d) may not be sold, purchased, received, traded, bartered, or transferred, or attempted to be sold, purchased, received, traded, bartered, or transferred for any purpose. A vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip, regardless of gear or area fished, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit and fishing with midwater trawl gear pursuant to paragraph (d) of this section, may not discard haddock that has been brought on the deck or pumped into the hold;
                        </P>
                        <P>(5) To fish for herring under this exemption, a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3, as defined in § 648.200(f)(1) and (3), must provide notice of the following information to NMFS at least 72 hr prior to beginning any trip into these areas for the purposes of observer deployment: Vessel name; contact name for coordination of observer deployment; telephone number for contact; the date, time, and port of departure; and whether the vessel intends to engage in fishing in Closed Area I, as defined in § 648.81(a), at any point in the trip; and</P>
                        <P>
                            (6) A vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip with midwater trawl gear, or a vessel issued a Limited Access Incidental Catch Herring Permit and fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3, as defined at § 648.200(f)(1) and (3), must notify NMFS Office of Law Enforcement through VMS of the time and place of offloading at least 6 hr prior to crossing the VMS demarcation line on their return trip to port, or, for a vessel that has not fished seaward of the VMS demarcation line, at least 6 hr prior to landing. The Regional Administrator may adjust the prior notification minimum time through publication of a notice in the 
                            <E T="04">Federal Register</E>
                             consistent with the Administrative Procedure Act.
                        </P>
                        <P>
                            (7) 
                            <E T="03">Fishing in Closed Area I.</E>
                             (i) No vessel issued a Federal Atlantic herring permit and fishing with midwater trawl gear, may fish, possess or land fish in or from, Closed Area I unless it has declared first its intent to fish in Closed Area I as required by paragraph (d)(5) of this section, and is carrying onboard a NMFS-approved observer.
                        </P>
                        <P>
                            (ii) No vessel issued a Federal Atlantic herring permit and fishing with midwater trawl gear, when fishing any part of a midwater trawl tow in Closed Area I, may release fish from the codend of the net, transfer fish to another vessel that is not carrying a NMFS-approved observer (
                            <E T="03">e.g.,</E>
                             an Atlantic herring at-sea processing vessel or an Atlantic herring carrier vessel), or otherwise discard fish at sea, unless the fish has first been brought aboard the vessel and made available for sampling and inspection by the observer, except in the following circumstances:
                        </P>
                        <STARS/>
                        <P>(e) * * *</P>
                        <P>(4) The vessel does not fish for, possess, or land NE. multispecies, except that vessels that have an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip may possess and land haddock or other regulated species consistent with possession restrictions in § 648.86(a)(3) and (k), respectively. Such haddock or other regulated multispecies may not be sold, purchased, received, traded, bartered, or transferred, or attempted to be sold, purchased, received, traded, bartered, or transferred for, or intended for, human consumption. Haddock or other regulated species that are separated out from the herring catch pursuant to § 648.15(d) may not be sold, purchased, received, traded, bartered, or transferred, or attempted to be sold, purchased, received, traded, bartered, or transferred for any purpose. A vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit may not discard haddock that has been brought on the deck or pumped into the hold;</P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="50" PART="648">
                    <AMDPAR>6. In § 648.85, revise paragraph (d) to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 648.85 </SECTNO>
                        <SUBJECT>Special management programs.</SUBJECT>
                        <STARS/>
                        <P>
                            (d) 
                            <E T="03">Haddock incidental catch allowance for some Atlantic herring vessels.</E>
                             The haddock incidental catch allowance for a vessel issued a Federal Atlantic herring permit and fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3, as defined in § 648.200(f)(1) and (3), is 1 percent of each of the ABCs for GOM haddock and GB haddock (U.S. catch only) specified according to § 648.90(a)(4) for a particular NE. multispecies fishing year. Such haddock catch will be determined as specified in § 648.86(a)(3)(ii).
                        </P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="50" PART="648">
                    <AMDPAR>
                        7. In § 648.86, revise paragraphs (a)(3)(i), (a)(3)(ii)(A)(
                        <E T="03">1</E>
                        ) and (
                        <E T="03">2</E>
                        ), and (k); and add paragraphs (a)(3)(ii)(A)(
                        <E T="03">3</E>
                        ) and (
                        <E T="03">4</E>
                        ) to read as follows:
                    </AMDPAR>
                    <SECTION>
                        <SECTNO>§ 648.86 </SECTNO>
                        <SUBJECT>NE. Multispecies possession restrictions.</SUBJECT>
                        <STARS/>
                        <P>(a) * * *</P>
                        <P>(3) * * *</P>
                        <P>
                            (i) 
                            <E T="03">Incidental catch allowance for some Atlantic herring vessels.</E>
                             A vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip, regardless of gear or area fished, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit and fishing with midwater trawl gear pursuant to § 648.80(d), may only possess and land haddock, in accordance with requirements specified in § 648.80(d) and (e).
                        </P>
                        <P>(ii) * * *</P>
                        <P>(A) * * *</P>
                        <P>
                            (
                            <E T="03">1</E>
                            ) When the Regional Administrator has determined that the incidental catch allowance for a given haddock stock as specified in § 648.85(d), has been caught, no vessel issued an Atlantic herring permit and fishing with midwater trawl gear in the applicable stock area, i.e., the Herring GOM Haddock Accountability Measure (AM) Area or Herring GB Haddock AM Area, as defined in paragraphs (a)(3)(ii)(A)(
                            <E T="03">2</E>
                            ) and (
                            <E T="03">3</E>
                            ) of this section, may fish for, possess, or land herring in excess of 2,000 lb (907.2 kg) per trip in or from that area, unless all herring possessed and landed by the vessel were caught outside the applicable AM Area and the vessel complies with the gear stowage provisions specified in § 648.23(b) while transiting the AM Area. Upon this determination, the haddock possession limit is reduced to 0 lb (0 kg) for a vessel issued a Federal Atlantic herring permit and fishing with midwater trawl gear or for a vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip, regardless of area fished or gear used, in the applicable AM area, unless the vessel also possesses a NE. multispecies 
                            <PRTPAGE P="56999"/>
                            permit and is operating on a declared (consistent with § 648.10(g)) NE. multispecies trip. In making this determination, the Regional Administrator shall use haddock catches observed by NMFS-approved observers by herring vessel trips using midwater trawl gear in Management Areas 1A, 1B, and/or 3, as defined in § 648.200(f)(1) and (3), expanded to an estimate of total haddock catch for all such trips in a given haddock stock area.
                        </P>
                        <P>
                            (
                            <E T="03">2</E>
                            ) 
                            <E T="03">Herring GOM Haddock Accountability Measure Area.</E>
                             The Herring GOM Haddock AM Area is defined by the straight lines connecting the following points in the order stated (copies of a map depicting the area are available from the Regional Administrator upon request):
                        </P>
                        <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,xl48,xl48">
                            <TTITLE>Herring GOM Haddock Accountability Measure Area</TTITLE>
                            <BOXHD>
                                <CHED H="1">Point</CHED>
                                <CHED H="1">N. latitude</CHED>
                                <CHED H="1">W. longitude</CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">HGA1</ENT>
                                <ENT>
                                    (
                                    <SU>1</SU>
                                    )
                                </ENT>
                                <ENT>69°20′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HGA</ENT>
                                <ENT>43°40′</ENT>
                                <ENT>69°20′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HGA3</ENT>
                                <ENT>43°40′</ENT>
                                <ENT>69°00′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HGA4</ENT>
                                <ENT>43°20′</ENT>
                                <ENT>69°00′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HGA5</ENT>
                                <ENT>43°20′</ENT>
                                <ENT>
                                    (
                                    <SU>2</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HGA6</ENT>
                                <ENT>42°20′</ENT>
                                <ENT>
                                    (
                                    <SU>3</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HGA7</ENT>
                                <ENT>42°20′</ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HGA8</ENT>
                                <ENT>
                                    (
                                    <SU>4</SU>
                                    )
                                </ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <TNOTE>
                                <SU>1</SU>
                                 The intersection of the Maine coastline and 69°20′ W. long.
                            </TNOTE>
                            <TNOTE>
                                <SU>2</SU>
                                 The intersection of the U.S./Canada maritime boundary and 43°20′ N. lat.
                            </TNOTE>
                            <TNOTE>
                                <SU>3</SU>
                                 The intersection of the U.S./Canada maritime boundary and 42°20′ N. lat.
                            </TNOTE>
                            <TNOTE>
                                <SU>4</SU>
                                 The intersection of the north-facing shoreline of Cape Cod, MA, and 70°00′ W. long.
                            </TNOTE>
                        </GPOTABLE>
                        <P>
                            (
                            <E T="03">3</E>
                            ) 
                            <E T="03">The Herring GB Haddock Accountability Measure Area.</E>
                             The Herring GB Haddock AM Area is defined by the straight lines connecting the following points in the order stated (copies of a map depicting the area are available from the Regional Administrator upon request):
                        </P>
                        <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,xl48,xl48">
                            <TTITLE>Herring GOM Haddock Accountability Measure Area</TTITLE>
                            <BOXHD>
                                <CHED H="1">Point</CHED>
                                <CHED H="1">N. latitude</CHED>
                                <CHED H="1">W. longitude</CHED>
                            </BOXHD>
                            <ROW>
                                <ENT I="01">HBA1</ENT>
                                <ENT>42°20′ </ENT>
                                <ENT>70°00′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA2</ENT>
                                <ENT>42°20′ </ENT>
                                <ENT>
                                    (
                                    <SU>1</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA3</ENT>
                                <ENT>40°30′ </ENT>
                                <ENT>
                                    (
                                    <SU>1</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA4</ENT>
                                <ENT>40°30′ </ENT>
                                <ENT>66°40′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA5</ENT>
                                <ENT>39°50′ </ENT>
                                <ENT>66°40′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA6</ENT>
                                <ENT>39°50′ </ENT>
                                <ENT>68°50′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA7</ENT>
                                <ENT>
                                    (
                                    <SU>2</SU>
                                    )
                                </ENT>
                                <ENT>68°50′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA8</ENT>
                                <ENT>41°00′ </ENT>
                                <ENT>
                                    (
                                    <SU>3</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA9</ENT>
                                <ENT>41°00′ </ENT>
                                <ENT>69°30′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA10</ENT>
                                <ENT>41°10′ </ENT>
                                <ENT>69°30′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA11</ENT>
                                <ENT>41°10′ </ENT>
                                <ENT>69°50′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA12</ENT>
                                <ENT>41°20′ </ENT>
                                <ENT>69°50′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA13</ENT>
                                <ENT>41°20′ </ENT>
                                <ENT>
                                    (
                                    <SU>4</SU>
                                    )
                                </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA14</ENT>
                                <ENT>
                                    (
                                    <SU>5</SU>
                                    )
                                </ENT>
                                <ENT>70°00′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA15</ENT>
                                <ENT>
                                    (
                                    <SU>6</SU>
                                    )
                                </ENT>
                                <ENT>70°00′ </ENT>
                            </ROW>
                            <ROW>
                                <ENT I="01">HBA16</ENT>
                                <ENT>
                                    (
                                    <SU>7</SU>
                                    )
                                </ENT>
                                <ENT>70°00′</ENT>
                            </ROW>
                            <TNOTE>
                                <SU>1</SU>
                                 The intersection of the U.S./Canada maritime boundary.
                            </TNOTE>
                            <TNOTE>
                                <SU>2</SU>
                                 The intersection of the boundary of Closed Area I and 68°50′  W. long.
                            </TNOTE>
                            <TNOTE>
                                <SU>3</SU>
                                 The intersection of the boundary of Closed Area I and 41°00′  N. lat.
                            </TNOTE>
                            <TNOTE>
                                <SU>4</SU>
                                 The intersection of the east-facing shoreline of Nantucket, MA, and 41°20′  N. lat.
                            </TNOTE>
                            <TNOTE>
                                <SU>5</SU>
                                 The intersection of the north-facing shoreline of Nantucket, MA, and 70°00′  W. long.
                            </TNOTE>
                            <TNOTE>
                                <SU>6</SU>
                                 The intersection of the south-facing shoreline of Cape Cod, MA, and 70°00′  W. long.
                            </TNOTE>
                            <TNOTE>
                                <SU>7</SU>
                                 The intersection of the north-facing shoreline of Cape Cod, MA, and 70°00′  W. long.
                            </TNOTE>
                        </GPOTABLE>
                        <P>
                            (
                            <E T="03">4</E>
                            ) The haddock incidental catch caps specified are for the NE multispecies fishing year (May 1-April 30), which differs from the herring fishing year (January 1-December 31). If the haddock incidental catch allowance is attained by the herring midwater trawl fishery for the GOM or GB, as specified in § 648.85(d), the 2,000-lb (907.2-kg) limit on herring possession in the applicable AM Area, as described in paragraph (a)(3)(ii)(A)(
                            <E T="03">2</E>
                            ) or (
                            <E T="03">3</E>
                            ) of this section, shall be in effect until the end of the NE. multispecies fishing year. For example, the 2011 haddock incidental catch cap is specified for the period May 1, 2011-April 30, 2012, and the 2012 haddock catch cap would be specified for the period May 1, 2012-April 30, 2013. If the catch of haddock by herring midwater trawl vessels reached the 2011 incidental catch cap at any time prior to the end of the NE. multispecies fishing year (April 30, 2012), the 2,000-lb (907.2-kg) limit on possession of herring in the applicable AM Area would extend through April 30, 2012. Beginning May 1, 2012, the 2012 catch cap would go into effect.
                        </P>
                        <STARS/>
                        <P>
                            (k) 
                            <E T="03">Other regulated NE. multispecies possession restrictions for some Atlantic herring vessels.</E>
                             A vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit on a declared herring trip, regardless of area fished or gear used, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit and fishing with midwater trawl gear pursuant to § 648.80(d), may possess and land haddock, and up to 100 lb (45 kg), combined, of other regulated NE. multispecies, other than haddock, in accordance with the requirements in § 648.80(d) and (e). Such fish may not be sold for human consumption.
                        </P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="50" PART="648">
                    <AMDPAR>8. In § 648.90, revise paragraph (a)(4)(iii)(D), and add paragraph (a)(5)(iii) to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 648.90 </SECTNO>
                        <SUBJECT>NE. multispecies assessment, framework procedures and specifications, and flexible area action system.</SUBJECT>
                        <STARS/>
                        <P>(a) * * *</P>
                        <P>(4) * * *</P>
                        <P>(iii) * * *</P>
                        <P>
                            (D) 
                            <E T="03">Haddock catch by the Atlantic herring fishery.</E>
                             One percent each of the GOM haddock and GB haddock ABC (U.S. share only) shall be allocated to the Atlantic herring fishery, pursuant to the restrictions in §§ 648.85(d) and 648.86(a)(3), and pursuant to the process for specifying ABCs and ACLs described in paragraph (a)(4) of this section. An ACL based on this ABC shall be determined using the process described in paragraph (a)(4)(i) of this section.
                        </P>
                        <STARS/>
                        <P>(5) * * *</P>
                        <P>
                            (iii) 
                            <E T="03">AMs if the incidental catch cap for the Atlantic herring fishery is exceeded.</E>
                             At the end of the NE. multispecies fishing year, NMFS shall evaluate Atlantic herring fishery catch using VTR, VMS, IVR, observer data, and any other available information to determine whether a haddock incidental catch cap has been exceeded based upon the cumulative catch of vessels issued an Atlantic herring permit and fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3. If the catch of haddock by all vessels issued an Atlantic herring permit and fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3, exceeds the amount of the incidental catch cap specified in § 648.85(d) of this section, then the appropriate incidental catch cap shall be reduced by the overage on a pound-for-pound basis during the following fishing year. Any overage reductions shall be announced by the Regional Administrator in the 
                            <E T="04">Federal Register</E>
                            , accordance with the Administrative Procedure Act, prior to the start of the next NE. multispecies fishing year after which the overage occurred, if possible, or as soon as possible thereafter if the overage is not determined until after the end of the NE. multispecies fishing year in which the overage occurred.
                        </P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
                <REGTEXT TITLE="50" PART="648">
                    <AMDPAR>9. In § 648.201, revise paragraph (a)(2) to read as follows:</AMDPAR>
                    <SECTION>
                        <SECTNO>§ 648.201 </SECTNO>
                        <SUBJECT>AMs and harvest controls.</SUBJECT>
                        <STARS/>
                        <P>(a) * * *</P>
                        <P>
                            (2) If NMFS determines that the GOM and/or GB incidental catch cap for 
                            <PRTPAGE P="57000"/>
                            haddock in § 648.85(d) has been caught, a vessel issued a Federal Atlantic herring permit and fishing with midwater trawl gear in Management Areas 1A, 1B, and/or 3, as defined at § 648.200(f)(1) and (3), may not fish for, possess, or land herring in excess of 2,000 lb (907.2 kg) per trip in or from the applicable AM Area, unless all herring possessed and landed by a vessel were caught outside the applicable AM Area and the vessel complies with the gear stowage provisions specified in § 648.23(b) while transiting the applicable AM Area. Upon determination that a haddock incidental catch cap has been reached, the haddock possession limit shall be reduced to 0 lb (0 kg) for any vessel issued an All Areas Limited Access Herring Permit and/or an Areas 2 and 3 Limited Access Herring Permit fishing on a declared herring trip, regardless of area fished or gear used, or a vessel issued a Limited Access Incidental Catch Herring Permit and/or an Open Access Herring Permit and fishing with midwater trawl gear pursuant to § 648.80(d), unless the vessel also possesses a Northeast multispecies permit and is operating on a declared (consistent with § 648.10(g)) Northeast multispecies trip.
                        </P>
                        <STARS/>
                    </SECTION>
                </REGTEXT>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23682 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-22-P</BILCOD>
        </RULE>
    </RULES>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Proposed Rules</UNITNAME>
    <PRORULES>
        <PRORULE>
            <PREAMB>
                <PRTPAGE P="57001"/>
                <AGENCY TYPE="F">DEPARTMENT OF AGRICULTURE</AGENCY>
                <SUBAGY>Agricultural Marketing Service</SUBAGY>
                <CFR>7 CFR Part 983</CFR>
                <DEPDOC>[Doc. No. AMS-FV-10-0099; FV11-983-1 PR]</DEPDOC>
                <SUBJECT>Pistachios Grown in California, Arizona, and New Mexico; Proposed Amendment of Marketing Order No. 983 and Referendum Order</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Agricultural Marketing Service, USDA.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Proposed rule and referendum order.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This rule proposes four amendments to Marketing Agreement and Order No. 983 (order), which regulates the handling of pistachios grown in California, Arizona, and New Mexico, and provides growers with the opportunity to vote in a referendum to determine if they favor the changes. The amendments are based on proposals by the Administrative Committee for Pistachios (Committee), which is responsible for local administration of the order. The amendments would provide authority to establish aflatoxin and quality regulations for pistachios shipped to export markets, including authority to establish different regulations for different markets. These amendments are intended to provide authority to ensure uniform and consistent aflatoxin and quality regulations in the domestic and various export markets.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The referendum will be conducted from October 3 through October 14, 2011. The representative period for the purpose of the referendum is September 1, 2010, through August 31, 2011.</P>
                </EFFDATE>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Martin Engeler, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA; 2202 Monterey Street, Fresno, California 93721; 
                        <E T="03">Telephone:</E>
                         (559)487-5110, 
                        <E T="03">Fax:</E>
                         (559) 487-5906, or Kathleen M. Finn, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA; 1400 Independence Avenue, SW., Stop 0237, Washington, DC 20250-0237; 
                        <E T="03">Telephone:</E>
                         (202) 720-2491, 
                        <E T="03">Fax:</E>
                         (202) 720-8938, or 
                        <E T="03">E-mail: Martin.Engeler@ams.usda.gov</E>
                         or 
                        <E T="03">Kathy.Finn@ams.usda.gov.</E>
                    </P>
                    <P>
                        Small businesses may request information on complying with this regulation by contacting Laurel May, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA, 1400 Independence Avenue, SW., STOP 0237, Washington, DC 20250-0237; 
                        <E T="03">Telephone:</E>
                         (202) 720-2491, 
                        <E T="03">Fax:</E>
                         (202) 720-8938, or 
                        <E T="03">E-mail: Laurel.May@ams.usda.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>This rule is issued under Marketing Agreement and Order No. 983, both as amended (7 CFR part 983), regulating the handling of pistachios produced in California, Arizona, and New Mexico, hereinafter referred to as the “order.” The order is effective under the Agricultural Marketing Agreement Act of 1937, as amended (7 U.S.C. 601-674), hereinafter referred to as the “Act.” The applicable rules of practice and procedure governing the formulation of marketing agreements and orders (7 CFR part 900) authorize amendment of the order through this informal rulemaking action.</P>
                <P>The Department of Agriculture (USDA) is issuing this rule in conformance with Executive Order 12866.</P>
                <P>This proposal has been reviewed under Executive Order 12988, Civil Justice Reform. This rule is not intended to have retroactive effect.</P>
                <P>The Act provides that administrative proceedings must be exhausted before parties may file suit in court. Under section 608c(15)(A) of the Act, any handler subject to an order may file with USDA a petition stating that the order, any provision of the order, or any obligation imposed in connection with the order is not in accordance with law and request a modification of the order or to be exempted therefrom. A handler is afforded the opportunity for a hearing on the petition. After the hearing, USDA would rule on the petition. The Act provides that the district court of the United States in any district in which the handler is an inhabitant, or has his or her principal place of business, has jurisdiction to review USDA's ruling on the petition, provided an action is filed not later than 20 days after the date of the entry of the ruling.</P>
                <P>Section 1504 of the Food, Conservation, and Energy Act of 2008 (2008 Farm Bill) (Pub. L. 110-246) made changes to section 18c(17) of the Act, which in turn required the addition of supplemental rules of practice to 7 CFR part 900 (73 FR 49307; August, 21, 2008). The changes to section 18c(17) of the Act and additional supplemental rules of practice authorize the use of informal rulemaking (5 U.S.C. 553) to amend federal fruit, vegetable, and nut marketing agreements and orders if certain criteria are met.</P>
                <P>AMS has considered the nature and complexity of the proposed amendments, the potential regulatory and economic impacts on affected entities, and other relevant matters, and has determined that amending the order as proposed by the committee could appropriately be accomplished through informal rulemaking.</P>
                <P>
                    The proposed amendments were unanimously recommended by the Committee following deliberations at a public meeting on July 9, 2010. A proposed rule soliciting comments on the proposed amendments was issued on June 5, 2011, and published in the 
                    <E T="04">Federal Register</E>
                     on June 13, 2011 (76 FR 34181). One comment was received in support of the proposed amendments. AMS will conduct a producer referendum to determine support for the proposed amendments. If appropriate, a final rule will then be issued to effectuate the amendments favored by producers in the referendum.
                </P>
                <P>
                    The Committee's proposed amendments would: (1) Provide authority to establish aflatoxin sampling, analysis, and inspection requirements for shipments of pistachios to export markets, including authority to establish different regulations for different markets; (2) Provide authority to establish quality and inspection requirements for shipments of pistachios to export markets, including authority to establish different regulations for different markets; (3) Change a related section of the order concerning substandard pistachios to conform to the proposed addition of export authority; and (4) Correct an erroneous cross-reference to another section of the order.
                    <PRTPAGE P="57002"/>
                </P>
                <HD SOURCE="HD1">Proposal Number 1—Aflatoxin Regulation Authority</HD>
                <P>Section 983.50 of the order provides authority to establish aflatoxin sampling, analysis, and inspection requirements applicable to pistachios shipped for domestic human consumption. Section 983.150 of the order's administrative rules and regulations establishes such requirements. These regulations prohibit the shipment of pistachios for domestic human consumption unless they have been sampled and tested according to specific procedures and protocols, and certified that they do not contain traces of aflatoxin exceeding a tolerance level of 15 parts per billion (ppb). The aflatoxin regulations under the order are intended to help assure consumers of a good quality product and to reduce the risk of potential aflatoxin contamination. While authority exists to establish aflatoxin regulations for domestic shipments of pistachios, no such authority exists under the order for export shipments. This proposed amendment would add authority to establish aflatoxin regulations for shipments of pistachios to export markets.</P>
                <P>When the order was promulgated in 2004, a State of California marketing agreement was in effect that provided aflatoxin testing and certification for export shipments to designated markets. Under that program, handlers tested and certified export shipments according to the methods and protocols acceptable to the export destination. Thus, the authority to regulate export shipments was not included in the order to avoid duplication. The State program served the needs of the industry for several years, but was terminated in 2010. Although handlers continue to test and certify product prior to shipping into export markets, there is currently no program in place to establish uniform and consistent procedures.</P>
                <P>The export market is becoming increasingly important to the U.S. pistachio industry to market its continually increasing production. Pistachio acreage and production in the U.S. has been increasing steadily since the crop became commercially significant in the 1970's. This upward trend has continued since the order was promulgated, and is expected to continue into the foreseeable future. According to information reported by the Committee, in 2004 pistachio bearing acreage in California was 93,000 acres and non-bearing acreage was 24,733 acres, for a total of 117,773 acres. In 2010, bearing acreage was 137,102 acres and non-bearing acreage was 78,234, for a total of 215,336 acres. This represents an 83 percent increase in total acreage in just six years. The increased plantings are a response to the growing demand for U.S. pistachios, especially in export markets. A review of Committee shipment data indicates a substantial increase in shipments to export markets has occurred in recent years. Export shipments of open inshell pistachios increased from 95,761,666 pounds in the 2004-05 shipping season to 192,436,136 pounds in the 2009-10 season. Exports represented approximately 63 percent of total U.S. pistachio shipments during the 2009-10 season, underscoring the importance of the export market to the industry.</P>
                <P>In view of the new plantings of pistachios as represented by the non-bearing acreage data, it is readily apparent that the production of U.S. pistachios will increase significantly in coming years. Successful marketing of the crop in the future will be dependent not only on sustaining current markets, but increasing the global demand to absorb the increased production. In order to accomplish this, it is important to reduce the risk of an aflatoxin incident involving U.S. pistachios.</P>
                <P>In the mid-1990's, heightened consumer concern about aflatoxin occurred in Europe which resulted in a significant drop in pistachio consumption in those markets. Issues involving other commodities have also occurred in recent years, with adverse impacts. The pistachio industry thus believes it would be prudent to avail itself of an additional tool that could be used to reduce the risk of potential aflatoxin incidence in U.S. pistachios and the associated negative impacts.</P>
                <P>Although pistachios destined for export markets are currently being tested and certified based on the requirements in those markets and customer's needs, there is currently no program in place with government oversight to ensure all handlers are following specific established protocols and procedures. Adding authority to the order to allow issuance of rules and regulations for aflatoxin testing and certification for export shipments would provide a mechanism to establish uniform and consistent aflatoxin sampling, analysis, and inspection requirements for shipments of domestically produced pistachios to export markets. A program with consistent and uniform procedures, with Federal oversight, would help instill confidence with foreign customers and government officials that the U.S. pistachio industry is committed to providing a good quality product to its markets that match or exceed the standards of the importing country.</P>
                <P>The intent of the proposed amendments authorizing aflatoxin regulation for exports is to provide an additional tool under the order to aid in successful marketing of future crops.</P>
                <P>The various export markets to which pistachios are shipped often have different requirements, such as allowable aflatoxin tolerance levels. Thus, the Committee also recommended adding authority to the order to establish different aflatoxin regulations for different markets. The proposed amendment would therefore authorize different regulations for different markets.</P>
                <P>If the order is amended to include authority to establish aflatoxin regulations for shipments to export markets, specific regulations would need to be added to the order's rules and regulations through the informal rulemaking process. If the industry chooses to pursue such regulations, the Committee would meet to consider and analyze the available information in developing any recommendation to AMS. Any recommendation of the Committee concerning potential aflatoxin regulations would require a unanimous vote of 12 Committee members or alternate members acting in their stead according to the voting requirements in § 983.43 of the order.</P>
                <P>For the reasons stated above, it is proposed that § 983.50, Aflatoxin regulations, be amended to authorize the Committee, with approval of the Secretary, to establish aflatoxin sampling, analysis, and inspection requirements for pistachios to be shipped for human consumption in export markets. It is also proposed that § 983.50 of the order be amended to authorize the Committee, with approval of the Secretary, to establish different aflatoxin requirements for different markets.</P>
                <HD SOURCE="HD1">Proposal Number 2—Quality Regulation Authority</HD>
                <P>Section 983.51 of the order provides authority for the Committee, with approval of the Secretary, to establish quality and inspection requirements for pistachios shipped for domestic human consumption. There are currently no such requirements in effect under the order.</P>
                <P>
                    When the order was promulgated in 2004, specific requirements pertaining to quality levels were contained in the provisions of the order. These provisions were in effect from 2004 through 2007. In December 2007, the requirements were suspended because they were no longer meeting the 
                    <PRTPAGE P="57003"/>
                    industry's needs. In November 2009, the order was amended and the suspended quality requirements were removed from the order and replaced with broad authority for quality regulation. At that time, there was no desire by the industry to reinstate the specific quality regulations previously in effect or any intent to recommend any form of quality regulation. However, the industry desired to retain authority to implement some form of quality regulation in the future if circumstances warrant. Informal rulemaking would be required to reinstate quality regulations.
                </P>
                <P>Applying similar logic, the Committee recommended at its July 2010 meeting to amend the broad quality authority under the order to include the authority to establish requirements for export shipments, in addition to domestic shipments. No quality regulations are currently being contemplated by the industry; however, the Committee believes it would be prudent to expand the current authority for quality regulations to include export shipments. Adding broad authority for quality regulations for exports would provide flexibility in the order by increasing the industry's ability to respond to quality issues related to exports, if they arise. Exports are becoming an increasingly important market for the industry and currently account for the marketing of nearly two-thirds of domestically produced pistachios.</P>
                <P>The Committee also recommended adding authority to the order to establish different quality requirements for different markets. Similar to the discussion under Proposal Number 1, different markets to which pistachios are shipped may have different quality requirements or concerns. The proposed amendment would therefore authorize different quality regulations for different markets. This would provide additional flexibility to the order to address different market needs.</P>
                <P>If the order is amended to include authority to establish quality regulations for shipments to export markets, specific regulations would need to be added to the order's rules and regulations through the informal rulemaking process. If the industry chooses to pursue such regulations, the Committee would meet to consider and analyze the available information in developing a recommendation to AMS. Any recommendation of the Committee concerning potential quality regulations would require a unanimous vote of 12 Committee members or alternate members acting in their stead according to the voting requirements in § 983.43 of the order.</P>
                <P>For the reasons stated above, it is proposed that § 983.51, Quality regulations, be amended to authorize the Committee, with approval of the Secretary, to establish quality and inspection requirements for pistachios to be shipped for human consumption in export markets. It is also proposed that § 983.51 of the order be amended to authorize the Committee, with approval of the Secretary, to establish different quality requirements for different markets.</P>
                <HD SOURCE="HD1">Proposal Number 3—Conforming Change</HD>
                <P>Section 983.57 of the order provides authority to establish reporting and disposition procedures for pistachios that do not meet aflatoxin or quality requirements (substandard product) to ensure they are not shipped for domestic human consumption. Since the order currently authorizes regulation of the domestic market only, § 983.57 does not reference the utilization of reporting and disposition procedures to ensure that substandard pistachios are not shipped to other markets besides the domestic market. Therefore, if Proposal Numbers 1 and 2 are adopted to include authority to regulate other markets, a conforming change should be made to § 983.57 to reference the utilization of reporting and disposition procedures to ensure substandard pistachios are not shipped to any market for which regulations exist.</P>
                <P>It is therefore proposed that § 983.57, Substandard pistachios, be amended to authorize reporting and disposition procedures for substandard pistachios to ensure they are not shipped for human consumption in any market for which aflatoxin and/or quality requirements exist pursuant to § 983.50 and/or § 983.51.</P>
                <HD SOURCE="HD1">Proposal Number 4—Correction</HD>
                <P>Section 983.53 of the order pertains to aflatoxin testing of minimal quantities of pistachios and provides, in part, that lots of pistachios exceeding the maximum tolerance level for aflatoxin may be tested again after being reworked as specified in § 983.50. The reference to § 983.50 is incorrect. The correct section, which pertains to rework procedures, is § 983.52. This proposed amendment recommended by the Committee would correct the erroneous reference.</P>
                <P>It is therefore proposed to amend § 983.53 by removing the reference to § 983.50 in paragraph (a)(2) and replacing it with the correct reference to § 983.52.</P>
                <HD SOURCE="HD2">Final Regulatory Flexibility Analysis</HD>
                <P>Pursuant to requirements set forth in the Regulatory Flexibility Act (RFA) (5 U.S.C. 601-612), the Agricultural Marketing Service (AMS) has considered the economic impact of this action on small entities. Accordingly, AMS has prepared this final regulatory flexibility analysis.</P>
                <P>The purpose of the RFA is to fit regulatory actions to the scale of business subject to such actions in order that small businesses will not be unduly or disproportionately burdened. Marketing orders issued pursuant to the Act, and rules issued thereunder, are unique in that they are brought about through group action of essentially small entities acting on their own behalf.</P>
                <P>There are approximately 850 producers and 29 handlers of pistachios in the production area encompassing California, Arizona, and New Mexico. The Small Business Administration (SBA) (13 CFR 121.201) defines small agricultural producers as those having annual receipts of less than $750,000, and small agricultural service firms are defined as those having annual receipts of less than $7,000,000.</P>
                <P>Based on Committee data, it is estimated that over 70 percent of the handlers ship less than $7,000,000 worth of pistachios and would thus be considered small business under the SBA definition. It is also estimated that over 80 percent of the growers in the production area produce less than $750,000 worth of pistachios and would thus be considered small businesses under the SBA definition.</P>
                <P>The amendments proposed by the Committee would provide authority to establish aflatoxin sampling, analysis, and inspection requirements for shipments of pistachios to export markets, including authority to establish different regulations for different markets; provide authority to establish quality and inspection requirements for shipments of pistachios to export markets, including authority to establish different regulations for different markets; change a related section of the order concerning substandard pistachios to conform to the proposed addition of export authority; and correct an erroneous cross-reference to another section of the order.</P>
                <P>
                    These proposed amendments were unanimously recommended at a public meeting of the Committee held on July 10, 2010. None of the proposed amendments would have an immediate impact on handlers or producers if they are approved because they would not establish any requirements or 
                    <PRTPAGE P="57004"/>
                    regulations on handlers. However, the proposed amendments that would add authority to the order to regulate exports could impact growers and handlers in the industry if the authority is implemented. Therefore, the potential costs that may be associated with future regulation of exports is discussed below. In the event implementing regulations are subsequently recommended by the Committee if the proposed amendments are approved, additional analysis of the potential costs and benefits would be conducted as part of the informal rulemaking process.
                </P>
                <P>Under § 983.50 of the order and § 983.150 of the administrative rules and regulations, sampling, analysis, and inspection of pistachios for aflatoxin is required prior to shipment to domestic markets. Specific procedures and requirements for handlers to follow are prescribed. It is anticipated that any requirements recommended for export shipments would be similar to those in effect for domestic shipments. Thus, the associated costs would be similar.</P>
                <P>The costs of complying with aflatoxin regulations can be broken into three basic elements: sampling of the product, the market value of the product samples that are used in testing, and the cost of the aflatoxin analysis performed by laboratories. These costs can vary among handlers depending on their particular operations. In recognition of this, the Committee provided estimates of the various cost elements for purposes of this discussion.</P>
                <P>The cost of drawing samples from lots is estimated to range from $50.00 to $75.00 per lot. The variation in this cost can be attributed to factors such as the type of inspection program utilized by handlers. For purposes of this evaluation a cost factor of $70.00 per lot is utilized. The cost of the product used in sampling and testing varies depending upon the market price for pistachios. For purposes of this evaluation a value of $3.00 per pound as estimated by the Committee is utilized. At $3.00 per pound and a 44-pound sample, the cost of product used in sampling is $132.00 per lot. Laboratory costs for analyzing aflatoxin content are estimated to be $100.00 per test; with two tests per lot, the cost is $200.00 per lot.</P>
                <P>Pistachio lots tested for aflatoxin can vary in size, but for purposes of this evaluation, a lot size of 50,000 pounds is used as that is a reasonable representative size for a typical handler operation. Applying the above cost estimates to a lot size of 50,000 pounds results in the following cost estimates on a per pound basis:</P>
                <FP SOURCE="FP-2">1. Sampling cost: $0.0014 per pound ($70.00 per lot divided by 50,000 pounds)</FP>
                <FP SOURCE="FP-2">2. Value of product used in sampling: $0.0026 per pound ($132.00 per lot divided by 50,000 pounds)</FP>
                <FP SOURCE="FP-2">3. Analytical cost of aflatoxin testing: $0.0040 per pound ($200 per sample divided by 50,000 pounds)</FP>
                <FP>This results in a total estimated per pound cost of $0.0060 ($0.0014 + $0.0026 + $0.0040), or 0.8 cents per pound.</FP>
                <P>When compared to the market price for pistachios, the direct costs associated with an aflatoxin program are proportionately small. Utilizing a market price of $3.00 per pound as used in the above cost estimates, the costs of aflatoxin sampling and testing represent 0.27 percent of the market price. Even if the market price for pistachios was $1.00 per pound, the aflatoxin sampling and testing costs would be well below one percent of the price.</P>
                <P>Most handlers who shipped pistachios to export markets in the past were signatories to a state marketing agreement that required aflatoxin sampling and analysis. That program was terminated in 2010. Since then, most handlers reportedly conduct aflatoxin testing and certification on export shipments to satisfy the requirements of the various markets. Therefore, the costs discussed above are already being borne by handlers.</P>
                <P>While difficult to quantify, one of the primary benefits of an aflatoxin program is the reduced risk of a potential food incident. For example, in the late 1990's, high aflatoxin levels were detected in pistachios in European markets. This led to a 60 percent decrease in pistachio imports in Europe, and it took several years for the market to return to more normal levels. The U.S was not dominant in the European market at that time, but in recent years, Europe has become an increasingly significant market for U.S. pistachios. Regardless of the location of the market, this example demonstrates the devastating effect a food quality or food safety issue can have on the marketing of a product.</P>
                <P>Another benefit of an aflatoxin testing program is the resulting reduction in the incidence of rejected shipments at their destination. Many countries test product prior to allowing its importation. Product that does not meet the importing country's standards can be rejected and returned to the shipper. It is estimated that the cost of handling or returning a rejected lot is between $12,000 and $15,000 per lot. Product that has been tested prior to shipment based on the requirements of its market destination is less likely to be rejected and would not incur the associated costs.</P>
                <P>Avoiding a disruption in the marketing of pistachios in export markets is important in maintaining the viability of the industry. Shipments of open inshell pistachios increased dramatically in recent years; from 95,761,666 pounds in the 2004-05 shipping season to 192,436,136 pounds in the 2009-10 season, according to Committee data. Exports represented approximately 63 percent of total U.S. pistachio shipments during the 2009-10 season. According to statistics reported by the Committee, total acreage increased from 117,773 acres in 2004 to 215,336 acres in 2010, representing an 83 percent increase. Much of this acreage is non-bearing and will come into production in the near future. These statistics demonstrate that domestic production of pistachios will continue to increase in the future, and export markets must be maintained to accommodate the increased supplies.</P>
                <P>Expanding order authority to include establishing aflatoxin requirements applicable to export shipments will provide an additional tool to aid in the marketing of pistachios covered under the order. In the event the authority is implemented, the potential costs associated with a mandatory aflatoxin program for exports are expected to be more than offset by the potential benefits discussed above.</P>
                <P>An analysis of the potential costs of adding authority to the order to establish quality regulations is not possible because no quality regulations are currently in effect under the order, and none are being contemplated. Quality regulations were in effect for domestic shipments from 2004 through 2007, but were suspended because they were no longer meeting the industry's needs. However, the order still contains broad authority for domestic quality regulations and the industry may desire to reinstate them if circumstances warrant. As a result of the increasing importance of the export market as demonstrated above, the Committee recommended adding authority to the order for quality regulation for export shipments in the event circumstances in the future warrant their implementation.</P>
                <P>
                    If such authority is added to the order, a unanimous action of the Committee would be required to recommend the establishment of any export quality regulations. In addition, informal rulemaking would be required for implementation, and an analysis of the potential costs and benefits would be conducted during that process.
                    <PRTPAGE P="57005"/>
                </P>
                <P>The remaining proposed amendments are administrative in nature and would have no economic impact on growers or handlers. One of the proposed amendments would add conforming language to another section of the order if other amendments are approved, and another proposed amendment would correct an incorrect section reference in the order.</P>
                <P>Alternatives to these proposals include making no changes at this time. However, the Committee believes it would be beneficial to have the means necessary to apply regulations to the export markets if circumstances warrant.</P>
                <P>In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35), the order's information collection requirements have been previously approved by the Office of Management and Budget (OMB) and assigned OMB No. 0581-0215, “Pistachios Grown in California”. No changes in those requirements as a result of this proceeding are anticipated. Should any changes become necessary, they would be submitted to OMB for approval.</P>
                <P>As with all Federal marketing order programs, reports and forms are periodically reviewed to reduce information requirements and duplication by industry and public sector agencies.</P>
                <P>In addition, USDA has not identified any relevant Federal rules that duplicate, overlap, or conflict with this rule.</P>
                <P>AMS is committed to complying with the E-Government Act, to promote the use of the Internet and other information technologies to provide increased opportunities for citizen access to Government information and services, and for other purposes.</P>
                <P>The Committee's meeting, at which these proposals were discussed, was widely publicized throughout the pistachio industry. All interested persons were invited to attend the meeting and encouraged to participate in Committee deliberations on all issues. Like all Committee meetings, the meeting was public, and all entities, both large and small, were encouraged to express their views on these proposals.</P>
                <P>
                    A proposed rule concerning this action was published in the 
                    <E T="04">Federal Register</E>
                     on June 13, 2011 (76 FR 34181). Copies of the rule were mailed or sent via facsimile to all Committee members and pistachio handlers. Finally, the rule was made available through the Internet by USDA and the Office of the Federal Register. A 30-day comment period ending July 13, 2011, was provided to allow interested persons to respond to the proposal.
                </P>
                <P>One comment was received in response to the proposal. The comment, submitted on behalf of a pistachio trade association, was supportive of the proposed amendments. Accordingly, no changes have been made to the proposed amendments, based on the comment received.</P>
                <P>
                    A small business guide on complying with fruit, vegetable, and specialty crop marketing agreements and orders may be viewed at: 
                    <E T="03">http://www.ams.usda.gov/MarketingOrdersSmallBusinessGuide.</E>
                     Any questions about the compliance guide should be sent to Laurel May at the previously mentioned address in the 
                    <E T="02">FOR FURTHER INFORMATION CONTACT</E>
                     section.
                </P>
                <HD SOURCE="HD2">Findings and Conclusions</HD>
                <P>
                    The findings and conclusions and general findings and determinations included in the proposed rule set forth in the June 13, 2011, issue of the 
                    <E T="04">Federal Register</E>
                     are hereby approved and adopted.
                </P>
                <HD SOURCE="HD2">Marketing Order</HD>
                <P>
                    Annexed hereto and made a part hereof is the document entitled “Order Amending the Order Regulating the Handling of Pistachios Grown in California, Arizona, and New Mexico.” This document has been decided upon as the detailed and appropriate means of effectuating the foregoing findings and conclusions. 
                    <E T="03">It is hereby ordered,</E>
                     That this entire rule be published in the 
                    <E T="04">Federal Register.</E>
                </P>
                <HD SOURCE="HD2">Referendum Order</HD>
                <P>It is hereby directed that a referendum be conducted in accordance with the procedure for the conduct of referenda (7 CFR 900.400-900.407) to determine whether the annexed order amending the order regulating the handling of pistachios grown in California, Arizona, and New Mexico is approved by growers, as defined under the terms of the order, who during the representative period were engaged in the production of pistachios in the production area.</P>
                <P>The representative period for the conduct of such referendum is hereby determined to be September 1, 2010 through August 31, 2011.</P>
                <P>
                    The agents of the Secretary to conduct such referendum are designated to be Rose M. Aguayo and Andrea Ricci, California Marketing Field Office, Marketing Order Administration Branch, Fruit and Vegetable Programs, AMS, USDA; 
                    <E T="03">Telephone:</E>
                     (559) 487-5901, or 
                    <E T="03">E-mail: Rose M. Aguayo@ams.usda.gov</E>
                     or 
                    <E T="03">Andrea.Ricci@ams.usda.gov,</E>
                     respectively.
                </P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 7 CFR Part 983</HD>
                    <P>Marketing agreements, Pistachios, Reporting and recordkeeping requirements.</P>
                </LSTSUB>
                <SIG>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <NAME>David R. Shipman,</NAME>
                    <TITLE>Acting Administrator, Agricultural Marketing Service.</TITLE>
                </SIG>
                <HD SOURCE="HD1">
                    Order Amending the Order Regulating the Handling of Pistachios Grown in California, Arizona, and New Mexico 
                    <SU>1</SU>
                    <FTREF/>
                </HD>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         This order shall not become effective unless and until the requirements of § 900.14 of the rules of practice and procedure governing proceedings to formulate marketing agreements and marketing orders have been met.
                    </P>
                </FTNT>
                <HD SOURCE="HD2">Findings and Determinations</HD>
                <P>The findings hereinafter set forth are supplementary to the findings and determinations which were previously made in connection with the issuance of the marketing agreement and order; and all said previous findings and determinations are hereby ratified and affirmed, except insofar as such findings and determinations may be in conflict with the findings and determinations set forth herein.</P>
                <P>1. The marketing agreement and order, as amended, and as hereby proposed to be further amended, and all of the terms and conditions thereof, would tend to effectuate the declared policy of the Act;</P>
                <P>2. The marketing agreement and order, as amended, and as hereby proposed to be further amended, regulate the handling of pistachios grown in California, Arizona, and New Mexico in the same manner as, and are applicable only to, persons in the respective classes of commercial and industrial activity specified in the marketing agreement and order;</P>
                <P>3. The marketing agreement and order, as amended, and as hereby proposed to be further amended, are limited in application to the smallest regional production area which is practicable, consistent with carrying out the declared policy of the Act, and the issuance of several orders applicable to subdivisions of the production area would not effectively carry out the declared policy of the Act;</P>
                <P>
                    4. The marketing agreement and order, as amended, and as hereby proposed to be further amended, prescribe, insofar as practicable, such different terms applicable to different parts of the production area as are necessary to give due recognition to the differences in the production and 
                    <PRTPAGE P="57006"/>
                    marketing of pistachios produced or packed in the production area; and
                </P>
                <P>5. All handling of pistachios produced in the production area as defined in the marketing agreement and order is in the current of interstate or foreign commerce or directly burdens, obstructs, or affects such commerce.</P>
                <HD SOURCE="HD2">Order Relative to Handling</HD>
                <P>
                    <E T="03">It is therefore ordered,</E>
                     That on and after the effective date hereof, all handling of pistachios grown in California, Arizona, and New Mexico shall be in conformity to, and in compliance with, the terms and conditions of the said order as hereby proposed to be amended as follows:
                </P>
                <P>
                    The provisions of the proposed marketing order amending the order contained in the proposed rule issued by the Administrator on June 5, 2011, and published in the 
                    <E T="04">Federal Register</E>
                     (76 FR 34181) on June 13, 2011, will be and are the terms and provisions of this order amending the order and are set forth in full herein.
                </P>
                <PART>
                    <HD SOURCE="HED">PART 983—PISTACHIOS GROWN IN CALIFORNIA, ARIZONA, AND NEW MEXICO</HD>
                    <P>1. The authority citation for 7 CFR part 983 continues to read as follows:</P>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P> 7 U.S.C. 601-674.</P>
                    </AUTH>
                    <P>2. Revise § 983.50 to read as follows:</P>
                    <SECTION>
                        <SECTNO>§ 983.50</SECTNO>
                        <SUBJECT> Aflatoxin regulations.</SUBJECT>
                        <P>The committee shall establish, with the approval of the Secretary, such aflatoxin sampling, analysis, and inspection requirements applicable to pistachios to be shipped for domestic human consumption as will contribute to orderly marketing or be in the public interest. The committee may also establish, with the approval of the Secretary, such requirements for pistachios to be shipped for human consumption in export markets. No handler shall ship, for human consumption in domestic, or if applicable, export markets, pistachios that exceed an aflatoxin level established by the committee and approved by the Secretary. All shipments to markets for which requirements have been established must be covered by an aflatoxin inspection certificate. The committee may, with the approval of the Secretary, establish different sampling, analysis, and inspection requirements, and different aflatoxin level requirements, for different markets.</P>
                        <P>3. Revise § 983.51 to read as follows:</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 983.51 </SECTNO>
                        <SUBJECT>Quality regulations.</SUBJECT>
                        <P>For any production year, the committee may establish, with the approval of the Secretary, such quality and inspection requirements applicable to pistachios shipped for human consumption in domestic or export markets as will contribute to orderly marketing or be in the public interest. In such production year, no handler shall ship pistachios for human consumption in domestic, or if applicable, export markets unless they meet the applicable requirements as evidenced by certification acceptable to the committee. The committee may, with the approval of the Secretary, establish different quality and inspection requirements for different markets.</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 983.53</SECTNO>
                        <SUBJECT>[Amended]</SUBJECT>
                        <P>4. Amend § 983.53 by removing the reference to “§ 983.50” and adding in its place “§ 983.52” in paragraph (a)(2).</P>
                        <P>5. Revise § 983.57 to read as follows:</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 983.57 </SECTNO>
                        <SUBJECT>Substandard pistachios.</SUBJECT>
                        <P>The committee shall, with the approval of the Secretary, establish such reporting and disposition procedures as it deems necessary to ensure that pistachios which do not meet aflatoxin and quality requirements are not shipped for human consumption in those markets for which such requirements exist pursuant to § 983.50 and § 983.51. </P>
                    </SECTION>
                </PART>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23629 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3410-02-P</BILCOD>
        </PRORULE>
        <PRORULE>
            <PREAMB>
                <AGENCY TYPE="N">NUCLEAR REGULATORY COMMISSION</AGENCY>
                <CFR>10 CFR Parts 30 and 150</CFR>
                <DEPDOC>[NRC-2011-0146]</DEPDOC>
                <SUBJECT>Proposed Generic Communications; Draft NRC Regulatory Issue Summary 2011-XX; NRC Regulation of Military Operational Radium-226; Reopening of Comment Period</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Nuclear Regulatory Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Reopening of comment period.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>On July 8, 2011, the U.S. Nuclear Regulatory Commission (NRC) published a draft Regulatory Issue Summary (RIS) pertaining to NRC regulation of military operational Radium-226 for a 60-day public comment period that ended on September 6, 2011. The NRC has decided to reopen the comment period for an additional 75 days.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The comment period for the publication July 8, 2011 at 76 FR 40282, has been reopened and now closes on November 29, 2011. Comments received after this date will be considered if it is practical to do so, but the NRC is able to assure consideration only for comments received on or before this date.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Please include Docket ID NRC-2011-0146 in the subject line of your comments. For additional instructions on submitting comments and instructions on accessing documents related to this action, see “Submitting comments and Accessing Information:” in the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section of this document. You may submit comments by any one of the following methods:
                    </P>
                    <P>
                        • 
                        <E T="03">Federal Rulemaking Web Site:</E>
                         Go to 
                        <E T="03">http://www.regulations.gov</E>
                         and search for documents filed under Docket ID NRC-2011-0146. Address questions about NRC dockets to Carol Gallagher, telephone: 301-492-3668; e-mail: 
                        <E T="03">Carol.Gallagher@nrc.gov.</E>
                    </P>
                    <P>
                        • 
                        <E T="03">Mail comments to:</E>
                         Cindy Bladey, Chief, Rules, Announcements, and Directives Branch (RADB), Office of Administration, Mail Stop: TWB-05-B01M, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.
                    </P>
                    <P>
                        • 
                        <E T="03">Fax comments to:</E>
                         RADB at 301-492-3446.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Robert L. Johnson, Office of Federal and State Materials and Environmental Management Programs, Division of Waste Management and Environmental Protection, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, telephone: 301-415-7282, e-mail: 
                        <E T="03">Robert.Johnson2@nrc.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">Submitting Comments and Accessing Information</HD>
                <P>
                    Comments submitted in writing or in electronic form will be posted on the NRC Web site and on the Federal rulemaking Web site, 
                    <E T="03">http://www.regulations.gov.</E>
                     Because your comments will not be edited to remove any identifying or contact information, the NRC cautions you against including any information in your submission that you do not want to be publically disclosed.
                </P>
                <P>
                    The NRC requests that any party soliciting or aggregating comments received from other persons for submission to the NRC inform those persons that the NRC will not edit their comments to remove any identifying or contact information, and therefore, they should not include any information in their comments that they do not want publically disclosed.
                    <PRTPAGE P="57007"/>
                </P>
                <P>You can access publicly available documents related to this notice using the following methods:</P>
                <P>
                    • 
                    <E T="03">NRC's Public Document Room (PDR):</E>
                     The public may examine and have copied, for a fee, publicly available documents at the NRC's PDR, O1-F21, One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852.
                </P>
                <P>
                    • 
                    <E T="03">NRC's Agencywide Documents Access and Management System (ADAMS):</E>
                     Publicly available documents created or received at the NRC are available online in the NRC Library at 
                    <E T="03">http://www.nrc.gov/reading-rm/adams.html.</E>
                     From this page, the public can gain entry into ADAMS, which provides text and image files of the NRC's public documents. If you do not have access to ADAMS or if there are problems in accessing the documents located in ADAMS, contact the NRC's PDR reference staff at 1-800-397-4209, 301-415-4737, or by e-mail to 
                    <E T="03">pdr.resource@nrc.gov.</E>
                     The draft RIS is available electronically under ADAMS Accession Number ML111510163.
                </P>
                <P>
                    • 
                    <E T="03">Federal Rulemaking Web Site:</E>
                     Public comments and supporting materials related to this notice can be found at 
                    <E T="03">http://www.regulations.gov</E>
                     by searching on Docket ID NRC-2011-0146.
                </P>
                <HD SOURCE="HD1">Discussion</HD>
                <P>On October 1, 2007 (72 FR 55864), the NRC published a final rule that amended its regulations to include jurisdiction over discrete sources of radium-226, accelerator-produced radioactive materials, and discrete sources of naturally occurring radioactive material, as required by the Energy Policy Act of 2005, which was signed into law on August 8, 2005 (NARM Rule). In order to clarify those discrete sources of radium-226 under military control that are subject to NRC regulation, as interpreted in the statement of considerations to the NARM Rule, on July 8, 2011 (76 FR 40282), the NRC published for public comment the proposed draft RIS 2011-XX; NRC Regulation of Military Operational Radium-226. On August 29, 2011, the NRC received a request from the U.S. Department of Defense (DoD) for a meeting with the NRC staff and an extension of the comment period. In response to the request for DoD, the NRC has decided to reopen the comment period for an additional 75 days. The NRC staff will schedule the public meeting for a date that has yet to be determined. Notice of this public meeting will be provided through the NRC's Web site.</P>
                <SIG>
                    <DATED>Dated at Rockville, Maryland, this 8th day of September 2011.</DATED>
                    <P>For the Nuclear Regulatory Commission.</P>
                    <NAME>Keith I. McConnell,</NAME>
                    <TITLE>Deputy Director, Decommissioning and Uranium Recover Licensing Directorate, Division of Waste Management and Environmental Protection, Office of Federal and State Materials and Environmental Management Programs.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23636 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7590-01-P</BILCOD>
        </PRORULE>
        <PRORULE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF ENERGY</AGENCY>
                <CFR>10 CFR Part 431</CFR>
                <RIN>RIN 1904-AC62</RIN>
                <SUBJECT>Efficiency and Renewables Advisory Committee, Appliance Standards Subcommittee, Negotiated Rulemaking Subcommittee/Working Group for Low-Voltage Dry-Type Distribution Transformers</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Department of Energy, Office of Energy Efficiency and Renewable Energy.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of open meeting.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This document announces an open meeting of the Negotiated Rulemaking Working Group for Low-Voltage Dry-Type Distribution Transformers (hereafter “LV Group”). The LV Group is a working group within the Appliance Standards Subcommittee of the Efficiency and Renewables Advisory Committee (ERAC). The purpose of the LV Group is to discuss and, if possible, reach consensus on a proposed rule for regulating the energy efficiency of distribution transformers, as authorized by the Energy Policy Conservation Act (EPCA) of 1975, as amended, 42 U.S.C. 6313(a)(6)(C) and 6317(a). A separate Working Group on Liquid-Immersed and Medium-Voltage Dry Type Distribution Transformers is being convened to discuss and, if possible, reach consensus on a proposed rule for regulating the energy efficiency of medium-voltage and liquid-immersed transformers, as authorized by the Energy Policy Conservation Act (EPCA) of 1975, as amended, 42 U.S.C. 6313(a)(6)(C) and 6317(a) [FR Doc. 2011-19263].</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Wednesday, September 28, 2011, 9 a.m.-5 p.m.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Department of Energy, Forrestal Building, 1000 Independence Avenue, SW., Room 8E-089, Washington, DC 20585. Please arrive at least 30 minutes early for building entry requirements. Please view the Public Participation section for more information.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        John Cymbalsky, U.S. Department of Energy, Office of Building Technologies (EE-2J), 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 287-1692. E-mail: 
                        <E T="03">John.Cymbalsky@ee.doe.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P SOURCE="NPAR">
                    <E T="03">Background:</E>
                     The Department of Energy has decided to use the negotiated rulemaking process to develop proposed energy efficiency standards for distribution transformers. The primary reasons for using the negotiated rulemaking process for developing a proposed Federal standard is that stakeholders strongly support a consensual rulemaking effort and DOE believes such a regulatory negotiation process will be less adversarial and better suited to resolving the complex technical issues raised by this rulemaking. An important virtue of negotiated rulemaking is that it allows expert dialog that is much better than traditional techniques at getting the facts and issues right and will result in a proposed rule that will effectively reflect Congressional intent.
                </P>
                <P>A regulatory negotiation will enable DOE to engage in direct and sustained dialog with informed, interested, and affected parties when drafting the proposed regulation that is then presented to the public for comment. Gaining this early understanding of all parties' perspectives allows DOE to address key issues at an earlier stage of the process, thereby allowing more time for an iterative process to resolve issues. A rule drafted by negotiation with informed and affected parties is more likely to maximize benefits while minimizing unnecessary costs than one conceived or drafted without the opportunity for sustained dialog among interested and expert parties. DOE anticipates that there will be a need for fewer substantive changes to a proposed rule developed under a regulatory negotiation process prior to the publication of a final rule.</P>
                <P>To the maximum extent possible, consistent with the legal obligations of the Department, DOE will use the consensus of the advisory committee or subcommittee as the basis for the rule the Department proposes for public notice and comment.</P>
                <P>
                    <E T="03">Membership:</E>
                     The Members of the LV Group were chosen from nominations submitted in response to the Department of Energy's call for nominations published in the 
                    <E T="04">Federal Register</E>
                     on Friday, August 12, 2011 [FR Doc. 2011-20541]. The selections are designed to ensure a broad and balanced array of stakeholder interests and 
                    <PRTPAGE P="57008"/>
                    expertise on the negotiating working group for the purpose of developing a rule that is legally and economically justified, technically sound, fair to all parties, and in the public interest. All meetings are open to all stakeholders and the public, and participation by all is welcome within boundaries as required by the orderly conduct of business. Considerations are still being made for additional membership, but the current Members of the LV Group are as follows:
                </P>
                <P>• Tim Ballo (Earthjustice).</P>
                <P>• Scott Beck (Lakeview Metals).</P>
                <P>• Eric Petersen (AK Steel).</P>
                <P>• Gary Fernstrom (PG&amp;E).</P>
                <P>• Andrew DeLaski (ASAP).</P>
                <P>• Robin Roy (NRDC).</P>
                <P>• Steve Nadel (ACEEE).</P>
                <P>• Eduardo Robles (Eaton).</P>
                <P>• Robert Greeson (Federal Pacific).</P>
                <P>• Vijay Tendulkar (ONYX Power).</P>
                <P>• Chad Kennedy (Schneider).</P>
                <P>• John Caskey (NEMA).</P>
                <P>• Millure David (Metglas).</P>
                <P>• John Cymbalsky (U.S. Department of Energy).</P>
                <P>• Mark Stoering (Xcel Energy).</P>
                <P>
                    <E T="03">Purpose of the Meeting:</E>
                     To launch the process of seeking consensus on a proposed rule for setting standards for the energy efficiency of low-voltage dry type distribution transformers, as authorized by the Energy Policy Conservation Act (EPCA) of 1975, as amended, 42 U.S.C. 6313(a)(6)(C) and 6317(a).
                </P>
                <P>
                    <E T="03">Tentative Agenda:</E>
                     The meeting will start at 9 a.m. and will conclude at 5 p.m. on Wednesday, September 28, 2011, in room 8E-089 at DOE's, Forrestal Building, 1000 Independence Avenue, SW., Washington, DC 20585. The tentative meeting agenda includes introductions, agreement on facilitator and rules of procedure, presentations from DOE consultants on the results of their revised analysis of alternative candidate standard levels, and identification of the issues to be addressed by the negotiations, and any outstanding data needs.
                </P>
                <P>
                    <E T="03">Public Participation:</E>
                     Members of the public are welcome to observe the business of the meetings and to make comments related to the issues being discussed at appropriate points, when called on by the moderator. The facilitator will make every effort to hear the views of all interested parties, within limits, required for the orderly conduct of business. To attend the meeting and/or to make oral statements regarding any of the items on the agenda, e-mail 
                    <E T="03">erac@ee.doe.gov</E>
                     no later than 5 p.m., Thursday, September 22, 2011. Please include “LV Work Group 092811” in the subject line of the message. An early confirmation of attendance will help facilitate access to the building more quickly. In the e-mail, please provide your name, organization, citizenship and contact information. Space is limited.
                </P>
                <P>Anyone attending the meeting will be required to present government-issued identification. Foreign nationals will be required, per DOE security protocol, to complete a questionnaire, no later than, one week prior to the meeting, Thursday, September 22, 2011.</P>
                <P>
                    Participation in the meeting is not a prerequisite for submission of written comments. ERAC invites written comments from all interested parties. If you would like to file a written statement with the committee, you may do so either by submitting a hard or electronic copy before or after the meeting. Electronic copy of written statements should be e-mailed to 
                    <E T="03">erac@ee.doe.gov.</E>
                </P>
                <P>
                    <E T="03">Minutes:</E>
                     The minutes of the meeting will be available for public review at 
                    <E T="03">http://www.erac.energy.gov.</E>
                </P>
                <SIG>
                    <DATED>Issued at Washington, DC, on September 8, 2011.</DATED>
                    <NAME>LaTanya R. Butler,</NAME>
                    <TITLE>Acting Deputy Committee Management Officer.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23634 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6450-01-P</BILCOD>
        </PRORULE>
        <PRORULE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>Office of the Secretary</SUBAGY>
                <CFR>14 CFR Part 252</CFR>
                <DEPDOC>[Docket No. DOT-OST-2011-0044]</DEPDOC>
                <RIN>RIN 2105-AE06</RIN>
                <SUBJECT>Smoking of Electronic Cigarettes on Aircraft</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of the Secretary (OST), Department of Transportation (DOT).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of proposed rulemaking (NPRM).</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        The Department of Transportation is proposing to amend its existing airline smoking rule to explicitly ban the use of electronic cigarettes on all aircraft in scheduled passenger interstate, intrastate and foreign air transportation. The Department is taking this action because of the increased promotion of electronic cigarettes and the potential health and passenger comfort concerns that they pose in an aircraft. The Department is also considering whether to extend the ban on smoking (including electronic cigarettes) to charter flights of air carriers (
                        <E T="03">i.e.</E>
                         U.S. carriers) and foreign air carriers with aircraft that have a designed seating capacity of 19 or more passenger seats.
                    </P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments should be filed by November 14, 2011. Late-filed comments will be considered to the extent possible.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>You may file comments identified by the docket number DOT-OST-2011-0044 by any of the following methods:</P>
                    <P>
                        • 
                        <E T="03">Federal eRulemaking Portal:</E>
                         go to 
                        <E T="03">http://www.regulations.gov</E>
                         and follow the online instructions for submitting comments.
                    </P>
                    <P>
                        • 
                        <E T="03">Mail:</E>
                         Docket Management Facility, U.S. Department of Transportation, 1200 New Jersey Ave., SE., Room W12-140, Washington, DC 20590-0001.
                    </P>
                    <P>
                        • 
                        <E T="03">Hand Delivery or Courier:</E>
                         West Building Ground Floor, Room W12-140, 1200 New Jersey Ave., SE between 9 a.m. and 5 p.m. E.T., Monday through Friday, except Federal Holidays.
                    </P>
                    <P>
                        • 
                        <E T="03">Fax:</E>
                         202-493-2251.
                    </P>
                    <P>
                        <E T="03">Instructions:</E>
                         You must include the agency name and docket number DOT-OST-2010-XXXX or Regulatory Identification Number (RIN) for the rulemaking at the beginning of your comment. All comments will be posted without change to 
                        <E T="03">http://www.regulations.gov,</E>
                         including any personal information provided.
                    </P>
                    <P>
                        <E T="03">Privacy Act:</E>
                         Anyone is able to search the electronic form of all comments received in any of our dockets by the name of the individual submitting the comment (or signing the comment if submitted on behalf of an association, a business, or labor union, 
                        <E T="03">etc.</E>
                        ). You may review DOT's complete Privacy Act statement in the 
                        <E T="04">Federal Register</E>
                         published on April 11, 2000 (65 FR 19477-78), or you may visit 
                        <E T="03">http://DocketsInfo.dot.gov.</E>
                    </P>
                    <P>
                        <E T="03">Docket:</E>
                         For access to the docket to read background documents or comments received, go to 
                        <E T="03">http://www.regulations.gov</E>
                         or to the street address listed above. Follow the online instructions for accessing the docket.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Laura E. Jennings, Trial Attorney, Office of the Assistant General Counsel for Aviation Enforcement and Proceedings, U.S. Department of Transportation, 1200 New Jersey Ave., SE., Washington, DC 20590, 202-366-9342 (phone), 202-366-7152 (fax), 
                        <E T="03">laura.jennings@dot.gov.</E>
                         You may also contact Blane A. Workie, Deputy Assistant General Counsel, Office of the Assistant General Counsel for Aviation Enforcement and Proceedings, U.S. Department of Transportation, 1200 New Jersey Ave., SE., Washington, DC 20590, 202-366-
                        <PRTPAGE P="57009"/>
                        9342 (phone), 202-366-7152 (fax), 
                        <E T="03">blane.workie@dot.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">Background</HD>
                <P>Throughout this proposed rule, we use the terms “air carrier” and “foreign air carrier” as defined in 49 U.S.C. 40102, in which “air carrier” is a citizen of the United States undertaking to provide air transportation, and a “foreign air carrier” is a person, not a citizen of the United States, undertaking to provide foreign air transportation.</P>
                <P>The current statutory ban on smoking in scheduled interstate, intrastate, and foreign air transportation derives from the Wendell H. Ford Aviation Investment and Reform Act for the 21st Century or “AIR-21” (Pub. L. 106-181), which was signed into law on April 5, 2000. It included section 708, “Prohibitions Against Smoking on Scheduled Flights,” and was codified as 49 U.S.C. 41706. Section 41706 states:</P>
                <EXTRACT>
                    <P>
                        (a) 
                        <E T="03">Smoking prohibition in intrastate and interstate air transportation.</E>
                        —An individual may not smoke in an aircraft in scheduled passenger interstate air transportation or scheduled passenger intrastate air transportation.
                    </P>
                    <P>
                        (b) 
                        <E T="03">Smoking prohibition in foreign air transportation.</E>
                        —The Secretary of Transportation shall require all air carriers and foreign air carriers to prohibit smoking in any aircraft in scheduled passenger foreign air transportation.
                    </P>
                    <P>
                        (c) 
                        <E T="03">Limitation on applicability.</E>
                        —
                    </P>
                    <P>
                        (1) 
                        <E T="03">In general.</E>
                        —If a foreign government objects to the application of subsection (b) on the basis that subsection (b) provides for an extraterritorial application of the laws of the United States, the Secretary shall waive the application of subsection (b) to a foreign air carrier licensed by that foreign government at such time as an alternative prohibition negotiated under paragraph (2) becomes effective and is enforced by the Secretary.
                    </P>
                    <P>
                        (2) 
                        <E T="03">Alternative prohibition.</E>
                        —If, pursuant to paragraph (1), a foreign government objects to the prohibition under subsection (b), the Secretary shall enter into bilateral negotiations with the objecting foreign government to provide for an alternative smoking prohibition.
                    </P>
                    <P>
                        (d) 
                        <E T="03">Regulations.—</E>
                        The Secretary shall prescribe such regulations as are necessary to carry out this section.
                    </P>
                </EXTRACT>
                <P>
                    On June 9, 2000, the Department amended 14 CFR part 252, titled Smoking Aboard Aircraft, to implement section 41706. 
                    <E T="03">See</E>
                     65 FR 36772. As a result, part 252 today bans the smoking of tobacco products on all scheduled passenger flights of air carriers, and on all scheduled passenger flight segments of foreign air carriers between points in the U.S. and between the U.S. and foreign points. Foreign air carriers may request and obtain a waiver from this requirement provided that an alternative smoking prohibition resulting from bilateral negotiations is in effect. Part 252 also addresses smoking on charter flights. It permits carriers operating single entity charters to allow smoking throughout the aircraft but requires a no-smoking section for each class of service on other charter flights where smoking is not banned.
                </P>
                <P>Electronic cigarettes were introduced into the market in recent years. Because of the increasing promotion and availability of electronic cigarettes the issue has been raised as to whether the statutory ban on smoking in section 41706 and existing regulatory prohibition on the smoking of tobacco products in part 252 apply to electronic cigarettes. The Department views the statutory and regulatory ban on smoking to be sufficiently broad to include the use of electronic cigarettes. While we view the statutory ban on smoking in section 41706 to cover electronic cigarettes as the statutory authority for this NPRM, we are, nonetheless, not solely relying on section 41706, which prohibits smoking aboard aircraft, but also another statute, as was true when we amended Part 252 to implement section 41706. This statute, 49 U.S.C. 41702, mandates that an air carrier shall provide safe and adequate interstate air transportation. We invite all interested persons to comment.</P>
                <HD SOURCE="HD1">Notice of Proposed Rulemaking</HD>
                <P>This NPRM proposes to amend part 252 to define smoking as the smoking of tobacco products or use of electronic cigarettes that are designed to deliver nicotine or other substances to a user in the form of a vapor. The Department does not intend for the definition to include the use of a device such as a nebulizer that delivers a medically beneficial substance to a user in the form of a vapor. Typically electronic cigarettes, also called “e-cigarettes,” are designed to look like traditional cigarettes. E-cigarettes are sometimes also made to look like cigars and pipes, and even everyday products such as pens.</P>
                <P>Studies show thousands of people use electronic cigarettes daily, and the products generate an estimated $100 million annually in sales. Some are marketed as being permissible in places where cigarette use is prohibited. Through Congressional correspondence, anecdotal evidence, and online sources, including blogs, the Department has been made aware that some airline passengers have used or have attempted to use electronic cigarettes on board commercial flights. This NPRM proposes an explicit ban on the use of electronic cigarettes that would apply to all forms of the products, including but not limited to: Electronic cigars, pipes, and devices designed to look like everyday products such as pens and USB memory sticks.</P>
                <P>
                    The Department views its current regulatory ban on smoking of tobacco products on passenger flights to be sufficiently broad to include the use of electronic cigarettes. The recent decision by the U.S. Court of Appeals for the DC Circuit, 
                    <E T="03">Sottera, Inc.</E>
                     v. 
                    <E T="03">Food &amp; Drug Administration,</E>
                     627 F.3d 891 (D.C. Cir. 2010), supports the Department's view that electronic cigarettes are often tobacco products. In that decision, the Court held that e-cigarettes and other products made or derived from tobacco can be regulated as “tobacco products” under the Family Smoking Prevention and Tobacco Control Act of 2009 (Tobacco Control Act). The Tobacco Control Act broadly defines tobacco products as extending to “any product made or derived from tobacco.” However, if the products are marketed for therapeutic purposes, the court determined that they will then be regulated as drugs and/or devices under the Food, Drug, and Cosmetic Act.
                </P>
                <P>The Department is proposing in this NPRM to explicitly ban the use of electronic cigarettes on aircraft as there has been some confusion over whether the Department's ban on smoking of tobacco products includes a ban on use of electronic cigarettes. We see no reason to treat electronic cigarettes any differently than traditional cigarettes. The purpose behind the statutory ban on smoking aboard aircraft and the regulatory ban in part 252 on smoking tobacco products was to improve air quality within the aircraft, reduce the risk of adverse health effects on passengers and crewmembers, and enhance aviation safety and passenger comfort. Electronic cigarettes are generally designed to look like and to be used in the same manner as conventional cigarettes. Although a vapor, rather than smoke, is produced, the products require an inhalation and exhalation similar to smoking cigarettes. We are unaware of sufficient studies on the health impact on third parties from these vapors to conclude that they would not negatively impact the air quality within the aircraft and/or increase the risk of adverse health effects on passengers and crewmembers.</P>
                <P>
                    Each e-cigarette consists of three parts: The replaceable cartridge, which most often contains liquid nicotine but may contain other chemicals, the atomizer or heating element, and the battery and electronics. See 
                    <E T="03">Sottera Inc.</E>
                     v. 
                    <E T="03">Food &amp; Drug Administration,</E>
                     627 F.3d 891, 893 (D.C. Cir 2010). The 
                    <PRTPAGE P="57010"/>
                    atomizer or heating element vaporizes the liquid inside the cartridge, and the battery and electronics power the atomizer and monitor air flow. 
                    <E T="03">Id.</E>
                     When the user inhales, the electronics detect the air flow and activate the atomizer, the liquid nicotine is vaporized, and the user inhales the vapor. 
                    <E T="03">Id.</E>
                </P>
                <P>
                    Some electronic cigarette companies have claimed that their products are safe because they reportedly do not contain carcinogens or tar or produce second-hand smoke, as there is no combustion in their use. According to these arguments, while the vapor looks and feels, and may taste, like smoke produced by burning traditional tobacco products, its chemistry differs from the smoke produced from burning conventional tobacco products. The principal liquid ingredient is propylene glycol, which is widely used as a moistening food additive and an aid to vaporization. However, some research, conducted on non-asthmatic people, has shown that exposure to propylene glycol mist from artificial smoke generators may cause acute ocular and upper airway irritation, and in a few cases people reacted with cough and slight airway obstruction. See G Wieslander, D Norbäck, and T Lindgren, “Experimental exposure to propylene glycol mist in aviation emergency training: Acute ocular and respiratory effects,” 
                    <E T="03">Occupational and Environmental Medicine</E>
                     2001; 58:649-655. Further, in a recent 
                    <E T="03">New England Journal of Medicine</E>
                     article, “E-Cigarette or Drug-Delivery Device? Regulating Novel Nicotine Products,” it was noted that the safety of inhaling propylene glycol has not been studied in humans. 365;3: 193-95.
                </P>
                <P>
                    Researchers at the University of California, Riverside, published a study on December 7, 2010, in which they evaluated five electronic cigarette brands. See Anna Trtchounian &amp; Prue Talbot, “Electronic nicotine delivery systems: Is there a need for regulation?” 
                    <E T="03">Tobacco Control,</E>
                     December 7, 2010. The study found design flaws, lack of adequate labeling, and concerns over quality control and health issues with respect to the products. One primary observation was that electronic cigarette cartridges leak, which could expose nicotine to children, adults, and the environment. The study concluded that electronic cigarettes are potentially harmful and should be removed from the market until their safety can be adequately evaluated. Moreover, the 
                    <E T="03">New England Journal of Medicine</E>
                     article discussed above echoed some of these concerns, noting that testing of cartridges revealed poor quality control, marked variability in nicotine content, as well as significant deviations from the content claimed on the label. 365;3: 194-95.
                </P>
                <P>
                    Numerous public health experts also have voiced concerns over electronic cigarettes. Reacting to the University of California, Riverside, study, a research administrator from the University of California Tobacco-Related Disease Research Program stated, “More research on e-cigarettes is crucially needed to protect the health of e-cigarette users and even those who do not use e-cigarettes. Contrary to the claims of the manufacturers and marketers of e-cigarettes being `safe,' in fact nothing is known about the toxicity of the vapors generated by these e-cigarettes.” See ScienceDaily.com, “Electronic Cigarettes are Unsafe and Pose Health Risks, Study Finds, 
                    <E T="03">http://www.sciencedaily.com/releases/2010/12/101203141932.htm</E>
                     (last visited Mar. 8, 2011). The American Legacy Foundation issued a statement in May 2009 stating, “We do not yet know all of the ingredients in these products and, accordingly, the impact of those ingredients on the health of people who `smoke' e-cigarettes or the people around them.” A December 2010 editorial in the 
                    <E T="03">American Journal of Public Health</E>
                     called for removal of e-cigarettes from the market, pending rigorous safety testing.
                </P>
                <P>We note that Amtrak has banned the use of electronic smoking devices on trains and in any area where smoking is prohibited, the Air Force Surgeon General issued a memorandum highlighting the safety concerns regarding electronic cigarettes and placed them in the same category as tobacco products, and the U.S. Navy has banned them below decks in submarines. Moreover, several states have taken steps to ban either the sale or use of electronic cigarettes, in the absence of federal regulation.</P>
                <P>The purpose behind the statutory ban on smoking aboard aircraft and the regulatory ban in Part 252 on smoking tobacco products was to improve air quality within the aircraft, reduce the risk of adverse health effects on passengers and crewmembers, and enhance aviation safety and passenger comfort. The object of the proposed rule is to prevent introduction of a new potential source of contamination to the cabin environment that could potentially endanger the welfare of nonsmokers who are now protected from all such exposure. Consistent with this underlying purpose, we are proposing this NPRM. There is a lack of scientific data and knowledge with respect to the ingredients in electronic cigarettes. The quantity and toxicity of exhaled vapors have not been studied. Releasing a vapor that may contain harmful substances or respiratory irritants in a confined space, especially to those who are at a higher risk, is contrary to the purpose and intent of the statutory and regulatory ban on smoking aboard aircraft.</P>
                <P>In light of the unknown health risks with the use of electronic cigarettes by individuals who “smoke” them or the people around them and the growing availability and use of electronic cigarettes, the Department is proposing this amendment to Part 252 to explicitly ban the use of electronic cigarettes aboard aircraft. The Department seeks comments on the following: (1) Whether the definition of “smoking” in the proposed rule text is too broad in that it may unintentionally include otherwise permissible medical devices that produce a vapor; (2) concerns over, and benefits of, the proposal to clarify the prohibition in Part 252 to explicitly cover electronic cigarettes; and (3) any other information or data that are relevant to the Department's decision.</P>
                <P>
                    The Department is also considering whether to extend the ban on smoking (including electronic cigarettes) to charter flights of air carriers and foreign air carriers between points in the U.S. and between the U.S. and any foreign point with aircraft that have a designed seating capacity of 19 or more passenger seats. Under the current part 252, air carriers operating single-entity charters may permit smoking throughout the aircraft (
                    <E T="03">i.e.,</E>
                     they are not required to have a no-smoking section) if such a request is made by the charterer, provided that each passenger on such flights is given notice of the smoking procedures for the flight at the time he or she first makes arrangements to take the flight. 
                    <E T="03">See</E>
                     14 CFR 252.19. Part 252 permits air carriers to allow smoking on other types of charter flights as long as the following is provided: (1) A no-smoking section for each class of service, (2) a sufficient number of seats in each no-smoking section to accommodate all persons in that class of service who desire to be seated in that section, (3) expansion of no-smoking sections to meet passenger demand, and (4) special provisions to ensure that if a no-smoking section is placed between smoking sections, the nonsmoking passengers are not unreasonably burdened. 
                    <E T="03">See</E>
                     14 CFR 252.7. The Department is considering banning smoking on charter flights with 19 or more passenger seats in part out of concern about the health effects of second hand smoke on flight attendants aboard such flights. For aircraft with fewer than 19 passenger seats, no flight 
                    <PRTPAGE P="57011"/>
                    attendant is required. 
                    <E T="03">See</E>
                     14 CFR 121.391, 14 CFR 125.269, and 14 CFR 135.107. The Department seeks comment on the benefits and drawbacks of extending the smoking ban to charter flights of U.S. and foreign carriers between the U.S. and any foreign point with aircraft that have a seating capacity of 19 or more. We invite all interested persons to comment on the issues raised in this notice.
                </P>
                <P>
                    We note that we are not addressing in this rulemaking any other safety-related issues that may exist with the use of electronic cigarettes aboard aircraft (
                    <E T="03">e.g.,</E>
                     possible interference with the navigation or communication systems of the aircraft or potential hazards associated with the batteries that power electronic cigarettes). In addition to the Office of the Secretary, the Federal Aviation Administration regulates smoking aboard aircraft. The FAA, under its safety mandate, has rules to address the safety problems that can develop when people on board aircraft violate the statutory ban on smoking and try to conceal their smoking. The FAA rules also address passenger information signs and passenger briefings used to inform passengers of the smoking prohibition. 
                    <E T="03">See</E>
                     14 CFR 121.317, 14 CFR 129.29, and 14 CFR 135.127. Our final action will be based on the comments and supporting evidence filed in this docket and on our own analysis.
                </P>
                <HD SOURCE="HD1">Regulatory Analyses and Notices</HD>
                <HD SOURCE="HD2">A. Executive Order 12866 (Regulatory Planning and Review) and DOT Regulatory Policies and Procedures</HD>
                <P>This action has been determined to be significant under Executive Order 12866 and the Department of Transportation's Regulatory Policies and Procedures. It has been reviewed by the Office of Management and Budget under that Order. We find that the benefits of the proposal exceed its costs.</P>
                <P>In 2009, there were a total of 73 U.S. carriers and 101 foreign air carriers providing service covered by the present rule. In total, these carriers operated 782 million passenger departures. These passengers and carriers and their employees have all benefited from protection by the existing rule against the injurious effects of secondhand smoke. They have also benefited from inclusion of e-cigarettes in the smoking prohibition to the extent that exhaled vapors may be harmful (whether or not including components of nicotine). The proposed rule would offer incremental benefits in limiting potential pollution resulting from the mistaken supposition that e-cigarettes are not covered by the current no-smoking rules. As the market for these devices expands, the number of misinformed passengers and the difficulty of reducing confusion over the use of these devices would likely grow without this rulemaking.</P>
                <P>Costs of enforcement should be negligible at this time. By making the prohibition explicit and public, the Department will relieve carriers of much of the burden of policing violations and explaining the rule to passengers who mistakenly believe that use of e-cigarettes is allowed. The present system for notifying passengers of the prohibition should need little modification, although notice that e-cigarettes are not exempt might be appropriate at certain times, either orally or otherwise. While a small fraction of passengers may suffer from nicotine withdrawal, they would still have access to alternative methods of nicotine replacement such as gum or patches that do not release contaminants into the environment.</P>
                <HD SOURCE="HD2">B. Regulatory Flexibility Act</HD>
                <P>Pursuant to section 605 of the Regulatory Flexibility Act (RFA), 5 U.S.C. 605(b), as amended by the Small Business Regulatory Enforcement and Fairness Act of 1996 (SBREFA), DOT certifies that this rulemaking will not have a significant economic impact on a substantial number of small entities. The NPRM would impose no new duties or obligations on small entities.</P>
                <HD SOURCE="HD2">C. Executive Order 13132 (Federalism)</HD>
                <P>This action will not have a substantial direct effect 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, and therefore will not have federalism implications.</P>
                <HD SOURCE="HD2">D. Executive Order 13084</HD>
                <P>This notice has been analyzed in accordance with the principles and criteria contained in Executive Order 13084 (“Consultation and Coordination with Indian Tribal Governments”). Because the provision on which we are seeking comment would not significantly or uniquely affect the communities of the Indian tribal governments or impose substantial direct compliance costs on them, the funding and consultation requirements of Executive Order 13084 do not apply.</P>
                <HD SOURCE="HD2">E. Paperwork Reduction Act</HD>
                <P>
                    The Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501 
                    <E T="03">et seq.</E>
                    ) requires that DOT consider the impact of paperwork and other information collection burdens imposed on the public and, under the provisions of PRA section 3507(d), obtain approval from the Office of Management and Budget (OMB) for each collection of information it conducts, sponsors, or requires through regulations. DOT has determined that there are no information collection requirements associated with this NPRM.
                </P>
                <HD SOURCE="HD2">F. Unfunded Mandates Reform Act</HD>
                <P>The Department has determined that the requirements of Title II of the Unfunded Mandates Reform Act of 1995 do not apply to this rulemaking.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 14 CFR Part 252</HD>
                    <P>Air carriers, Aircraft, Consumer protection, Foreign air carriers, smoking.</P>
                </LSTSUB>
                <SIG>
                    <DATED>Issued this 2nd day of September 2011, in Washington, DC.</DATED>
                    <NAME>Susan L. Kurland,</NAME>
                    <TITLE>Assistant Secretary for Aviation and International Affairs.</TITLE>
                </SIG>
                <P>For the reasons set forth in the preamble, the Department proposes to amend 14 CFR part 252 as follows:</P>
                <PART>
                    <HD SOURCE="HED">PART 252—[AMENDED]</HD>
                    <P>1. The authority citation for 14 CFR Part 252 continues to read as follows:</P>
                    <AUTH>
                        <HD SOURCE="HED">Authority:</HD>
                        <P>Pub. L. 101-164; 49 U.S.C. 40102, 40109, 40113, 41701, 41702, 41706, as amended by section 708 of Pub. L 106-181, 41711, and 46301.</P>
                    </AUTH>
                    <P>2. Section 252.1 is revised to read as follows:</P>
                    <SECTION>
                        <SECTNO>§ 252.1 </SECTNO>
                        <SUBJECT>Purpose.</SUBJECT>
                        <P>This part implements a ban on smoking on air carrier and foreign air carrier flights in scheduled intrastate, interstate and foreign air transportation. It also addresses smoking on charter flights. Nothing in this part shall be deemed to require air carriers or foreign air carriers to permit smoking aboard aircraft.</P>
                        <P>3. Section 252.3 is revised to read as follows:</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 252.3 </SECTNO>
                        <SUBJECT>Definitions.</SUBJECT>
                        <P>As used in this part:</P>
                        <P>
                            <E T="03">Air carrier</E>
                             means a carrier that is a citizen of the United States undertaking to provide air transportation as defined in 49 U.S.C. 40102.
                        </P>
                        <P>
                            <E T="03">Foreign air carrier</E>
                             means a carrier that is not a citizen of the United States undertaking to provide foreign air transportation as defined in 49 U.S.C. 40102.
                        </P>
                        <P>
                            <E T="03">No-smoking section and</E>
                              
                            <E T="03">no-smoking area</E>
                             means an area where smoking of tobacco products or use of electronic cigarettes and similar products that are 
                            <PRTPAGE P="57012"/>
                            designed to deliver nicotine or other substances to a user in the form of a vapor is prohibited.
                        </P>
                        <P>
                            <E T="03">Smoking</E>
                             means the smoking of tobacco products or use of electronic cigarettes and similar products designed to deliver nicotine or other substances to a user in the form of a vapor. It does not include the use of a device such as a nebulizer that delivers a medically beneficial substance to a user in the form of a vapor.
                        </P>
                        <P>4. Section 252.4 is added to read as follows:</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 252.4 </SECTNO>
                        <SUBJECT>Smoking ban: air carriers.</SUBJECT>
                        <P>Air carriers shall prohibit smoking on all scheduled passenger flights.</P>
                        <P>5. Section 252.8 is revised to read as follows:</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>§ 252.8 </SECTNO>
                        <SUBJECT>Extent of smoking restrictions.</SUBJECT>
                        <P>The restrictions on smoking described in §§ 252.4 through 252.7 shall apply to all locations within the aircraft.</P>
                    </SECTION>
                </PART>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23673 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-9X-P</BILCOD>
        </PRORULE>
        <PRORULE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF JUSTICE</AGENCY>
                <SUBAGY>Bureau of Prisons</SUBAGY>
                <CFR>28 CFR Part 524</CFR>
                <DEPDOC>[BOP-AB60-P]</DEPDOC>
                <RIN>RIN 1120-AB60</RIN>
                <SUBJECT>Progress Reports Rules Revision</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Bureau of Prisons, Justice.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Proposed rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>In this document, the Bureau of Prisons (Bureau) proposes to remove from regulations and/or modify two types of progress reports: Transfer reports and triennial reports.</P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments are due by November 14, 2011.</P>
                </EFFDATE>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit comments to the Rules Unit, Office of General Counsel, Bureau of Prisons, 320 First Street, NW., Washington, DC 20534. You may view an electronic version of this rule at 
                        <E T="03">http://www.regulations.gov.</E>
                         You may also comment via the Internet to the Bureau at 
                        <E T="03">BOPRULES@BOP.gov</E>
                         or by using the 
                        <E T="03">http://www.regulations.gov</E>
                         comment form for this regulation. When submitting comments electronically you must include the BOP Docket No. in the subject box.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Sarah Qureshi, Office of General Counsel, Bureau of Prisons, phone (202) 307-2105.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">Posting of Public Comments</HD>
                <P>
                    Please note that all comments received are considered part of the public record and made available for public inspection online at 
                    <E T="03">http://www.regulations.gov.</E>
                     Such information includes personal identifying information (such as your name, address, 
                    <E T="03">etc.</E>
                    ) voluntarily submitted by the commenter.
                </P>
                <P>
                    If you want to submit personal identifying information (such as your name, address, 
                    <E T="03">etc.</E>
                    ) as part of your comment, but do not want it to be posted online, you must include the phrase “Personal Identifying Information” in the first paragraph of your comment. You must also locate all the personal identifying information you do not want posted online in the first paragraph of your comment and identify what information you want redacted.
                </P>
                <P>
                    If you want to submit confidential business information as part of your comment but do not want it to be posted online, you must include the phrase “Confidential Business Information” in the first paragraph of your comment. You must also prominently identify confidential business information to be redacted within the comment. If a comment has so much confidential business information that it cannot be effectively redacted, all or part of that comment may not be posted on 
                    <E T="03">http://www.regulations.gov.</E>
                </P>
                <P>Personal identifying information identified and located as set forth above will be placed in the agency's public docket file, but not posted online. Confidential business information identified and located as set forth above will not be placed in the public docket file. If you wish to inspect the agency's public docket file in person by appointment, please see the “For Additional Information” paragraph.</P>
                <P>In this document, the Bureau proposes to remove from regulations and/or modify two types of progress reports: Transfer reports and triennial reports.</P>
                <P>Section 524.41, entitled “Types of progress reports,” lists several types of progress reports prepared for non-Bureau entities, such as for parole hearings, pre-release, final (prepared 90 days before an inmate's release to a term of supervision), and for other reasons (such as upon court request or a clemency review). The current regulations also identify two types of progress reports that were primarily intended for internal Bureau purposes: Those prepared when inmates transfer to community confinement or another institution, and those prepared triennially if not more frequently done for any other reason.</P>
                <P>
                    <E T="03">Transfer Reports.</E>
                     The current regulations define “transfer report” as one prepared on an inmate recommended and/or approved for transfer to community confinement or to another institution and whose progress has not been summarized within the previous 180 days. The Bureau proposes to modify this definition to indicate that transfer reports will only be prepared on inmates transferring to non-Bureau facilities.
                </P>
                <P>Current Bureau practice and advances in technology have obviated the need to prepare a specific paper report when an inmate is transferred between Bureau facilities. When an inmate is transferred, all pertinent information regarding the progress of an inmate being transferred has already been updated in the Bureau's computer system, which staff may access at all Bureau facilities and in community confinement. It is, therefore, unnecessary for a separate and specific progress report to be prepared by staff at the transferring Bureau facility for staff at the receiving Bureau facility, when receiving facility staff can easily access this information themselves.</P>
                <P>However, when an inmate is transferring outside the Bureau, to a state facility, non-Bureau community confinement, or other non-Bureau facility, staff at that facility may not have access to the Bureau's computer system. Therefore, it would be necessary for Bureau staff to prepare a transfer report detailing an inmate's progress in the Bureau facility for the benefit of staff at the non-Bureau facility.</P>
                <P>
                    <E T="03">Triennial Reports.</E>
                     The Bureau also proposes to delete triennial reports as a type of progress report. Current regulations state that a progress report will be prepared on each designated inmate at least once every 36 months if not previously generated for another reason.
                </P>
                <P>Before the development of this internal Bureau computer information network, triennial reports were a necessary tool used to provide staff with specific inmate information. As explained above, however, current Bureau practice and advances in technology have obviated the need to prepare a specific progress report every 36 months, because all information regarding an inmate's progress is continually updated in the Bureau's computer system, which staff may access at all Bureau facilities.</P>
                <HD SOURCE="HD1">Executive Order 12866</HD>
                <P>
                    This rule falls within a category of actions that the Office of Management 
                    <PRTPAGE P="57013"/>
                    and Budget (OMB) has determined not to constitute “significant regulatory actions” under section 3(f) of Executive Order 12866 and, accordingly, it was not reviewed by OMB.
                </P>
                <HD SOURCE="HD1">Executive Order 13132</HD>
                <P>This regulation will not have substantial direct effects on the States, on the relationship between the national government and the States, or on distribution of power and responsibilities among the various levels of government. Therefore, under Executive Order 13132, we determine that this rule does not have sufficient federalism implications to warrant the preparation of a Federalism Assessment.</P>
                <HD SOURCE="HD1">Regulatory Flexibility Act</HD>
                <P>The Director of the Bureau of Prisons, under the Regulatory Flexibility Act (5 U.S.C. 605(b)), reviewed this regulation and by approving it certifies that it will not have a significant economic impact upon a substantial number of small entities for the following reasons: This rule pertains to the correctional management of offenders committed to the custody of the Attorney General or the Director of the Bureau of Prisons, and its economic impact is limited to the Bureau's appropriated funds.</P>
                <HD SOURCE="HD1">Unfunded Mandates Reform Act of 1995</HD>
                <P>This rule will not result in the expenditure by State, local and tribal governments, in the aggregate, or by the private sector, of $100,000,000 or more in any one year, and it will not significantly or uniquely affect small governments. Therefore, no actions were deemed necessary under the provisions of the Unfunded Mandates Reform Act of 1995.</P>
                <HD SOURCE="HD1">Small Business Regulatory Enforcement Fairness Act of 1996</HD>
                <P>This rule is not a major rule as defined by section 804 of the Small Business Regulatory Enforcement Fairness Act of 1996. This rule will not result in an annual effect on the economy of $100,000,000 or more; a major increase in costs or prices; or significant adverse effects on competition, employment, investment, productivity, innovation, or on the ability of United States-based companies to compete with foreign-based companies in domestic and export markets.</P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 28 CFR Part 524</HD>
                    <P>Prisoners.</P>
                </LSTSUB>
                <SIG>
                    <NAME>Thomas R. Kane,</NAME>
                    <TITLE>Acting Director, Bureau of Prisons.</TITLE>
                </SIG>
                <P>Under rulemaking authority vested in the Attorney General in 5 U.S.C. 552(a) and delegated to the Director, Bureau of Prisons, we propose to amend 28 CFR part 524 as set forth below.</P>
                <PART>
                    <HD SOURCE="HED">PART 524—CLASSIFICATION OF INMATES</HD>
                </PART>
                <SUBCHAP>
                    <HD SOURCE="HED">SUBCHAPTER B—INMATE ADMISSION, CLASSIFICATION, AND TRANSFER</HD>
                </SUBCHAP>
                <P>1. The authority citation for 28 CFR part 524 continues to read as follows:</P>
                <AUTH>
                    <HD SOURCE="HED">Authority:</HD>
                    <P> 5 U.S.C. 301; 18 U.S.C. 3521-3528, 3621, 3622, 3624, 4001, 4042, 4046, 4081, 4082 (Repealed in part as to offenses committed on or after November 1, 1987), 5006-5024 (Repealed October 12, 1984 as to offenses committed after that date), 5039; 21 U.S.C. 848; 28 U.S.C. 509, 510.</P>
                </AUTH>
                <P>2. In § 524.41, remove paragraphs (d) and (e), redesignate paragraph (f) as paragraph (e), and add a new paragraph (d) to read as follows: </P>
                <SECTION>
                    <SECTNO>§ 524.41</SECTNO>
                    <SUBJECT>Types of progress reports.</SUBJECT>
                    <STARS/>
                    <P>
                        (d) 
                        <E T="03">Transfer report</E>
                        —prepared on an inmate transferring to any non-Bureau facility.
                    </P>
                    <STARS/>
                </SECTION>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23687 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-05-P</BILCOD>
        </PRORULE>
        <PRORULE>
            <PREAMB>
                <AGENCY TYPE="N">EQUAL EMPLOYMENT OPPORTUNITY COMMISSION</AGENCY>
                <CFR>29 CFR Part 1602</CFR>
                <RIN>RIN 3046-AA89</RIN>
                <SUBJECT>Recordkeeping and Reporting Requirements Under Title VII, the ADA, and GINA</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Equal Employment Opportunity Commission. </P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Proposed rule: Cancellation of hearing.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>Notice is hereby given that the Commission is cancelling the public hearing on the above proposed modifications of its recordkeeping and reporting provisions under title VII, the ADA, and GINA. (76 FR 31892, June 2, 2011). No requests to present oral testimony at a hearing concerning the proposed rule were received from the public. Further, the Commission received only one public comment in response to the June 2 notice, and the commenter expressed support for the proposed changes. Therefore, it will not be necessary to hold the hearing.</P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Thomas J. Schlageter, Assistant Legal Counsel, (202) 663-4668, or Erin N. Norris, Senior Attorney, (202) 663-4876, Office of Legal Counsel, 131 M Street, NE., Washington, DC 20507.</P>
                    <SIG>
                        <DATED>Dated: September 8, 2011.</DATED>
                        <P>For the Commission.</P>
                        <NAME>Jacqueline A. Berrien,</NAME>
                        <TITLE>Chair.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23601 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6570-01-P</BILCOD>
        </PRORULE>
        <PRORULE>
            <PREAMB>
                <AGENCY TYPE="N">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                <CFR>40 CFR Part 52</CFR>
                <DEPDOC>[EPA-R03-OAR-2011-0511; FRL-9462-7]</DEPDOC>
                <SUBJECT>Approval and Promulgation of Air Quality Implementation Plans; West Virginia; Revised Motor Vehicle Emission Budgets for the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-Hour Ozone Maintenance Areas</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Environmental Protection Agency (EPA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Proposed rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        EPA proposes to approve the State Implementation Plan (SIP) revision submitted by the State of West Virginia for the purpose of amending the 8-hour ozone maintenance plan for the Charleston, Huntington, Parkersburg, Weirton, and Wheeling 8-hour ozone maintenance areas. This revision amends the maintenance plans' 2009 and 2018 motor vehicle emissions budgets (MVEBs) by reallocating a portion of the plans' safety margins which results in an increase in the MVEBs. In the Final Rules section of this 
                        <E T="04">Federal Register</E>
                        , EPA is approving the State's SIP submittal as a direct final rule without prior proposal because the Agency views this as a noncontroversial submittal and anticipates no adverse comments. A detailed rationale for the approval is set forth in the direct final rule. If no adverse comments are received in response to this action, no further activity is contemplated. If EPA receives adverse comments, the direct final rule will be withdrawn and all public comments received will be addressed in a subsequent final rule based on this proposed rule. EPA will not institute a second comment period. Any parties interested in commenting on this action should do so at this time.
                    </P>
                </SUM>
                <EFFDATE>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments must be received in writing by October 17, 2011.</P>
                </EFFDATE>
                <ADD>
                    <PRTPAGE P="57014"/>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Submit your comments, identified by Docket ID Number EPA-R03-OAR-2007-0511 by one of the following methods:</P>
                    <P>
                        A. 
                        <E T="03">http://www.regulations.gov.</E>
                         Follow the on-line instructions for submitting comments.
                    </P>
                    <P>
                        B. 
                        <E T="03">E-mail: fernandez.cristina@epa.gov.</E>
                    </P>
                    <P>
                        C. 
                        <E T="03">Mail:</E>
                         EPA-R03-OAR-2011-0511, Cristina Fernandez, Associate Director, Office of Air Program Planning, Mailcode 3AP30, U.S. Environmental Protection Agency, Region III, 1650 Arch Street, Philadelphia, Pennsylvania 19103.
                    </P>
                    <P>
                        D. 
                        <E T="03">Hand Delivery:</E>
                         At the previously-listed EPA Region III address. Such deliveries are only accepted during the Docket's normal hours of operation, and special arrangements should be made for deliveries of boxed information.
                    </P>
                    <P>
                        <E T="03">Instructions:</E>
                         Direct your comments to Docket ID No. EPA-R03-OAR-2007-0511. EPA's policy is that all comments received will be included in the public docket without change, and may be made available online at
                        <E T="03"> http://www.regulations.gov,</E>
                         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 
                        <E T="03">http://www.regulations.gov</E>
                         or e-mail. The 
                        <E T="03">http://www.regulations.gov</E>
                         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 e-mail comment directly to EPA without going through 
                        <E T="03">http://www.regulations.gov,</E>
                         your e-mail 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.
                    </P>
                    <P>
                        <E T="03">Docket:</E>
                         All documents in the electronic docket are listed in the 
                        <E T="03">http://www.regulations.gov</E>
                         index. Although listed in the index, some information is not publicly available, 
                        <E T="03">i.e.,</E>
                         CBI or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on the Internet and will be publicly available only in hard copy form. Publicly available docket materials are available either electronically in 
                        <E T="03">http://www.regulations.gov</E>
                         or in hard copy during normal business hours at the Air Protection Division, U.S. Environmental Protection Agency, Region III, 1650 Arch Street, Philadelphia, Pennsylvania 19103. Copies of the State submittal are available at the West Virginia Department of Environmental Protection, Division of Air Quality, 601 57th Street, SE., Charleston, West Virginia 25304.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Martin Kotsch, (215) 814-3335, or by e-mail at 
                        <E T="03">kotsch.martin@epa.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    For further information, please see the information provided in the direct final action, with the same title, that is located in the Rules and Regulations section of this 
                    <E T="04">Federal Register</E>
                     publication. Please note that if EPA receives adverse comment on an amendment, paragraph, or section of this rule and if that provision may be severed from the remainder of the rule, EPA may adopt as final those provisions of the rule that are not the subject of an adverse comment.
                </P>
                <SIG>
                    <DATED>Dated: August 29, 2011.</DATED>
                    <NAME> W.C. Early,</NAME>
                    <TITLE>Acting Regional Administrator, Region III. </TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23262 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6560-50-P</BILCOD>
        </PRORULE>
        <PRORULE>
            <PREAMB>
                <AGENCY TYPE="N">NATIONAL AERONAUTICS AND SPACE ADMINISTRATION</AGENCY>
                <CFR>48 CFR Part 1852</CFR>
                <RIN>RIN 2700-AD70</RIN>
                <SUBJECT>Award Fee for Service and End-Item Contracts</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Aeronautics and Space Administration.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Proposed rule.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>NASA proposes to revise the NASA FAR Supplement (NFS) to update the Award Fee for Service Contracts clause (NFS 1852.216-76) to clarify that the amount of award fee held in reserve, if any, shall not exceed $100,000 for the contract. The purpose of this reserve is to protect the Government's interests relative to an orderly and timely closeout of the contract. In addition, the Award Fee for End Item Contracts clause (NFS 1852.216-77) is being updated to add language similar to that contained in the Award Fee for Service Contracts clause to allow the contracting officer to withhold fee payments, at a not to exceed amount of $100,000 for the contract, to protect the Government's interests relative to an orderly and timely closeout of the contract.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Interested parties should submit comments to NASA at the address below on or before November 14, 2011 to be considered in formulation of the final rule.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Interested parties may submit comments to include any comments relative to the cost associated with complying with this requirement, identified by RIN number 2700-AD70, via the Federal eRulemaking Portal: 
                        <E T="03">http://www.regulations.gov.</E>
                         Follow the instructions for submitting comments. Comments may also be submitted to Bill Roets, NASA Headquarters, Office of Procurement, Contract Management Division, Washington, DC 20546. Comments may also be submitted by e-mail to 
                        <E T="03">william.roets-1@nasa.gov.</E>
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Bill Roets, NASA, Office of Procurement, Contract Management Division (Suite 5G86); (202) 358-4483; e-mail: 
                        <E T="03">william.roets-1@nasa.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">A. Background</HD>
                <P>In accordance with FAR 16.406(e), the NFS clause 1852.216-76 was created and required for all solicitations and contracts when an award fee contract was contemplated and the contract deliverable was the performance of a service. This clause delineates the award fee evaluation and payment process that will be followed in the contract. NASA is updating this clause to clarify that the amount of withheld award fee shall not exceed $100,000 for the contract revising paragraph (d) of 1852.216-76. As currently written, the clause specifies a not to exceed of 15 percent of the contract's potential award fee, and on large multi-million dollar procurements, this reserve could total millions of dollars which would be excessive for the intended purpose of this reserve. By capping this reserve at $100,000, NASA will set the appropriate maximum dollar amount for this potential reserve and will align this clause with similar language in FAR clauses 52.216-8, Fixed-Fee, and 52.216-10, Incentive Fee.</P>
                <P>
                    Similar language relative to withholding a reserve amount of fee, not to exceed $100,000, to protect the Government's interests relative to an orderly and timely closeout of the contract, is also being added to the 
                    <PRTPAGE P="57015"/>
                    Award Fee for End Items clause (NFS 1852.216-77).
                </P>
                <HD SOURCE="HD1">B. Executive Orders 12866 and 13563</HD>
                <P>Executive Orders (E.O.s) 12866 and 13563 direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). E.O. 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. This rule is not a major rule under 5 U.S.C. 804.</P>
                <HD SOURCE="HD1">C. Regulatory Flexibility Act</HD>
                <P>
                    NASA certifies that this proposed rule will not have a significant economic impact on a substantial number of small entities within the meaning of the Regulatory Flexibility Act, 5 U.S.C. 601 
                    <E T="03">et seq.,</E>
                     because it merely updates, for clarification purposes, the maximum amount of award fee that can be withheld on a contract which will provide a benefit to all entities both large and small. In addition, award fee contracts are largely the province of large businesses with large dollar contracts and the changes promulgated in this proposed rule do not directly affect the current business processes of Federal contractors.
                </P>
                <HD SOURCE="HD1">D. Paperwork Reduction Act</HD>
                <P>
                    The Paperwork Reduction Act (Pub. L. 104-13) is not applicable because the NFS changes do not impose information collection requirements that require the approval of the Office of Management and Budget under 44 U.S.C. 3501, 
                    <E T="03">et seq.</E>
                </P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects in 48 CFR Part 1852</HD>
                    <P>Government procurement.</P>
                </LSTSUB>
                <SIG>
                    <NAME>William P. McNally,</NAME>
                    <TITLE>Assistant Administrator for Procurement.</TITLE>
                </SIG>
                <P>Accordingly, 48 CFR part 1852 is proposed to be amended as follows:</P>
                <P>1. The authority citation for 48 CFR part 1852 continues to read as follows:</P>
                <AUTH>
                    <HD SOURCE="HED">Authority:</HD>
                    <P> 42 U.S.C. 2455(a), 2473(c)(1).</P>
                </AUTH>
                <PART>
                    <HD SOURCE="HED">PART 1852—SOLICITATION PROVISIONS AND CONTRACT CLAUSES</HD>
                    <P>2. Section 1852.216-76 is revised to read as follows:</P>
                    <SECTION>
                        <SECTNO>1852.216-76 </SECTNO>
                        <SUBJECT>Award Fee for Service Contracts.</SUBJECT>
                        <P>As prescribed in 1816.406-70(a), insert the following clause:</P>
                        <EXTRACT>
                            <HD SOURCE="HD1">AWARD FEE FOR SERVICE CONTRACTS (XX/XX)</HD>
                            <P>(a) The contractor can earn award fee from a minimum of zero dollars to the maximum stated in NASA FAR Supplement clause 1852.216-85, “Estimated Cost and Award Fee” in this contract. </P>
                            <P>
                                (b) Beginning 6* months after the effective date of this contract, the Government shall evaluate the Contractor's performance every 6* months to determine the amount of award fee earned by the contractor during the period. The Contractor may submit a self-evaluation of performance for each evaluation period under consideration. These self-evaluations will be considered by the Government in its evaluation. The Government's Fee Determination Official (FDO) will determine the award fee amounts based on the Contractor's performance in accordance with 
                                <E T="03">[identify performance evaluation plan].</E>
                                 The plan may be revised unilaterally by the Government prior to the beginning of any rating period to redirect emphasis. 
                            </P>
                            <P>
                                (c) The Government will advise the Contractor in writing of the evaluation results. The 
                                <E T="03">[insert payment office]</E>
                                 will make payment based on 
                                <E T="03">[Insert method of authorizing award fee payment, e.g., issuance of unilateral modification by contracting officer].</E>
                            </P>
                            <P>(d) The Contracting Officer may direct the withholding of earned award fee payments until a reserve is set aside in an amount that the Contracting Officer considers necessary to protect the Government's interest relative to an orderly and timely closeout of the contract. This reserve shall not exceed 15 percent of the contract's total potential award fee or $100,000, whichever is less. </P>
                            <P>
                                (e) The amount of award fee which can be awarded in each evaluation period is limited to the amounts set forth at 
                                <E T="03">[identify location of award fee amounts].</E>
                                 Award fee which is not earned in an evaluation period cannot be reallocated to future evaluation periods. 
                            </P>
                            <P>
                                (f)(1) Provisional award fee payments 
                                <E T="03">[insert “will” or “will not”, as applicable]</E>
                                 be made under this contract pending the determination of the amount of fee earned for an evaluation period. If applicable, provisional award fee payments will be made to the Contractor on a 
                                <E T="03">[insert the frequency of provisional payments (not more often than monthly)]</E>
                                 basis. The total amount of award fee available in an evaluation period that will be provisionally paid is the lesser of [Insert a percent not to exceed 80 percent] or the prior period's evaluation score. 
                            </P>
                            <P>(2) Provisional award fee payments will be superseded by the final award fee evaluation for that period. If provisional payments exceed the final evaluation score, the Contractor will either credit the next payment voucher for the amount of such overpayment or refund the difference to the Government, as directed by the Contracting Officer. </P>
                            <P>(3) If the Contracting Officer determines that the Contractor will not achieve a level of performance commensurate with the provisional rate, payment of provisional award fee will be discontinued or reduced in such amounts as the Contracting Officer deems appropriate. The Contracting Officer will notify the Contractor in writing if it is determined that such discontinuance or reduction is appropriate. </P>
                            <P>
                                (4) Provisional award fee payments 
                                <E T="03">[insert “will” or “will not”, as appropriate]</E>
                                 be made prior to the first award fee determination by the Government. 
                            </P>
                            <P>(g) Award fee determinations are unilateral decisions made solely at the discretion of the Government.</P>
                            <P>* [A period of time greater or lesser than 6 months may be substituted in accordance with 1816.405-272(a).]</P>
                            <FP>(End of clause)</FP>
                        </EXTRACT>
                        <P>3. Section 1852.216-77 is revised to read as follows:</P>
                    </SECTION>
                    <SECTION>
                        <SECTNO>1852.216-77</SECTNO>
                        <SUBJECT>Award Fee for End Item Contracts.</SUBJECT>
                        <P>As prescribed in 1816.406-70(b), insert the following clause:</P>
                        <EXTRACT>
                            <HD SOURCE="HD1">AWARD FEE FOR END ITEM CONTRACTS (XX/XX)</HD>
                            <P>(a) The contractor can earn award fee, or base fee, if any, from a minimum of zero dollars to the maximum stated in NASA FAR Supplement clause 1852.216-85, “Estimated Cost and Award Fee” in this contract. All award fee evaluations, with the exception of the last evaluation, will be interim evaluations. At the last evaluation, which is final, the Contractor's performance for the entire contract will be evaluated to determine total earned award fee. No award fee or base fee will be paid to the Contractor if the final award fee evaluation is “poor/unsatisfactory.” </P>
                            <P>
                                (b) Beginning 6* months after the effective date of this contract, the Government will evaluate the Contractor's interim performance every 6* months to monitor Contractor performance prior to contract completion and to provide feedback to the Contractor. The evaluation will be performed in accordance with 
                                <E T="03">[identify performance evaluation plan]</E>
                                 to this contract. The Contractor may submit a self-evaluation of performance for each period under consideration. These self-evaluations will be considered by the Government in its evaluation. The Government will advise the Contractor in writing of the evaluation results. The plan may be revised unilaterally by the Government prior to the beginning of any rating period to redirect emphasis. 
                            </P>
                            <P>
                                (c)(1) Base fee, if applicable, will be paid in 
                                <E T="03">[Insert “monthly”, or less frequent period]</E>
                                 installments based on the percent of completion of the work as determined by the Contracting Officer. 
                            </P>
                            <P>
                                (2) Interim award fee payments will be made to the Contractor based on each interim evaluation. The amount of the interim award fee payment is limited to the lesser of the interim evaluation score or 80 percent of the fee allocated to that period 
                                <E T="03">less</E>
                                 any provisional payments made during the period. All interim award fee payments will be superseded by the final award fee determination. 
                            </P>
                            <P>
                                (3) Provisional award fee payments will 
                                <E T="03">[insert “not” if applicable]</E>
                                 be made under this contract pending each interim evaluation. If applicable, provisional award 
                                <PRTPAGE P="57016"/>
                                fee payments will be made to the Contractor on a 
                                <E T="03">[insert the frequency of provisional payments (not more often than monthly)</E>
                                 basis. The amount of award fee which will be provisionally paid in each evaluation period is limited to 
                                <E T="03">[Insert a percent not to exceed 80 percent]</E>
                                 of the prior interim evaluation score (see 
                                <E T="03">[insert applicable cite]</E>
                                ). Provisional award fee payments made each evaluation period will be superseded by the interim award fee evaluation for that period. If provisional payments made exceed the interim evaluation score, the Contractor will either credit the next payment voucher for the amount of such overpayment or refund the difference to the Government, as directed by the Contracting Officer. If the Government determines that (i) The total amount of provisional fee payments will apparently 
                                <E T="03">substantially</E>
                                 exceed the anticipated final evaluation score, or (ii) the prior interim evaluation is “poor/unsatisfactory,” the Contracting Officer will direct the suspension or reduction of the future payments and/or request a prompt refund of excess payments as appropriate. Written notification of the determination will be provided to the Contractor with a copy to the Deputy Chief Financial Officer (Finance).
                            </P>
                            <P>(4) All interim (and provisional, if applicable) fee payments will be superseded by the fee determination made in the final award fee evaluation. The Government will then pay the Contractor, or the Contractor will refund to the Government the difference between the final award fee determination and the cumulative interim (and provisional, if applicable) fee payments. If the final award fee evaluation is “poor/unsatisfactory,” any base fee paid will be refunded to the Government. </P>
                            <P>
                                (5) Payment of base fee, if applicable, will be made based on submission of an invoice by the Contractor. Payment of award fee will be made by the 
                                <E T="03">[insert payment office]</E>
                                 based on 
                                <E T="03">[Insert method of making award fee payment, e.g., issuance of a unilateral modification by the Contracting Officer].</E>
                            </P>
                            <P>(d) The Contracting Officer may direct the withholding of interim award fee payments until a reserve is set aside in an amount that the Contracting Officer considers necessary to protect the Government's interest relative to an orderly and timely closeout of the contract. This reserve shall not exceed 15 percent of the contracts total potential award fee or $100,000, whichever is less. </P>
                            <P>(e) Award fee determinations are unilateral decisions made solely at the discretion of the Government.</P>
                            <P>* [A period of time greater or lesser than 6 months may be substituted in accordance with 1816.405-272(a).]</P>
                            <FP>(End of clause)</FP>
                        </EXTRACT>
                    </SECTION>
                </PART>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23703 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7510-01-P</BILCOD>
        </PRORULE>
    </PRORULES>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Notices</UNITNAME>
    <NOTICES>
        <NOTICE>
            <PREAMB>
                <PRTPAGE P="57017"/>
                <AGENCY TYPE="F">DEPARTMENT OF AGRICULTURE</AGENCY>
                <SUBJECT>Submission for OMB Review; Comment Request</SUBJECT>
                <DATE>September 12, 2011.</DATE>
                <P>
                    The Department of Agriculture has submitted the following information collection requirement(s) to OMB for review and clearance under the Paperwork Reduction Act of 1995, Public Law 104-13. Comments regarding (a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency's estimate of burden including the validity of the methodology and assumptions used; (c) ways to enhance the quality, utility and clarity of the information to be collected; (d) ways to minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology should be addressed to: Desk Officer for Agriculture, Office of Information and Regulatory Affairs, Office of Management and Budget (OMB), 
                    <E T="03">OIRA_Submission@OMB.EOP.gov</E>
                     or fax (202) 395-5806 and to Departmental Clearance Office, USDA, OCIO, Mail Stop 7602, Washington, DC 20250-7602. Comments regarding these information collections are best assured of having their full effect if received within 30 days of this notification. Copies of the submission(s) may be obtained by calling (202) 720-8958.
                </P>
                <P>An agency may not conduct or sponsor a collection of information unless the collection of information displays a currently valid OMB control number and the agency informs potential persons who are to respond to the collection of information that such persons are not required to respond to the collection of information unless it displays a currently valid OMB control number.</P>
                <HD SOURCE="HD1">Animal and Plant Health Inspection Service</HD>
                <P>
                    <E T="03">Title:</E>
                     NAHMS Emergency Epidemiologic Investigations.
                </P>
                <P>
                    <E T="03">OMB Control Number:</E>
                     0579-0376.
                </P>
                <P>
                    <E T="03">Summary of Collection:</E>
                     Collection and dissemination of animal health data and information is mandated by 7 U.S.C. 391, the Animal Industry Act of 1884, which established the precursor of the Animal and Plant Health Inspection Service (APHIS), Veterinary Services, the Bureau of Animal Industry. Legal requirements for examining and reporting on animal disease control methods were further mandated by 7 U.S.C. 8308, 8314 of the Animal Health Protection Act, “Detection, Control, and Eradication of Disease and Pests,” May 13, 2002. Emergency epidemiologic investigations will allow Veterinary Services Officials to rapidly implement prevention and control measures, keep the public informed to reduce fear or panic, and keep international markets open by informing trading partners.
                </P>
                <P>
                    <E T="03">Need and Use of the Information:</E>
                     The primary objective of the National Animal Health Monitoring System's (NAHMS) emergency epidemiologic investigations is to provide for the prevention and control of animal disease conditions and protect the U.S. livestock population from the introduction and spread of domestic, emerging, zoonotic, and foreign animal disease. APHIS will collect information using a questionnaire or telephone interview or direct interview. APHIS will use the data collected to (1) Identify the scope of the problem, (2) Define and describe the affected population and the susceptible population, (3) Predict or detect trends in disease occurrence and movement, (4) Understand the risk factors for disease, (5) Estimate the cost of disease control and develop intervention options, (6) Provide parameters for mathematical models of animal disease to evaluate potential control scenarios, (7) Make recommendation for disease control, (8) Provide lessons learned and guidance on the best methods to avoid future outbreaks, and (9) Identify areas for further research, 
                    <E T="03">e.g.</E>
                     mechanisms of disease transfer, vaccine technology, and diagnostic testing needs.
                </P>
                <P>
                    <E T="03">Description of Respondents:</E>
                     Business or other for-profit.
                </P>
                <P>
                    <E T="03">Number of Respondents:</E>
                     3,000.
                </P>
                <P>
                    <E T="03">Frequency of Responses:</E>
                     Reporting: On occasion;
                </P>
                <P>
                    <E T="03">Total Burden Hours:</E>
                     2,175.
                </P>
                <SIG>
                    <NAME>Ruth Brown,</NAME>
                    <TITLE>Departmental Information Collection Clearance Officer.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23660 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3410-34-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>International Trade Administration</SUBAGY>
                <DEPDOC>[A-570-827]</DEPDOC>
                <SUBJECT>Certain Cased Pencils From the People's Republic of China: Notice of Court Decision Not in Harmony With Final Results of Administrative Review and Notice of Amended Final Results of Administrative Review Pursuant to Court Decision</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Import Administration, International Trade Administration, Department of Commerce.</P>
                </AGY>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        On August 30, 2011, the United States Court of International Trade (“CIT”) sustained the Department of Commerce's (“the Department”) results of redetermination as applied to respondent Shandong Rongxin Import &amp; Export Co., Ltd. (“Rongxin”) pursuant to the CIT's remand order in 
                        <E T="03">Shandong Rongxin Import &amp; Export Co., Ltd.</E>
                         v. 
                        <E T="03">United States,</E>
                         Court No. 09-00316, Slip Op. 11-45 (Ct. Int'l Trade April 21, 2011) (“
                        <E T="03">Shandong Rongxin I”</E>
                        ). 
                        <E T="03">See</E>
                         Final Results of Redetermination Pursuant to Remand, Court No. 09-00316, dated August 4, 2011, available at http://ia.ita.doc.gov/remands (“Second Remand Results”); 
                        <E T="03">Shandong Rongxin Import &amp; Export Co., Ltd.</E>
                         v. 
                        <E T="03">United States,</E>
                         Court No. 09-00316, Slip Op. 11-105 (Ct. Int'l Trade August 30, 2011) (“
                        <E T="03">Shandong Rongxin II”</E>
                        ). Consistent with the decision of the United States Court of Appeals for the Federal Circuit (“CAFC”) in 
                        <E T="03">Timken Co.</E>
                         v. 
                        <E T="03">United States,</E>
                         893 F.2d 337 (Fed. Cir. 1990) (“
                        <E T="03">Timken”</E>
                        ), as clarified by 
                        <E T="03">Diamond Sawblades Mfrs. Coalition</E>
                         v. 
                        <E T="03">United States,</E>
                         626 F.3d 1374 (Fed. Cir. 2010) (“
                        <E T="03">Diamond Sawblades”</E>
                        ), the Department is notifying the public that the final judgment in this case is not in harmony with the Department's final determination and is amending the final 
                        <PRTPAGE P="57018"/>
                        results of the administrative review of the antidumping duty order on certain cased pencils (“pencils”) from the People's Republic of China covering the period of review (“POR”) of December 1, 2006, through November 30, 2007 with respect to Rongxin. 
                        <E T="03">See Certain Cased Pencils from the People's Republic of China: Final Results and Partial Rescission of Antidumping Duty Administrative Review,</E>
                         74 FR 33406 (July 13, 2009) (“
                        <E T="03">Final Results”</E>
                        ) and accompanying Issues and Decision Memorandum (“I&amp;D Memorandum”), as amended by 
                        <E T="03">Certain Cased Pencils from the People's Republic of China: Amended Final Results of Antidumping Duty Administrative Review,</E>
                         74 FR 45177 (September 1, 2009).
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Effective Date:</E>
                         September 9, 2011
                    </P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Alexander Montoro or Nancy Decker, AD/CVD Operations, Office 1, Import Administration—International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Washington, DC, 20230; telephone (202) 482-0238 or (202) 482-0196.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">Background</HD>
                <P>
                    On July 13, 2009, the Department published its 
                    <E T="03">Final Results.</E>
                     In the 
                    <E T="03">Final Results,</E>
                     the Department valued lindenwood pencil slats used by the respondent Rongxin with publicly available, published U.S. prices for American basswood lumber. 
                    <E T="03">See Final Results</E>
                     and accompanying I&amp;D Memorandum at Comment 4a. In 
                    <E T="03">China First Pencil Co., Ltd.</E>
                     v. 
                    <E T="03">United States,</E>
                     721 F. Supp. 2d 1369 (Ct. Int'l Trade 2010) (“
                    <E T="03">China First”</E>
                    ), the CIT determined that the Department's surrogate value for pencils slats used in the 
                    <E T="03">Final Results</E>
                     was unsupported by substantial evidence and was not in accordance with law. The CIT remanded the Department to recalculate a surrogate value for pencil slats using data from “Paper and Stationery,” an Indian trade publication. 
                    <E T="03">See China First,</E>
                     721 F. Supp. 2d at 1375-77. On first remand, the Department used “Paper and Stationery” data to recalculate the surrogate value for pencil slats. 
                    <E T="03">See</E>
                     Final Results of Redetermination Pursuant to Remand, Consol. Court No. 09-00325, dated December 20, 2010, at 3-4, available at 
                    <E T="03">http://ia.ita.doc.gov/remands</E>
                     (“First Remand Results”). This redetermination on slats was sustained with respect to Rongxin in 
                    <E T="03">Shangdong Rongxin I.</E>
                </P>
                <P>
                    Also in the 
                    <E T="03">Final Results,</E>
                     the Department valued black and color cores for Rongxin using World Trade Atlas data. 
                    <E T="03">See Final Results</E>
                     and accompanying I&amp;D Memorandum at Comment 4b. In 
                    <E T="03">China First,</E>
                     the CIT determined that the Department's surrogate value for cores used in the 
                    <E T="03">Final Results</E>
                     was unsupported by substantial evidence and was not in accordance with law. The CIT remanded to the Department to identify separate surrogate values, supported by substantial evidence on the record, for black cores, color cores, thick black cores, and thick color cores. 
                    <E T="03">See China First,</E>
                     721 F. Supp. 2d at 1379-1380. On first remand, the Department used “Paper and Stationery” data to recalculate the surrogate value for black and color cores. 
                    <E T="03">See</E>
                     First Remand Results at 4-6. The Department's redetermination on cores was sustained in 
                    <E T="03">Shangdong Rongxin I.</E>
                </P>
                <P>
                    Additionally, in the 
                    <E T="03">Final Results,</E>
                     the Department calculated a surrogate wage value for Rongxin in accordance with the regression-based methodology set forth in 19 CFR 351.408(c)(3). 
                    <E T="03">See Final Results</E>
                     and accompanying I&amp;D Memorandum at Comment 3. In 
                    <E T="03">Dorbest Ltd.</E>
                     v. 
                    <E T="03">United States,</E>
                     604 F.3d 1363 (Fed. Cir. 2010) (“
                    <E T="03">Dorbest”</E>
                    ), the CAFC held that the Department's “{regression-based} method for calculating wage rates {as stipulated by 19 CFR 351.408(c)(3)} uses data not permitted by {the statutory requirements laid out in section 773 of the Tariff Act of 1930, as amended (“the Act”) (
                    <E T="03">i.e.</E>
                     19 U.S.C. 1677b(c))}.” 
                    <E T="03">Dorbest,</E>
                     604 F.3d at 1372. Specifically, the CAFC interpreted section 773(c) of the Act to require the use of data from market economy countries that are both economically comparable to the non-market economy country at issue and significant producers of the subject merchandise, unless such data are unavailable. Because the Department's regulation requires the Department to use data from economically dissimilar countries and from countries that do not produce comparable merchandise, the CAFC invalidated the Department's labor regulation at 19 CFR 351.408(c)(3). Following 
                    <E T="03">Dorbest,</E>
                     the Department requested a voluntary remand for its wage rate calculations for Rongxin in the 
                    <E T="03">Final Results.</E>
                     The CIT granted that request and in 
                    <E T="03">China First</E>
                     remanded the 
                    <E T="03">Final Results</E>
                     with instructions that the labor wage value be recalculated in accordance with the decision in 
                    <E T="03">Dorbest. See</E>
                      
                    <E T="03">China First,</E>
                     721 F. Supp. 2d at 1373.
                </P>
                <P>
                    On first remand, the Department adopted a wage calculation methodology with respect to Rongxin that averaged wages across countries that are both economically comparable and significant producers of merchandise comparable to the subject merchandise. 
                    <E T="03">See</E>
                     First Remand Results at 7-31. In 
                    <E T="03">Shandong Rongxin I,</E>
                     the CIT again remanded to the Department to address two issues concerning the surrogate value for labor applied with respect to Rongxin in the First Remand Results: (1) The Department's decision to omit certain labor data from its calculations because the data were reported under a previous revision of ISIC; 
                    <SU>1</SU>
                    <FTREF/>
                     and (2) the Department's methodology for determining whether a country is a significant producer of comparable merchandise within the meaning of section 773(c)(4) of the Act.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         The International Standard Industrial Classification of all Economic Activities (“ISIC”) is “a uniform, periodically updated system for the classification of economic activity, not unlike what the Harmonized Tariff Schedule is for the classification of imported merchandise.” 
                        <E T="03">See Shangdong Rongxin I,</E>
                         Slip Op. 11-45 at 7, n.3.
                    </P>
                </FTNT>
                <P>
                    On second remand, the Department revised its wage rate methodology to rely upon labor cost data from a single surrogate country. 
                    <E T="03">See</E>
                     Second Remand Results at 4-6 (citing 
                    <E T="03">Antidumping Methodologies in Proceedings Involving Non-Market Economies: Valuing the Factor of Production: Labor,</E>
                     76 FR 36092 (June 21, 2011)). Through this revised approach, the Department's redetermination resulted in a change to Rongxin's margin from 11.48 percent in the 
                    <E T="03">Final Results</E>
                     to 0.72 percent. The CIT sustained the Department's Second Remand Results in 
                    <E T="03">Shangdong Rongxin II.</E>
                </P>
                <HD SOURCE="HD1">Timken Notice</HD>
                <P>
                    In its decision in 
                    <E T="03">Timken,</E>
                     893 F.2d at 341, as clarified by 
                    <E T="03">Diamond Sawblades,</E>
                     the CAFC has held that, pursuant to section 516A(e) of the Act, the Department must publish a notice of a court decision that is not “in harmony” with a Department determination and must suspend liquidation of entries pending a “conclusive” court decision. The CIT's August 30, 2011 judgment sustaining the Department's remand redetermination with respect to Rongxin constitutes a final decision of that court that is not in harmony with the Department's 
                    <E T="03">Final Results.</E>
                     This notice is published in fulfillment of the publication requirements of 
                    <E T="03">Timken.</E>
                     Accordingly, the Department will continue the suspension of liquidation of the subject merchandise pending the expiration of the period of appeal or, if appealed, pending a final and conclusive court decision. The cash deposit rate will remain the company-specific rate established for the subsequent and most recent period during which the respondent was 
                    <PRTPAGE P="57019"/>
                    reviewed. 
                    <E T="03">See Certain Cased Pencils From the People's Republic of China: Final Results of the Antidumping Duty Administrative Review,</E>
                     76 FR 27988 (May 13, 2011).
                </P>
                <HD SOURCE="HD1">Amended Final Results</HD>
                <P>Because there is now a final court decision with respect to Rongxin, the revised dumping margin is as follows:</P>
                <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s25,9C">
                    <TTITLE> </TTITLE>
                    <BOXHD>
                        <CHED H="1">Exporter</CHED>
                        <CHED H="1">
                            Margin
                            <LI>(percent)</LI>
                        </CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">Shandong Rongxin Import &amp; Export Co., Ltd</ENT>
                        <ENT>0.72</ENT>
                    </ROW>
                </GPOTABLE>
                <P>In the event the CIT's ruling is not appealed or, if appealed, upheld by the CAFC, the Department will instruct U.S. Customs and Border Protection to assess antidumping duties on entries of the subject merchandise during the POR from Rongxin on the revised assessment rate calculated by the Department.</P>
                <P>This notice is issued and published in accordance with sections 516A(e)(1), 751(a)(1), and 777(i)(1) of the Act.</P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Ronald K. Lorentzen,</NAME>
                    <TITLE>Deputy Assistant Secretary for Import Administration.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23681 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-DS-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>International Trade Administration</SUBAGY>
                <DEPDOC>[A-427-801, A-428-801, A-475-801]</DEPDOC>
                <SUBJECT>Ball Bearings and Parts Thereof From France, Germany and Italy: Final Results of Sunset Reviews and Revocation of Antidumping Duty Orders</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Import Administration, International Trade Administration, Department of Commerce.</P>
                </AGY>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        On August 1, 2011, the Department of Commerce (the Department) initiated the sunset reviews of the antidumping duty orders on ball bearings and parts thereof from France, Germany, and Italy. See 
                        <E T="03">Initiation of Five-Year (“Sunset”) Review,</E>
                         76 FR 45778 (August 1, 2011) (
                        <E T="03">Initiation Notice</E>
                        ). Because no domestic interested party filed a notice of intent to participate in response to the notice of initiation of the sunset reviews by the applicable deadline, the Department is revoking the antidumping duty orders on ball bearings and parts thereof from France, Germany, and Italy.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Effective Date:</E>
                         September 15, 2011.
                    </P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Sandra Stewart at (202) 482-0768, AD/CVD Operations, Office 5, Import Administration, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Washington, DC 20230.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">Background</HD>
                <P>
                    On May 15, 1989, the Department published in the 
                    <E T="04">Federal Register</E>
                     the antidumping duty orders on ball bearings and parts thereof from France, Germany, and Italy. See 
                    <E T="03">Antidumping Duty Orders: Ball Bearings, Cylindrical Roller Bearings, Spherical Plain Bearings, and Parts Thereof From France,</E>
                     54 FR 20902 (May 15, 1989), 
                    <E T="03">Antidumping Duty Orders: Ball Bearings, Cylindrical Roller Bearings, and Spherical Plain Bearings and Parts Thereof From the Federal Republic of Germany,</E>
                     54 FR 20900 (May 15, 1989), and 
                    <E T="03">Antidumping Duty Orders: Ball Bearings and Cylindrical Roller Bearings, and Parts Thereof From Italy,</E>
                     54 FR 20903 (May 15, 1989).
                </P>
                <P>
                    On August 1, 2011, the Department initiated the sunset reviews of the antidumping duty orders on ball bearings and parts thereof from France, Germany, and Italy pursuant to section 751(c) of the Tariff Act of 1930, as amended (the Act). See 
                    <E T="03">Initiation Notice.</E>
                    <SU>1</SU>
                    <FTREF/>
                     We received no notice of intent to participate in response to the notice of initiation from domestic interested parties by the applicable deadline. See 19 CFR 351.218(d)(1)(i). As a result, the Department has concluded that no domestic party intends to participate in the sunset reviews. See 19 CFR 351.218(d)(1)(iii)(A). On August 24, 2011, we notified the International Trade Commission, in writing, that we intend to revoke the antidumping duty orders on ball bearings and parts thereof from France, Germany, and Italy. See 19 CFR 351.218(d)(1)(iii)(B)(2).
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         The Department inadvertently included two revoked antidumping duty orders in the 
                        <E T="03">Initiation Notice.</E>
                         See 
                        <E T="03">Initiation of Five-Year (“Sunset”) Review: Correction,</E>
                         76 FR 47149 (August 4, 2011).
                    </P>
                </FTNT>
                <HD SOURCE="HD1">Scope of the Orders</HD>
                <P>The products covered by the orders are ball bearings and parts thereof. These products include all antifriction bearings that employ balls as the rolling element. Imports of these products are classified under the following categories: antifriction balls, ball bearings with integral shafts, ball bearings (including radial ball bearings) and parts thereof, and housed or mounted ball bearing units and parts thereof.</P>
                <P>Imports of these products are classified under the following Harmonized Tariff Schedule of the United States (HTSUS) subheadings: 3926.90.45, 4016.93.10, 4016.93.50, 6909.19.50.10, 8414.90.41.75, 8431.20.00, 8431.39.00.10, 8482.10.10, 8482.10.50, 8482.80.00, 8482.91.00, 8482.99.05, 8482.99.35, 8482.99.25.80, 8482.99.65.95, 8483.20.40, 8483.20.80, 8483.30.40, 8483.30.80, 8483.50.90, 8483.90.20, 8483.90.30, 8483.90.70, 8708.50.50, 8708.60.50, 8708.60.80, 8708.93.30, 8708.93.60.00, 8708.99.06, 8708.99.31.00, 8708.99.40.00, 8708.99.49.60, 8708.99.58, 8708.99.80.15, 8708.99.80.80, 8803.10.00, 8803.20.00, 8803.30.00, 8803.90.30, 8803.90.90, 8708.30.50.90, 8708.40.75.70, 8708.40.75.80, 8708.50.79.00, 8708.50.89.00, 8708.50.91.50, 8708.50.99.00, 8708.70.60.60, 8708.80.65.90, 8708.93.75.00, 8708.94.75, 8708.95.20.00, 8708.99.55.00, 8708.99.68, and 8708.99.81.80.</P>
                <P>Although the HTSUS item numbers above are provided for convenience and customs purposes, the written descriptions of the scope of the orders remain dispositive.</P>
                <P>
                    The size or precision grade of a bearing does not influence whether the bearing is covered by one of the orders. The orders cover all the subject bearings and parts thereof (inner race, outer race, cage, rollers, balls, seals, shields, 
                    <E T="03">etc.</E>
                    ) outlined above with certain limitations. With regard to finished parts, all such parts are included in the scope of the orders. For unfinished parts, such parts are included if they have been heat-treated or if heat treatment is not required to be performed on the part. Thus, the only unfinished parts that are not covered by the orders are those that will be subject to heat treatment after importation. The ultimate application of a bearing also does not influence whether the bearing is covered by the orders. Bearings designed for highly specialized applications are not excluded. Any of the subject bearings, regardless of whether they may ultimately be utilized in aircraft, automobiles, or other equipment, are within the scope of the orders.
                </P>
                <P>
                    For a list of scope determinations which pertain to the orders, see the “Memorandum to Laurie Parkhill” regarding scope determinations for the 2009/2010 administrative reviews dated April 14, 2011, which is on file in the Central Records Unit (CRU) of the main Commerce building, room 7046, in the General Issues record (A-100-001).
                    <PRTPAGE P="57020"/>
                </P>
                <HD SOURCE="HD1">Revocation</HD>
                <P>
                    Pursuant to section 751(c)(3)(A) of the Act and 19 CFR 351.218(d)(1)(iii)(B)(3), if no domestic interested party files a notice of intent to participate, the Department shall issue a final determination revoking the order within 90 days of the initiation of the review. Because no domestic interested party filed a timely notice of intent to participate in the sunset reviews, the Department finds that no domestic interested party is participating in the sunset reviews. Therefore, we are revoking the antidumping duty orders on ball bearings and parts thereof from France, Germany, and Italy. The effective date of revocation is September 15, 2011, the fifth anniversary of the continuation of the antidumping duty orders. See 
                    <E T="03">Tapered Roller Bearings and Parts Thereof from the People's Republic of China and Ball Bearings and Parts Thereof from France, Germany, Italy, Japan, and the United Kingdom: Continuation of Antidumping Duty Orders,</E>
                     71 FR 54469 (September 15, 2006).
                </P>
                <P>Pursuant to section 751(c)(3)(A) of the Act and 19 CFR 351.222(i)(2)(i), the Department intends to issue instructions to U.S. Customs and Border Protection to terminate the suspension of liquidation of entries of the merchandise subject to the orders which were entered, or withdrawn from warehouse, for consumption on or after September 15, 2011. Entries of subject merchandise prior to September, 15, 2011, will continue to be subject to the suspension of liquidation and requirements for deposits of estimated antidumping duties. The Department will conduct administrative reviews of the orders with respect to subject merchandise entered prior to the effective date of revocation in response to appropriately filed requests for review.</P>
                <P>These final results of the five-year (sunset) reviews and notice are published in accordance with sections 751(c) and 777(i)(1) of the Act.</P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Ronald K. Lorentzen,</NAME>
                    <TITLE>Deputy Assistant Secretary for Import Administration.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23688 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-DS-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>International Trade Administration</SUBAGY>
                <DEPDOC>[A-583-008]</DEPDOC>
                <SUBJECT>Circular Welded Carbon Steel Pipes and Tubes From Taiwan: Notice of Partial Rescission of Antidumping Duty Administrative Review</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Import Administration, International Trade Administration, Department of Commerce.</P>
                </AGY>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>On June 28, 2011, the Department of Commerce (the Department) published a notice of initiation of an administrative review of the antidumping duty order on circular welded carbon steel pipes and tubes from Taiwan. The review covers eight firms. Based on a withdrawal of the requests for review of certain companies from United States Steel Corporation (Petitioner), we are now rescinding this administrative review with respect to six of those firms.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Effective Date:</E>
                         September 15, 2011.
                    </P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Steve Bezirganian or Robert James, AD/CVD Operations, Office 7, Import Administration, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue, NW., Washington, DC 20230; telephone: (202) 482-1131 or (202) 482-0649, respectively.</P>
                    <HD SOURCE="HD1">Background</HD>
                    <P>
                        On June 28, 2011, the Department published in the 
                        <E T="04">Federal Register</E>
                         a notice of initiation of an administrative review of the antidumping duty order on circular welded carbon steel pipes and tubes from Taiwan covering the period May 1, 2010, through April 30, 2011. 
                        <E T="03">See Initiation of Antidumping and Countervailing Duty Administrative Reviews and Request for Revocation in Part,</E>
                         76 FR 37781 (June 28, 2011). The review covers eight companies. The Petitioner was the sole party to request reviews of these eight companies.
                    </P>
                    <P>On August 8, 2011, the Petitioner withdrew its request for an administrative review for the following six companies: (1) E United Group; (2) Yieh Corp.; (3) Yieh Hsing Enterprise Co., Ltd.; (4) Far East Machinery Co. Ltd.; (5) Kao Hsing Chang Iron &amp; Steel Corp. (also known as Kao Hsiung Chang Iron &amp; Steel Corp.); and (6) Tension Steel Industries Co. Ltd.</P>
                    <HD SOURCE="HD1">Partial Rescission</HD>
                    <P>The applicable regulation, 19 CFR 351.213(d)(1), states that if a party that requested an administrative review withdraws the request within 90 days of the publication of the notice of initiation of the requested review, the Secretary will rescind the review. The Petitioner withdrew its review request with respect to six companies within the 90-day deadline, in accordance with 19 CFR 351.213(d)(1).</P>
                    <P>Therefore, in accordance with section 351.213(d)(1) of the Department's regulations, we are partially rescinding this review with respect to the following six companies: (1) E United Group; (2) Yieh Corp.; (3) Yieh Hsing Enterprise Co., Ltd.; (4) Far East Machinery Co. Ltd.; (5) Kao Hsing Chang Iron &amp; Steel Corp. (also known as Kao Hsiung Chang Iron &amp; Steel Corp.); and (6) Tension Steel Industries Co. Ltd. This review will continue with respect to Yieh Phui Enterprise Co., Ltd. and Chung Hung Steel Corp.</P>
                    <HD SOURCE="HD1">Assessment Instructions</HD>
                    <P>The Department will instruct U.S. Customs and Border Protection (CBP) to assess antidumping duties on all appropriate entries. For the companies for which this review is rescinded, antidumping duties shall be assessed at rates equal to the cash deposit of estimated antidumping duties required at the time of entry, or withdrawal from warehouse, for consumption, in accordance with 19 CFR 351.212(c)(1)(i). The Department intends to issue appropriate assessment instructions directly to CBP 15 days after publication of this notice.</P>
                    <HD SOURCE="HD1">Notification to Importers</HD>
                    <P>This notice serves as a final reminder to importers for whom this review is being rescinded of their responsibility under 19 CFR 351.402(f)(2) to file a certificate regarding the reimbursement of antidumping duties prior to liquidation of the relevant entries during this review period. Failure to comply with this requirement could result in the Secretary's presumption that reimbursement of the antidumping duties occurred and the subsequent assessment of double antidumping duties.</P>
                    <HD SOURCE="HD1">Notification Regarding Administrative Protective Orders</HD>
                    <P>
                        This notice also serves as a reminder to parties subject to administrative protective orders (APO) of their responsibility concerning the return or destruction of proprietary information disclosed under APO in accordance with 19 CFR 351.305, which continues to govern business proprietary information in this segment of the proceeding. Timely written notification of the return/destruction of APO 
                        <PRTPAGE P="57021"/>
                        materials or conversion to judicial protective order is hereby requested. Failure to comply with the regulations and terms of an APO is a violation which is subject to sanction.
                    </P>
                    <P>This notice is issued and published in accordance with section 777(i)(1) of the Tariff Act of 1930, as amended, and 19 CFR 351.213(d)(4).</P>
                    <SIG>
                        <DATED>Dated: September 7, 2011.</DATED>
                        <NAME>Christian Marsh,</NAME>
                        <TITLE>Deputy Assistant Secretary for Antidumping and Countervailing Duty Operations.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23685 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-DS-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>International Trade Administration</SUBAGY>
                <DEPDOC>[A-570-896]</DEPDOC>
                <SUBJECT>Magnesium Metal From the People's Republic of China: Rescission of Antidumping Duty Administrative Review</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Import Administration, International Trade Administration, Department of Commerce.</P>
                </AGY>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>September 15, 2011.</P>
                </DATES>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        On May 27, 2011, the U.S. Department of Commerce (“the Department”) published a notice of initiation of an administrative review of the antidumping duty order on magnesium metal from the People's Republic of China (“PRC”).
                        <SU>1</SU>
                        <FTREF/>
                         The review covers one manufacturer/exporter of subject merchandise from the PRC, Tianjin Magnesium International Co., Ltd. (“TMI”). The period of review (“POR”) is April 1, 2010 through March 31, 2011. Following the receipt of a certification of no shipments from TMI, and a subsequent no-shipment inquiry to U.S. Customs and Border Protection (“CBP”), on July 14, 2011, we notified all interested parties of the Department's intent to rescind this review and provided an opportunity to comment on the rescission.
                        <SU>2</SU>
                        <FTREF/>
                         We received no comments. Therefore, we are rescinding this administrative review.
                    </P>
                    <FTNT>
                        <P>
                            <SU>1</SU>
                             
                            <E T="03">See</E>
                              
                            <E T="03">Initiation of Antidumping and Countervailing Duty Administrative Reviews,</E>
                             76 FR 30912 (May 27, 2011) 
                            <E T="03">(“Initiation”</E>
                            ).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>2</SU>
                             
                            <E T="03">See</E>
                             Memorandum to the File, “Magnesium Metal from the People's Republic of China: Intent to Rescind the 2010-2011 Antidumping Duty Administrative Review of Magnesium Metal from the People's Republic of China—A-570-896,” dated July 14, 2011 (“Intent to Rescind Memorandum”).
                        </P>
                    </FTNT>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Laurel LaCivita, AD/CVD Operations, Office 8, Import Administration, International Trade Administration, U. S. Department of Commerce, 14th Street and Constitution Avenue, NW., Washington, DC 20230; 
                        <E T="03">telephone:</E>
                         (202) 482-4243.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">Background</HD>
                <P>
                    On April 1, 2011, the Department published a notice of opportunity to request an administrative review of the antidumping duty order on magnesium metal from the PRC for the period April 1, 2010 through March 31, 2011.
                    <SU>3</SU>
                    <FTREF/>
                     On May 2, 2011, U.S. Magnesium LLC (“U.S. Magnesium”), a domestic producer and Petitioner in the underlying investigation of this case, made a timely request that the Department conduct an administrative review of TMI.
                    <SU>4</SU>
                    <FTREF/>
                     On May 27, 2011, in accordance with section 751(a) of the Tariff Act of 1930, as amended (“the Act”), the Department published in the 
                    <E T="04">Federal Register</E>
                     a notice of initiation of this antidumping duty administrative review.
                    <SU>5</SU>
                    <FTREF/>
                     On June 14, 2011, TMI submitted a letter to the Department certifying that it did not export magnesium metal for sale in the United States during the POR and that it did not make entries of such merchandise into the United States during the POR.
                    <SU>6</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         
                        <E T="03">See</E>
                          
                        <E T="03">Antidumping or Countervailing Duty Order, Finding, or Suspended Investigation; Opportunity To Request Administrative Review,</E>
                         75 FR 16426 (April 1, 2010).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         
                        <E T="03">See</E>
                         letter from U.S. Magnesium, “Magnesium Metal from the People's Republic of China: Request for Administrative Review,” dated May 2, 2011.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         
                        <E T="03">See Initiation,</E>
                         76 FR at 30918.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         
                        <E T="03">See</E>
                         letter from TMI, “Magnesium Metal from the People's Republic of China; A-570-896; Certification of No Sales by Tianjin Magnesium International Co., Ltd.,” dated June 14, 2011.
                    </P>
                </FTNT>
                <P>
                    On June 20, 2011, the Department placed on the record information obtained in response to the Department's query to CBP concerning imports into the United States of subject merchandise during the POR.
                    <SU>7</SU>
                    <FTREF/>
                     This data indicates that there were no entries of subject merchandise during the POR that had been exported by TMI. In addition, on June 30, 2011, we notified CBP that we were in receipt of a no-shipment certification from TMI and requested CBP to report any contrary information within 10 days.
                    <SU>8</SU>
                    <FTREF/>
                     CBP did not report any contrary information.
                </P>
                <FTNT>
                    <P>
                        <SU>7</SU>
                         
                        <E T="03">See</E>
                         Memorandum to the File, “Magnesium Metal from the People's Republic of China; Transmittal of U.S. Customs and Border Protection Information to the File,” dated June 20, 2011, at Attachment I.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>8</SU>
                         
                        <E T="03">See</E>
                         CBP message number 1180301, “No Shipments Inquiry For Magnesium Metal From China Exported By Tianjin Magnesium International Co., Ltd. (“TMI”),” dated June 30, 2011.
                    </P>
                </FTNT>
                <P>On July 14, 2011, the Department notified interested parties of its intent to rescind this administrative review and gave parties until July 21, 2010, to provide comments. We did not receive any comments.</P>
                <HD SOURCE="HD2">Scope of the Order</HD>
                <P>The product covered by this antidumping duty order is magnesium metal from the PRC, which includes primary and secondary alloy magnesium metal, regardless of chemistry, raw material source, form, shape, or size. Magnesium is a metal or alloy containing by weight primarily the element magnesium. Primary magnesium is produced by decomposing raw materials into magnesium metal. Secondary magnesium is produced by recycling magnesium-based scrap into magnesium metal. The magnesium covered by this order includes blends of primary and secondary magnesium.</P>
                <P>
                    The subject merchandise includes the following alloy magnesium metal products made from primary and/or secondary magnesium including, without limitation, magnesium cast into ingots, slabs, rounds, billets, and other shapes; magnesium ground, chipped, crushed, or machined into rasping, granules, turnings, chips, powder, briquettes, and other shapes; and products that contain 50 percent or greater, but less than 99.8 percent, magnesium, by weight, and that have been entered into the United States as conforming to an “ASTM Specification for Magnesium Alloy” 
                    <SU>9</SU>
                    <FTREF/>
                     and are thus outside the scope of the existing antidumping orders on magnesium from the PRC (generally referred to as “alloy” magnesium).
                </P>
                <FTNT>
                    <P>
                        <SU>9</SU>
                         The meaning of this term is the same as that used by the American Society for Testing and Materials in its Annual Book for ASTM Standards: Volume 01.02 Aluminum and Magnesium Alloys.
                    </P>
                </FTNT>
                <P>
                    The scope of this order excludes: (1) All forms of pure magnesium, including chemical combinations of magnesium and other material(s) in which the pure magnesium content is 50 percent or greater, but less than 99.8 percent, by weight, that do not conform to an “ASTM Specification for Magnesium Alloy” 
                    <SU>10</SU>
                    <FTREF/>
                    ; (2) magnesium that is in liquid or molten form; and (3) mixtures containing 90 percent or less magnesium in granular or powder form by weight and one or more of certain non-magnesium granular materials to 
                    <PRTPAGE P="57022"/>
                    make magnesium-based reagent mixtures, including lime, calcium metal, calcium silicon, calcium carbide, calcium carbonate, carbon, slag coagulants, fluorspar, nephaline syenite, feldspar, alumina (Al203), calcium aluminate, soda ash, hydrocarbons, graphite, coke, silicon, rare earth metals/mischmetal, cryolite, silica/fly ash, magnesium oxide, periclase, ferroalloys, dolomite lime, and colemanite.
                    <SU>11</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>10</SU>
                         The material is already covered by existing antidumping orders. 
                        <E T="03">See Notice of Antidumping Duty Orders: Pure Magnesium from the People's Republic of China, the Russian Federation and Ukraine; Notice of Amended Final Determination of Sales at Less Than Fair Value: Antidumping Duty Investigation of Pure Magnesium from the Russian Federation,</E>
                         60 FR 25691 (May 12, 1995); and 
                        <E T="03">Antidumping Duty Order: Pure Magnesium in Granular Form from the People's Republic of China,</E>
                         66 FR 57936 (November 19, 2001).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>11</SU>
                         This third exclusion for magnesium-based reagent mixtures is based on the exclusion for reagent mixtures in the 2000-2001 investigations of magnesium from China, Israel, and Russia. 
                        <E T="03">See Final Determination of Sales at Less Than Fair Value: Pure Magnesium in Granular Form From the People's Republic of China,</E>
                         66 FR 49345 (September 27, 2001); 
                        <E T="03">Final Determination of Sales at Less Than Fair Value: Pure Magnesium From Israel,</E>
                         66 FR 49349 (September 27, 2001); 
                        <E T="03">Final Determination of Sales at Not Less Than Fair Value: Pure Magnesium From the Russian Federation,</E>
                         66 FR 49347 (September 27, 2001). These mixtures are not magnesium alloys, because they are not combined in liquid form and cast into the same ingot.
                    </P>
                </FTNT>
                <P>The merchandise subject to this order is classifiable under items 8104.19.00, and 8104.30.00 of the Harmonized Tariff Schedule of the United States (“HTSUS”). Although the HTSUS items are provided for convenience and customs purposes, the written description of the merchandise is dispositive.</P>
                <HD SOURCE="HD2">Rescission of the Administrative Review</HD>
                <P>Based upon the certifications and the evidence on the record, the Department finds TMI's claim of no shipments of subject merchandise to the United States during the POR to be substantiated. Pursuant to 19 CFR 351.213(d)(3), the Department may rescind an administrative review, in whole or with respect to a particular exporter or producer, if the Secretary concludes that, during the period covered by the review, there were no entries, exports, or sales of the subject merchandise. Therefore, the Department is rescinding this review in accordance with 19 CFR 351.213(d)(3). The Department intends to instruct CBP fifteen days after the publication of this notice to liquidate such entries. Antidumping duties shall be assessed at rates equal to the cash deposit of estimated antidumping duties required at the time of entry, or withdrawal from warehouse, for consumption, in accordance with 19 CFR 351.212(c)(2).</P>
                <P>We are issuing and publishing this notice in accordance with sections 751(a)(1) and 777(i) of the Act and 19 CFR 351.213(d)(4).</P>
                <SIG>
                    <DATED>Dated: September 6, 2011.</DATED>
                    <NAME>Christian Marsh,</NAME>
                    <TITLE>Deputy Assistant Secretary for Antidumping and Countervailing Duty Operations.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23691 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-DS-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>National Oceanic And Atmospheric Administration</SUBAGY>
                <SUBJECT>Coastal Zone Management Program: Illinois</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of Ocean and Coastal Resource Management (OCRM), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce (DOC).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of public hearing; request for public comments.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This notice provides information on a public hearing to be held by NOAA and the Illinois Department of Natural Resources (IDNR) in Chicago, Illinois. The hearing involves the scope and content of a Draft Environmental Impact Statement (DEIS) prepared by NOAA's Office of Ocean and Coastal Resource Management. The DEIS assesses the environmental impacts associated with approval of the Illinois Coastal Management Program (ICMP). This notice also announces the opening of the public comment period on the DEIS.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The agency must receive comments on or before October 31, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P SOURCE="NPAR">
                        • 
                        <E T="03">Public Hearing:</E>
                         The public hearing will be held October 14, 2011, starting at 1 p.m. CST, at the James R. Thompson Center, 100 W. Randolf Street, Room 9-040, Chicago, Illinois 60601.
                    </P>
                    <P>
                        • 
                        <E T="03">Written Comments:</E>
                         You may submit written comments concerning the DEIS by any one of the following methods:
                    </P>
                    <P>
                        • 
                        <E T="03">In Person:</E>
                         During the public hearing in Chicago, Illinois; or
                    </P>
                    <P>
                        • 
                        <E T="03">Mail:</E>
                         Diana Olinger, Coastal Program Specialist, OCRM/CPD, N/ORM3, Station 11204, 1305 East-West Highway, Silver Spring, MD 20910.
                    </P>
                    <P>
                        <E T="03">Instructions:</E>
                         OCRM encourages all interested parties to provide comments concerning the DEIS either orally at the public hearing, or in writing during the comment period, or both. Comments should be as specific as possible and include an analysis of the potential alternatives. This comment procedure is intended to ensure that substantive comments and concerns are made available to OCRM in a timely manner so that they may be addressed.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Diana Olinger, Coastal Program Specialist, National Oceanic and Atmospheric Administration, OCRM/CPD, N/ORM3, Station 11204, 1305 East-West Highway, Silver Spring, MD 20910, telephone (301) 563-1149, facsimile (301) 713-4367, e-mail 
                        <E T="03">Diana.Olinger@noaa.gov</E>
                        .
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    Illinois has submitted a coastal management program to NOAA for approval under the Coastal Zone Management Act (CZMA), 16 U.S.C. 1451, 
                    <E T="03">et. seq.</E>
                     The ICMP is the result of substantial efforts on the part of Federal, State, and local agencies, regional organizations, and public and private entities. Federal approval of the ICMP would make Illinois eligible for program administration grant funds and require Federal actions to be consistent with the federally-approved program.
                </P>
                <P>Upon finding that a state program has satisfied the requirements of the CZMA, NOAA is required to prepare a DEIS. The Council on Environmental Quality regulations to implement the National Environmental Policy Act (NEPA), 40 CFR parts 1500-1508, apply to the preparation of the DEIS. Specifically, section 1506.6 requires agencies to provide public notice of NEPA-related hearings and the availability of environmental documents. This notice is part of NOAA's effort to comply with those regulations.</P>
                <P>Copies of the DEIS are available by any one of the following methods:</P>
                <P>• Contact Diana Olinger, NOAA Coastal Program Specialist, at the address indicated above;</P>
                <P>
                    • OCRM's Web site: 
                    <E T="03">http://coastalmanagement.noaa.gov/mystate/il.html</E>
                    ; or
                </P>
                <P>
                    • Illinois Department of Natural Resource's Web site: 
                    <E T="03">http://www.dnr.illinois.gov/cmp/Pages/documentation/aspx.</E>
                </P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Donna Wieting,</NAME>
                    <TITLE>Director, Office of Ocean and Coastal Resource Management.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23626 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-08-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <PRTPAGE P="57023"/>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>National Oceanic and Atmospheric Administration</SUBAGY>
                <RIN>RIN 0648-XA702</RIN>
                <SUBJECT>Gulf of Mexico Fishery Management Council; Public Meeting</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Marine Fisheries Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Commerce.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Council to convene a public meeting.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Gulf of Mexico Fishery Management Council will convene a meeting of the Ad Hoc Reef Fish Limited Access Privilege Program (LAPP) Advisory Panel.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The meeting will be 9 a.m. to 5 p.m. on Thursday, October 6, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>The meeting will be held at the Gulf of Mexico Fishery Management Council, 2203 North Lois Avenue, Suite 1100, Tampa, FL 33607.</P>
                    <P>
                        <E T="03">Council address:</E>
                         Gulf of Mexico Fishery Management Council, 2203 N. Lois Avenue, Suite 1100, Tampa, FL 33607.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Dr. Assane Diagne, Economist; Gulf of Mexico Fishery Management Council; 
                        <E T="03">telephone:</E>
                         (813) 348-1630.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>The purpose of the meeting is to discuss management issues and potential pilot programs for the charter for-hire sector in the Gulf of Mexico. Issues to be discussed include the design, implementation, monitoring, review, and, evaluation of charter for-hire pilot programs.</P>
                <P>
                    Copies of the agenda and other related materials can be obtained by calling (813) 348-1630 or can be downloaded from the Council's ftp site, 
                    <E T="03">ftp.gulfcouncil.org.</E>
                </P>
                <P>Although other non-emergency issues not on the agenda may come before the Ad Hoc Reef Fish Limited Access Privilege Program Advisory Panel for discussion, in accordance with the Magnuson-Stevens Fishery Conservation and Management Act, those issues may not be the subject of formal action during this meeting. Actions of the Ad Hoc Reef Fish Limited Access Privilege Program Advisory Panel will be restricted to those issues specifically identified in the agenda and any issues arising after publication of this notice that require emergency action under Section 305(c) of the Magnuson-Stevens Fishery Conservation and Management Act, provided the public has been notified of the Council's intent to take action to address the emergency.</P>
                <HD SOURCE="HD1">Special Accommodations</HD>
                <P>
                    This meeting is physically accessible to people with disabilities. Requests for sign language interpretation or other auxiliary aids should be directed to Kathy Pereira at the Council (see 
                    <E T="02">ADDRESSES</E>
                    ) at least 5 working days prior to the meeting.
                </P>
                <SIG>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <NAME>Tracey L. Thompson,</NAME>
                    <TITLE>Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23644 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-22-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>National Oceanic and Atmospheric Administration</SUBAGY>
                <SUBJECT>National Sea Grant Advisory Board</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Oceanic and Atmospheric Administration, Commerce.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of public meeting.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        This notice sets forth the schedule and proposed agenda of a forthcoming meeting of the Sea Grant Advisory Board (Board). Board members will discuss and provide advice on the National Sea Grant College Program in the areas of program evaluation, strategic planning, education and extension, science and technology programs, and other matters as described in the agenda found on the National Sea Grant College Program Web site at 
                        <E T="03">http://www.seagrant.noaa.gov/leadership/advisory_board.html.</E>
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The announced meeting is scheduled 8 a.m.-4:30 p.m. E.S.T. Wednesday, September 28 and 8 a.m.-4 p.m. E.S.T. Thursday, September 29, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>The meeting will be held at University of Rhode Island's Graduate School of Oceanography, Narragansett Bay Campus, 215 South Ferry Road, Ocean Technology Center, Narragansett, RI 02882.</P>
                    <P>
                        <E T="03">Status:</E>
                         The meeting will be open to public participation with a 15-minute public comment period on Thursday, September 29 at 2:45 p.m. E.S.T. (check agenda on Web site to confirm time.) The Board expects that public statements presented at its meetings will not be repetitive of previously submitted verbal or written statements. In general, each individual or group making a verbal presentation will be limited to a total time of three (3) minutes. Written comments should be received by the Designated Federal Officer by September 19, 2011 to provide sufficient time for Board review. Written comments received after September 19, 2011, will be distributed to the Board, but may not be reviewed prior to the meeting date. Seats will be available on a first-come, first-served basis.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Ms. Elizabeth Ban, Designated Federal Officer, National Sea Grant College Program, National Oceanic and Atmospheric Administration, 1315 East-West Highway, Room 11843, Silver Spring, Maryland 20910, (301) 734-1082.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>The Board, which consists of a balanced representation from academia, industry, state government and citizens groups, was established in 1976 by Section 209 of the Sea Grant Improvement Act (Pub. L. 94-461, 33 U.S.C. 1128). The Board advises the Secretary of Commerce and the Director of the National Sea Grant College Program with respect to operations under the Act, and such other matters as the Secretary refers to them for review and advice.</P>
                <P>
                    The agenda for this meeting can be found at 
                    <E T="03">http://www.seagrant.noaa.gov/leadership/advisory_board.html.</E>
                </P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Mark E. Brown,</NAME>
                    <TITLE>Chief Financial Officer/Chief Administrative Officer, Office of Oceanic and Atmospheric Research, National Oceanic and Atmospheric Administration.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23670 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-KA-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF COMMERCE</AGENCY>
                <SUBAGY>National Oceanic and Atmospheric Administration (NOAA)</SUBAGY>
                <SUBJECT>Science Advisory Board</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of Oceanic and Atmospheric Research (OAR), National Oceanic and Atmospheric Administration (NOAA), Department of Commerce (DOC).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of public meeting.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This notice sets forth the schedule and proposed agenda of a forthcoming meeting of the NOAA Science Advisory Board. The members will discuss and provide advice on issues outlined in the section on Matters to be Considered.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">TIME and DATES:</HD>
                    <P> The meeting is scheduled for: Friday, September 30, from 3:15-5:15 p.m. Eastern Daylight Time.</P>
                </DATES>
                <ADD>
                    <PRTPAGE P="57024"/>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Conference call. Public access is available at: NOAA, SSMC 3, Room 11836, 1315 East-West Highway, Silver Spring, Md.</P>
                    <P>Status: The meeting will be open to public participation with a 5-minute public comment period from 5:05-5:10 p.m. The SAB expects that public statements presented at its meetings will not be repetitive of previously submitted verbal or written statements. In general, each individual or group making a verbal presentation will be limited to a total time of one minute. Written comments should be received in the SAB Executive Director's Office by September 26, 2011 to provide sufficient time for SAB review. Written comments received by the SAB Executive Director after September 26, 2011, will be distributed to the SAB, but may not be reviewed prior to the meeting date.</P>
                </ADD>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>The Science Advisory Board (SAB) was established by a Decision Memorandum dated September 25, 1997, and is the only Federal Advisory Committee with responsibility to advise the Under Secretary of Commerce for Oceans and Atmosphere on strategies for research, education, and application of science to operations and information services. SAB activities and advice provide necessary input to ensure that National Oceanic and Atmospheric Administration (NOAA) science programs are of the highest quality and provide optimal support to resource management.</P>
                <P>
                    Matters To Be Considered: The meeting will include the following topics: (1) Final Report from the Climate and Environmental Information Services Working Groups' Climate Partnership Task Force (2) Review of new members and renewal of member terms for the Environmental Information Services Working Group (3) Terms of Reference and Proposed Members for a Satellite Task Force (4) NOAA Request for SAB Review of the NOAA Research Enterprise and (5) NOAA Request for the Ecosystem Sciences and Management Working Group to vet reviewers for the National Marine Fisheries Science Centers. For the latest agenda, please visit the SAB Web site at 
                    <E T="03">http://www.sab.noaa.gov.</E>
                </P>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Dr. Cynthia Decker, Executive Director, Science Advisory Board, NOAA, Rm. 11230, 1315 East-West Highway, Silver Spring, Maryland 20910. (
                        <E T="03">Phone:</E>
                         301-734-1156, 
                        <E T="03">Fax:</E>
                         301-713-1459, 
                        <E T="03">E-mail: Cynthia.Decker@noaa.gov</E>
                        ).
                    </P>
                    <SIG>
                        <DATED>Dated: September 8, 2011.</DATED>
                        <NAME>Mark E. Brown,</NAME>
                        <TITLE>Chief Financial Officer/Chief Administrative Officer, Office of Oceanic and Atmospheric Research, National Oceanic and Atmospheric Administration.</TITLE>
                    </SIG>
                </FURINF>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23675 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3510-KD-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">CONSUMER PRODUCT SAFETY COMMISSION</AGENCY>
                <SUBJECT>Notice of Teleconference of the Chronic Hazard Advisory Panel on Phthalates and Phthalate Substitutes</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Consumer Product Safety Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of meeting.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The U.S. Consumer Product Safety Commission (“CPSC” or “Commission”) is announcing a teleconference of the Chronic Hazard Advisory Panel (CHAP) on phthalates and phthalate substitutes. The Commission appointed this CHAP to study the effects on children's health of all phthalates and phthalate alternatives as used in children's toys and child care articles, pursuant to section 108 of the Consumer Product Safety Improvement Act of 2008 (CPSIA) (Pub. L. 110-314). The CHAP will discuss its progress toward completing its analysis of potential risks from phthalates and phthalate substitutes.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        The teleconference will take place from 11:30 a.m. to 1 p.m. E.D.T. (4:30 p.m. to 6 p.m. British Summer Time or 15:30 to 17:00 G.M.T.) on Tuesday, September 20, 2011. Interested members of the public may listen to the CHAP's discussion. Members of the public will not have the opportunity to ask questions, comment, or otherwise participate in the teleconference. Interested parties should contact the CPSC project manager, Michael Babich, by e-mail (
                        <E T="03">mbabich@cpsc.gov</E>
                        ) for call-in instructions no later than Friday, September 16, 2011.
                    </P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        To request access to the teleconference, contact the project manager by e-mail at 
                        <E T="03">mbabich@cpsc.gov,</E>
                         no later than Friday, September 16, 2011. For all other questions, contact: Michael Babich, Directorate for Health Sciences, Consumer Product Safety Commission, Bethesda, MD 20814; telephone (301) 504-7253; e-mail 
                        <E T="03">mbabich@cpsc.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    Section 108 of the CPSIA permanently prohibits the sale of any “children's toy or child care article” containing more than 0.1 percent of each of three specified phthalates: Di- (2-ethylhexyl) phthalate (DEHP), dibutyl phthalate (DBP), and benzyl butyl phthalate (BBP). Section 108 of the CPSIA also prohibits, on an interim basis, the sale of any “children's toy that can be placed in a child's mouth” or “child care article” containing more than 0.1 percent of each of three additional phthalates: diisononyl phthalate (DINP), diisodecyl phthalate (DIDP), and di-
                    <E T="03">n</E>
                    -octyl phthalate (DnOP).
                </P>
                <P>Moreover, section 108 of the CPSIA requires the Commission to convene a CHAP “to study the effects on children's health of all phthalates and phthalate alternatives as used in children's toys and child care articles.” The CPSIA requires the CHAP to complete an examination of the full range of phthalates that are used in products for children and:</P>
                <P>• Examine all of the potential health effects (including endocrine disrupting effects) of the full range of phthalates;</P>
                <P>• Consider the potential health effects of each of these phthalates, both in isolation and in combination with other phthalates;</P>
                <P>• Examine the likely levels of children's, pregnant women's, and others' exposure to phthalates, based on a reasonable estimation of normal and foreseeable use and abuse of such products;</P>
                <P>• Consider the cumulative effect of total exposure to phthalates, both from children's products and from other sources, such as personal care products;</P>
                <P>• Review all relevant data, including the most recent, best available, peer-reviewed, scientific studies of these phthalates and phthalate alternatives that employ objective data collection practices or employ other objective methods;</P>
                <P>• Consider the health effects of phthalates, not only from ingestion, but also as a result of dermal, hand-to-mouth, or other exposure;</P>
                <P>• Consider the level at which there is a reasonable certainty of no harm to children, pregnant women, or other susceptible individuals and their offspring, reviewing the best available science, and using sufficient safety factors to account for uncertainties regarding exposure and susceptibility of children, pregnant women, and other potentially susceptible individuals; and</P>
                <P>• Consider possible similar health effects of phthalate alternatives used in children's toys and child care articles.</P>
                <P>
                    The CPSIA contemplates completion of the CHAP's examination within 18 months of the panel's appointment. The CHAP must review prior work on phthalates by the Commission, but it is not to be considered determinative 
                    <PRTPAGE P="57025"/>
                    because the CHAP's examination must be conducted 
                    <E T="03">de novo.</E>
                </P>
                <P>
                    The CHAP must make recommendations to the Commission about which phthalates, or combinations of phthalates (in addition to those identified in section 108 of the CPSIA), or phthalate alternatives should be prohibited from use in children's toys or child care articles or otherwise restricted. The Commission selected the CHAP members from scientists nominated by the National Academy of Sciences. 
                    <E T="03">See</E>
                     15 U.S.C. 2077, 2030(b).
                </P>
                <P>The CHAP met previously in April, July, and December 2010, and in March and July 2011, at the CPSC's offices in Bethesda, MD, and by teleconference in November 2010. The CHAP heard testimony from interested parties at the July 2010 meeting. The September 2011 conference call will include discussion of the CHAP's progress in its analysis of potential risks from phthalates and phthalate substitutes. There will not be any opportunity for public comment during the conference call.</P>
                <SIG>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <NAME>Todd A. Stevenson,</NAME>
                    <TITLE>Secretary, Consumer Product Safety Commission.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23645 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6355-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">CONSUMER PRODUCT SAFETY COMMISSION</AGENCY>
                <SUBJECT>Sunshine Act Meeting Notice</SUBJECT>
                <PREAMHD>
                    <HD SOURCE="HED">TIME AND DATE: </HD>
                    <P>Wednesday, September 21, 2011, 9 a.m.-12 p.m.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PLACE: </HD>
                    <P>Room 420, Bethesda Towers, 4330 East West Highway, Bethesda, Maryland.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">STATUS: </HD>
                    <P>Commission Meeting—Open to the Public.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">MATTERS TO BE CONSIDERED:</HD>
                    <P/>
                    <P>
                        <E T="03">Decisional Matter:</E>
                         Unblockable Drains.
                    </P>
                    <P>
                        <E T="03">Briefing Matter:</E>
                         Table Saws—Advance Notice of Proposed Rulemaking.
                    </P>
                    <P>
                        A live Webcast of the meeting can be viewed at 
                        <E T="03">http://www.cpsc.gov/webcast.</E>
                    </P>
                    <P>For a recorded message containing the latest agenda information, call (301) 504-7948.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">CONTACT PERSON FOR MORE INFORMATION: </HD>
                    <P>Todd A. Stevenson, Office of the Secretary, U.S. Consumer Product Safety Commission, 4330 East West Highway, Bethesda, MD 20814, (301) 504-7923.</P>
                </PREAMHD>
                <SIG>
                    <DATED>Dated: September 13, 2011.</DATED>
                    <NAME>Todd A. Stevenson,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23808 Filed 9-13-11; 4:15 pm]</FRDOC>
            <BILCOD>BILLING CODE 6355-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">CONSUMER PRODUCT SAFETY COMMISSION</AGENCY>
                <SUBJECT>Sunshine Act Meeting Notice</SUBJECT>
                <PREAMHD>
                    <HD SOURCE="HED">TIME AND DATE: </HD>
                    <P>Wednesday, September 21, 2011; 2-3 p.m.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PLACE: </HD>
                    <P>Hearing Room 420, Bethesda Towers, 4330 East West Highway, Bethesda, Maryland.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">STATUS: </HD>
                    <P>Closed to the public.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">MATTER TO BE CONSIDERED:</HD>
                    <P/>
                </PREAMHD>
                <HD SOURCE="HD1">Compliance Status Report</HD>
                <P>The Commission staff will brief the Commission on the status of compliance matters.</P>
                <P>For a recorded message containing the latest agenda information, call (301) 504-7948.</P>
                <PREAMHD>
                    <HD SOURCE="HED">CONTACT PERSON FOR MORE INFORMATION: </HD>
                    <P>Todd A. Stevenson, Office of the Secretary, U.S. Consumer Product Safety Commission, 4330 East West Highway, Bethesda, MD 20814, (301) 504-7923.</P>
                </PREAMHD>
                <SIG>
                    <DATED>Dated: September 13, 2011.</DATED>
                    <NAME>Todd A. Stevenson,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23809 Filed 9-13-11; 4:15 pm]</FRDOC>
            <BILCOD>BILLING CODE 6355-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">CORPORATION FOR NATIONAL AND COMMUNITY SERVICE</AGENCY>
                <SUBJECT>Proposed Information Collection; Comment Request</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Corporation for National and Community Service.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Corporation for National and Community Service (hereinafter the “Corporation”), as part of its continuing effort to reduce paperwork and respondent burden, conducts a pre-clearance consultation program to provide the general public and federal agencies with an opportunity to comment on proposed and/or continuing collections of information in accordance with the Paperwork Reduction Act of 1995 (PRA95) (44 U.S.C. 3506(c)(2)(A)). This program helps to ensure that requested data can be provided in the desired format, reporting burden (time and financial resources) is minimized, collection instruments are clearly understood, and the impact of collection requirement on respondents can be properly assessed. Individuals who use a telecommunications device for the deaf (TTY-TDD) may call (202) 565-2799 between 8:30 a.m. and 5 p.m. eastern time, Monday through Friday.</P>
                    <P>Currently, the Corporation is soliciting comments concerning AmeriCorps Application Instructions: State Commissions; State and National Competitive; Professional Corps; Indian Tribes; States and Territories without Commissions; and State and National Planning. Applicants will respond to the questions included in this ICR in order to apply for funding through these grant competitions.</P>
                    <P>
                        Copies of the information collection request can be obtained by contacting the office listed in the 
                        <E T="02">addresses</E>
                         section of this notice.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        Written comments must be submitted to the individual and office listed in the 
                        <E T="02">ADDRESSES</E>
                         section by November 14, 2011.
                    </P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>You may submit comments, identified by the title of the information collection activity, by any of the following methods:</P>
                    <P>(1) By mail sent to: Corporation for National and Community Service; Attention: Amy Borgstrom, Associate Director for Policy, Room 9515; 1201 New York Avenue, NW., Washington, DC 20525.</P>
                    <P>(2) By hand delivery or by courier to the Corporation's mailroom at Room 8100 at the mail address given in paragraph (1) above, between 9 a.m. and 4 p.m. Monday through Friday, except Federal holidays.</P>
                    <P>(3) By fax to: (202) 606-3476, Attention: Amy Borgstrom, Associate Director for Policy.</P>
                    <P>
                        (4) Electronically through the Corporation's e-mail address system: 
                        <E T="03">aborgstrom@cns.gov.</E>
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Amy Borgstrom, (202) 606-6930, or by e-mail at 
                        <E T="03">aborgstrom@cns.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P> The Corporation is particularly interested in comments that:</P>
                <P>• Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the Corporation, including whether the information will have practical utility;</P>
                <P>• Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;</P>
                <P>
                    • Enhance the quality, utility, and clarity of the information to be collected; and
                    <PRTPAGE P="57026"/>
                </P>
                <P>
                    • Minimize the burden of the collection of information on those who are expected to respond, including the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology (
                    <E T="03">e.g.,</E>
                     permitting electronic submissions of responses).
                </P>
                <HD SOURCE="HD1">Background</HD>
                <P>These application instructions will be used by applicants for funding through AmeriCorps State and National grant competitions.</P>
                <HD SOURCE="HD1">Current Action</HD>
                <P>The Corporation seeks to renew and revise the current AmeriCorps State and National Application Instructions. The Application Instructions are being revised for increased clarity and to align with provisions of the Serve America Act. The Application Instructions will be used in the same manner as the existing Application Instructions. The Corporation also seeks to continue using the current Application Instructions until the revised Application Instructions are approved by OMB. The current ICRs are due to expire on May 31, 2012.</P>
                <P>
                    <E T="03">Type of Review:</E>
                     Renewal.
                </P>
                <P>
                    <E T="03">Agency:</E>
                     Corporation for National and Community Service.
                </P>
                <P>
                    <E T="03">Title:</E>
                     AmeriCorps Application Instructions: State Commissions; State and National Competitive; Professional Corps; Indian Tribes; States and Territories without Commissions; and State and National Planning.
                </P>
                <P>
                    <E T="03">OMB Number:</E>
                     3045-0047.
                </P>
                <P>
                    <E T="03">Agency Number:</E>
                     None.
                </P>
                <P>
                    <E T="03">Affected Public:</E>
                     Nonprofit organizations, State, Local and Tribal.
                </P>
                <P>
                    <E T="03">Total Respondents:</E>
                     654.
                </P>
                <P>
                    <E T="03">Frequency:</E>
                     Annually.
                </P>
                <P>
                    <E T="03">Average Time per Response:</E>
                     24 hours.
                </P>
                <P>
                    <E T="03">Estimated Total Burden Hours:</E>
                     15,696 hours.
                </P>
                <P>
                    <E T="03">Total Burden Cost (capital/startup):</E>
                     None.
                </P>
                <P>
                    <E T="03">Total Burden Cost (operating/maintenance):</E>
                     None.
                </P>
                <P>Comments submitted in response to this notice will be summarized and/or included in the request for Office of Management and Budget approval of the information collection request; they will also become a matter of public record.</P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Lois Nembhard, </NAME>
                    <TITLE>Deputy Director, AmeriCorps State and National. </TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23680 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6050-$$-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF DEFENSE</AGENCY>
                <SUBAGY>Office of the Secretary</SUBAGY>
                <SUBJECT>Availability of the Fiscal Year 2010 Inventory of Contracts for Services</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Department of Defense (DoD).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of availability.</P>
                </ACT>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Inventory to be made publicly available by October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Send written comments and suggestions concerning this inventory to: Jeffrey Grover, Senior Procurement Analyst, OUSD (AT&amp;L), DPAP/CPIC, 3060 Defense Pentagon, Washington, DC 20301-3060, or e-mail 
                        <E T="03">Jeffrey.Grover@osd.mil</E>
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Jeffrey Grover, telephone 703-697-9352.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    In accordance with section 2330a of title 10 United States Code, as amended by section 807 of the National Defense Authorization Act for Fiscal Year 2008, the Office of the Deputy Director, Defense Procurement and Acquisition Policy, Contract Policy and International Contracting (DPAP/CPIC) will make available to the public the annual inventory of contracts for services. The inventory will be posted to the Defense Procurement and Acquisition Policy Web site at 
                    <E T="03">http://www.acq.osd.mil/dpap/cpic/cp/acquisition_of_services_policy.html.</E>
                </P>
                <SIG>
                    <NAME>Ynette R. Shelkin,</NAME>
                    <TITLE>Editor, Defense Acquisition Regulations System.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23631 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 5001-08-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF DEFENSE</AGENCY>
                <SUBAGY>Department of the Air Force</SUBAGY>
                <SUBJECT>Air Force Scientific Advisory Board Notice of Meeting</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Department of the Air Force, U.S. Air Force Scientific Advisory Board</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Meeting Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        Under the provisions of the 
                        <E T="03">Federal Advisory Committee Act of 1972</E>
                         (5 U.S.C., Appendix, as amended), the Government in the Sunshine Act of 1976 (5 U.S.C. 552b, as amended), and 41 CFR 102-3.150, the Department of Defense announces that the United States Air Force Scientific Advisory Board (SAB) meeting will take place 13 to 14 October 2011 at SAFTAS Conference and Innovation Center, 1550 Wilson Blvd., Arlington, VA 22209. The meeting on Wednesday, 13 October, will be from 7:15 a.m.-4:30 p.m., with the sessions from 8:45 a.m. to 9:45 a.m. and 1:15 p.m. to 2:15 p.m. open to the public. The banquet from 8 p.m. to 9 p.m. on 13 October at the Army Navy Country Club in Arlington, VA will also be open to the public. The meeting on Thursday, 14 October, will be from 8 a.m.-11:30 a.m. and closed to the public in its entirety.
                    </P>
                    <P>The purpose of this Air Force Scientific Advisory Board quarterly meeting is to introduce the FY12 SAB study topics tasked by the Secretary of the Air Force and receive presentations that address relevant subjects to the SAB mission to include introduction of the new Board members for FY12, status of FY11 studies and the FY12 Board schedule; the Air Force's high dependence on space for navigation, timing, communications, weather, and intelligence, surveillance, reconnaissance; increased space asset vulnerability; latest updates on the ongoing Aircraft Oxygen Generation Study by the Board; Air Force Global Strike Command overview highlighting high priority capability gaps and technology solution partnerships; Air Force Research Laboratory overview focusing on the Air Force Science and Technology plan emphasizing next generation energy, autonomy, sustainment, cyber, and ISR capabilities; improving the value of intelligence data collection and maximizing timely insight and safe and secure cyber ops; acquisition challenges amid new era of defense policy and lessons learned from challenged acquisition programs; and balancing today's needs with tomorrow's challenges to prepare for full-spectrum operations.</P>
                    <P>In accordance with 5 U.S.C. 552b, as amended, and 41 CFR 102-3.155, The Administrative Assistant of the Air Force, in consultation with the Air Force General Counsel, has agreed that the public interest requires some sessions of the United States Air Force Scientific Advisory Board meeting be closed to the public because they will discuss information and matters covered by sections 5 U.S.C. 552b(c)(1).</P>
                    <P>
                        Any member of the public wishing to provide input to the United States Air Force Scientific Advisory Board should submit a written statement in accordance with 41 CFR 102-3.140(c) and section 10(a)(3) of the Federal Advisory Committee Act and the procedures described in this paragraph. Written statements can be submitted to the Designated Federal Officer at the address detailed below at any time. Statements being submitted in response to the agenda mentioned in this notice must be received by the Designated 
                        <PRTPAGE P="57027"/>
                        Federal Officer at the address listed below at least five calendar days prior to the meeting which is the subject of this notice. Written statements received after this date may not be provided to or considered by the United States Air Force Scientific Advisory Board until its next meeting. The Designated Federal Officer will review all timely submissions with the United States Air Force Scientific Advisory Board Chairperson and ensure they are provided to members of the United States Air Force Scientific Advisory Board before the meeting that is the subject of this notice.
                    </P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        The United States Air Force Scientific Advisory Board Executive Director and Designated Federal Officer, Lt. Col. Matthew E. Zuber, 301-981-7135, United States Air Force Scientific Advisory Board, 1602 California Ave., Ste. #251, Andrews AFB, MD 20762, 
                        <E T="03">matthew.zuber@pentagon.af.mil.</E>
                    </P>
                    <SIG>
                        <NAME>Bao-Anh Trinh,</NAME>
                        <TITLE>DAF, Air Force Federal Register Liaison Officer.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23615 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 5001-10-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF EDUCATION</AGENCY>
                <SUBJECT>Notice of Submission for OMB Review</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Department of Education.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Comment request.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Director, Information Collection Clearance Division, Privacy, Information and Records Management Services, Office of Management, invites comments on the submission for OMB review as required by the Paperwork Reduction Act of 1995 (Pub. L. 104-13).</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Interested persons are invited to submit comments on or before October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Written comments should be addressed to the Office of Information and Regulatory Affairs, Attention: Education Desk Officer, Office of Management and Budget, 725 17th Street, NW., Room 10222, New Executive Office Building, Washington, DC 20503, be faxed to (202) 395-5806 or e-mailed to 
                        <E T="03">oira_submission@omb.eop.gov</E>
                         with a cc: to 
                        <E T="03">ICDocketMgr@ed.gov.</E>
                         Please note that written comments received in response to this notice will be considered public records.
                    </P>
                </ADD>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>Section 3506 of the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35) requires that the Office of Management and Budget (OMB) provide interested Federal agencies and the public an early opportunity to comment on information collection requests. The OMB is particularly interested in comments which: (1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (3) Enhance the quality, utility, and clarity of the information to be collected; and (4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.</P>
                <SIG>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <NAME>Darrin King, </NAME>
                    <TITLE>Director,  Information Collection Clearance Division, Privacy, Information and Records Management Services, Office of Management.</TITLE>
                </SIG>
                <HD SOURCE="HD1">Office of the Secretary</HD>
                <P>
                    <E T="03">Type of Review:</E>
                     Extension.
                </P>
                <P>
                    <E T="03">Title of Collection:</E>
                     Generic Application Package for Discretionary Grant Programs.
                </P>
                <P>
                    <E T="03">OMB Control Number:</E>
                     1894-0006.
                </P>
                <P>
                    <E T="03">Agency Form Number(s):</E>
                     N/A.
                </P>
                <P>
                    <E T="03">Frequency of Responses:</E>
                     New Awards.
                </P>
                <P>
                    <E T="03">Affected Public:</E>
                     Business or other for-profits; Individuals or households; not-for-profit institutions; private sector; State, Local or Tribal Governments.
                </P>
                <P>
                    <E T="03">Total Estimated Number of Annual Responses:</E>
                     9,836.
                </P>
                <P>
                    <E T="03">Total Estimated Annual Burden Hours:</E>
                     446,089.
                </P>
                <P>
                    <E T="03">Abstract:</E>
                     The Department of Education (ED) is requesting an extension of the approval for the Generic Application Package that numerous ED discretionary grant programs use to provide applicants the generic forms and information needed to apply for new grants under those grant program competitions.
                </P>
                <P>ED will use this Generic Application package for discretionary grant programs that: (1) Use the standard ED or Federal-wide grant application forms that have been cleared separately through OMB and (2) use selection criteria from the Education Department General Administrative Regulations (EDGAR); statutory selection criteria or a combination of EDGAR and statutory selection criteria authorized under EDGAR, 34 CFR 75.200. The use of the standard ED grant application forms and the use of EDGAR and/or statutory selection criteria promote the standardization and streamlining of ED discretionary grant application packages.</P>
                <P>
                    Copies of the information collection submission for OMB review may be accessed from the 
                    <E T="03">RegInfo.gov</E>
                     Web site at 
                    <E T="03">http://www.reginfo.gov/public/do/PRAMain</E>
                     or from the Department's Web site at 
                    <E T="03">http://edicsweb.ed.gov,</E>
                     by selecting the “Browse Pending Collections” link and by clicking on link number 4652. When you access the information collection, click on “Download Attachments ” to view. Written requests for information should be addressed to U.S. Department of Education, 400 Maryland Avenue, SW., LBJ, Washington, DC 20202-4537. Requests may also be electronically mailed to the Internet address 
                    <E T="03">ICDocketMgr@ed.gov</E>
                     or faxed to 202-401-0920. Please specify the complete title of the information collection and OMB Control Number when making your request.
                </P>
                <P>Individuals who use a telecommunications device for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339.</P>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23697 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4000-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF EDUCATION</AGENCY>
                <SUBJECT>Notice of Submission for OMB Review</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Department of Education.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Comment request.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Director, Information Collection Clearance Division, Privacy, Information and Records Management Services, Office of Management, invites comments on the submission for OMB review as required by the Paperwork Reduction Act of 1995 (Pub. L. 104-13).</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Interested persons are invited to submit comments on or before October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Written comments should be addressed to the Office of Information and Regulatory Affairs, Attention: Education Desk Officer, Office of Management and Budget, 725 17th Street, NW., Room 10222, New Executive Office Building, Washington, DC 20503, be faxed to (202) 395-5806 or e-mailed to 
                        <E T="03">oira_submission@omb.eop.gov</E>
                         with a cc: to 
                        <E T="03">ICDocketMgr@ed.gov.</E>
                         Please note that written comments received in response to this notice will be considered public records.
                    </P>
                </ADD>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    Section 3506 of the Paperwork Reduction Act of 
                    <PRTPAGE P="57028"/>
                    1995 (44 U.S.C. chapter 35) requires that the Office of Management and Budget (OMB) provide interested Federal agencies and the public an early opportunity to comment on information collection requests. The OMB is particularly interested in comments which: (1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the Agency, including whether the information will have practical utility; (2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; (3) Enhance the quality, utility, and clarity of the information to be collected; and (4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology.
                </P>
                <SIG>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <NAME>Darrin King, </NAME>
                    <TITLE>Director,  Information Collection Clearance Division, Privacy, Information and Records Management Services, Office of Management.</TITLE>
                </SIG>
                <HD SOURCE="HD1">Office of Innovation and Improvement</HD>
                <P>
                    <E T="03">Type of Review:</E>
                     Extension.
                </P>
                <P>
                    <E T="03">Title of Collection:</E>
                     DC School Choice Incentive Program.
                </P>
                <P>
                    <E T="03">OMB Control Number:</E>
                     1855-0015.
                </P>
                <P>
                    <E T="03">Agency Form Number(s):</E>
                     N/A.
                </P>
                <P>
                    <E T="03">Frequency of Responses:</E>
                     Annually.
                </P>
                <P>
                    <E T="03">Affected Public:</E>
                     Individuals or households; not-for-profit institutions.
                </P>
                <P>
                    <E T="03">Total Estimated Number of Annual Responses:</E>
                     3,000.
                </P>
                <P>
                    <E T="03">Total Estimated Annual Burden Hours:</E>
                     1,000.
                </P>
                <P>
                    <E T="03">Abstract:</E>
                     The DC School Choice Incentive Program, authorized by the Consolidated Appropriations Act of 2004, awarded a grant to the DC Children and Youth Investment Trust Corporation that will administer scholarships to students who reside in the District of Columbia and come from households whose incomes do not exceed 185% of the poverty line. Priority is given to students who are currently attending schools in need of improvement, as defined by Title I. To assist in the student selection and assignment process, the information to be collected will be used to determine the eligibility of those students who are interested in the available scholarships. Also, since the authorizing statute requires an evaluation we are proposing to collect certain family demographic information because they are important predictors of school success. Finally, we are asking to collect information about parental participation and satisfaction because these are key topics that the statute requires the evaluation to address.
                </P>
                <P>
                    Copies of the information collection submission for OMB review may be accessed from the 
                    <E T="03">RegInfo.gov</E>
                     Web site at 
                    <E T="03">http://www.reginfo.gov/public/do/PRAMain</E>
                     or from the Department's Web site at 
                    <E T="03">http://edicsweb.ed.gov,</E>
                     by selecting the “Browse Pending Collections” link and by clicking on link number 4710. When you access the information collection, click on “Download Attachments” to view. Written requests for information should be addressed to U.S. Department of Education, 400 Maryland Avenue, SW., LBJ, Washington, DC 20202-4537. Requests may also be electronically mailed to the Internet address 
                    <E T="03">ICDocketMgr@ed.gov</E>
                     or faxed to 202-401-0920. Please specify the complete title of the information collection and OMB Control Number when making your request.
                </P>
                <P>Individuals who use a telecommunications device for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339.</P>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23701 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4000-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF ENERGY</AGENCY>
                <SUBJECT>Proposed Agency Information Collection</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>U.S. Department of Energy.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice and Request for OMB Review and Comment.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        The Department of Energy (DOE) has submitted to the Office of Management and Budget (OMB) for clearance, a proposal for collection of information under the provisions of the 
                        <E T="03">Paperwork Reduction Act of 1995.</E>
                         The proposed collection will establish application consistency for numerous Grant and Cooperative Agreement application packages from potential and chosen recipients. This effort will also streamline processes and provide applicants with a clear and straightforward tool to assist with project budgeting. In addition it will endow DOE reviewers with adequate information to determine if proposed costs are allowable, allocable, and reasonable.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments regarding this collection must be received on or before October 17, 2011. If you anticipate that you will be submitting comments, but find it difficult to do so within the period of time allowed by this notice, please advise the DOE Desk Officer at OMB of your intention to make a submission as soon as possible. The Desk Officer may be telephoned at 202-395-4650.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Written comments should be sent to the</P>
                    <FP SOURCE="FP-1">DOE Desk Officer, Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Room 10102, 735 17th Street, NW., Washington, DC 20503.</FP>
                    <FP>And to:</FP>
                    <FP SOURCE="FP-1">
                        Carol Hellmann, 
                        <E T="03">BudgetJustForm@go.doe.gov.</E>
                         Fax: 720-356-1550.
                    </FP>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Carol Hellmann, 
                        <E T="03">BudgetJustForm@go.doe.gov.</E>
                         Fax: 720-356-1550.
                    </P>
                    <P>
                        The information collection instrument may be viewed at 
                        <E T="03">http://www.eere.energy.gov/golden/Reading_Room.aspx</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    This information collection request contains: (1) 
                    <E T="03">OMB No.:</E>
                     New; (2) 
                    <E T="03">Information Collection Request Title:</E>
                     Detailed Budget Justification; (3) 
                    <E T="03">Type of Request:</E>
                     New collection; (4) 
                    <E T="03">Purpose:</E>
                     This collection of information is necessary in order for DOE to identify allowable, allocable, and reasonable recipient project costs submitted by applicants to Grants and Cooperative Agreements under EERE programs; (5) 
                    <E T="03">Annual Estimated Number of Respondents:</E>
                     406; (6) 
                    <E T="03">Annual Estimated Number of Total Responses:</E>
                     406; (7) 
                    <E T="03">Annual Estimated Number of Burden Hours:</E>
                     3 hours, one response; (8) 
                    <E T="03">Annual Estimated Reporting and Recordkeeping Cost Burden:</E>
                     This collection of information does not necessitate any additional reporting or recordkeeping. The estimated cost for the one time response is $109.47.
                </P>
                <AUTH>
                    <HD SOURCE="HED">Statutory Authority: </HD>
                    <P>10 CFR 600.112.</P>
                </AUTH>
                <SIG>
                    <DATED>Issued on July 7, 2011.</DATED>
                    <NAME>Jamie Harris,</NAME>
                    <TITLE>Director, Office of Acquisition and Financial Assistance, Golden Field Office.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23633 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6450-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
                <SUBJECT>Biological and Environmental Research Advisory Committee</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Department of Energy; Office of Science.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of open meeting.</P>
                </ACT>
                <SUM>
                    <PRTPAGE P="57029"/>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        This notice announces a meeting of the Biological and Environmental Research Advisory Committee (BERAC). The Federal Advisory Committee Act (Pub. L. 92-463, 86 Stat. 770) requires that public notice of these meetings be announced in the 
                        <E T="04">Federal Register</E>
                        .
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Thursday, October 6, 2011 9 a.m. to 5 p.m. and Friday, October 7, 2011 8:30 a.m. to 12:30 p.m.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Hilton Washington DC/Rockville Hotel and Executive Meeting Center, 1750 Rockville Pike, Rockville, Maryland 20852.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Dr. David Thomassen, Designated Federal Officer, BERAC, U.S. Department of Energy, Office of Science, Office of Biological and Environmental Research, SC-23/Germantown Building, 1000 Independence Avenue, SW., Washington, DC 20585-1290. Phone 301-903-9817; fax (301) 903-5051 or email: 
                        <E T="03">david.thomassen@science.doe.gov.</E>
                         The most current information concerning this meeting can be found on the Web site: 
                        <E T="03">http://science.energy.gov/ber/berac/meetings/.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    <E T="03">Purpose of the Meeting:</E>
                     The Committee provides advice to the Director, Office of Science, on the many complex scientific and technical issues that arise in the development and implementation of the Biological and Environmental Research Program.
                </P>
                <P>
                    <E T="03">Tentative Agenda:</E>
                </P>
                <P>• Report from the Office of Biological and Environmental Research</P>
                <P>• News from the Biological Systems Science and Climate and Environmental Sciences Divisions</P>
                <P>• Discussions on the Biological Systems Science Division Committee of Visitors</P>
                <P>• Workshop Reports</P>
                <P>• New Business</P>
                <P>• Public Comment</P>
                <P>
                    <E T="03">Public Participation:</E>
                     The BERAC meeting is open to the public. If you would like to file a written statement with the Committee, you may do so either before or after the meeting. If you would like to make oral statements regarding any of the items on the agenda, you should contact David Thomassen at the address or telephone number listed above. You must make your request for an oral statement at least five business days before the meeting. Reasonable provision will be made to include the scheduled oral statements on the agenda. The Chairperson of the Committee is empowered to conduct the meeting in a fashion that will facilitate the orderly conduct of business. Public comment will follow the 10-minute rule.
                </P>
                <P>
                    <E T="03">Minutes:</E>
                     The minutes of this meeting will be available for public review and copying within 45 days at the BERAC Web site: 
                    <E T="03">http://science.energy.gov/ber/berac/meetings/berac-minutes/.</E>
                </P>
                <SIG>
                    <DATED>Issued on September 9, 2011.</DATED>
                    <NAME>LaTanya R. Butler,</NAME>
                    <TITLE>Acting Deputy Committee Management Officer.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23635 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6450-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
                <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
                <DEPDOC>[Project No. 67-126]</DEPDOC>
                <SUBJECT>Southern California Edison Company; Notice of Application for Amendment of License and Soliciting Comments, Motions To Intervene, and Protests</SUBJECT>
                <P>Take notice that the following hydroelectric application has been filed with the Commission and is available for public inspection:</P>
                <P>
                    a. 
                    <E T="03">Application Type:</E>
                     Request for temporary variance of the minimum reservoir elevation requirement for Shaver Lake Reservoir, pursuant to Article 37 (c) of the Big Creek No. 2A and No. 8 Hydroelectric Project.
                </P>
                <P>
                    b. 
                    <E T="03">Project No.:</E>
                     67-126.
                </P>
                <P>
                    c. 
                    <E T="03">Date Filed:</E>
                     August 8, 2011.
                </P>
                <P>
                    d. 
                    <E T="03">Applicant:</E>
                     Southern California Edison Company.
                </P>
                <P>
                    e. 
                    <E T="03">Name of Project:</E>
                     Big Creek No. 2A and No. 8 Hydroelectric Project (P-67)
                </P>
                <P>
                    f. 
                    <E T="03">Location:</E>
                     The Big Creek No. 2A and No. 8 Hydroelectric Project is located on various streams which are tributaries of the San Joaquin River in Fresno County, California. The project occupies federal lands within the Sierra National Forest.
                </P>
                <P>
                    g. 
                    <E T="03">Filed Pursuant to: Federal Power Act,</E>
                     16 U.S.C. 791(a)-825(r)
                </P>
                <P>
                    h: 
                    <E T="03">Applicant Contact:</E>
                     Mr. Michael Murphy, Southern California Edison Company, P.O. Box 100, Big Creek, California 93605, Tel: (559) 893-2033, 
                    <E T="03">Micheal.murphy@sce.com.</E>
                </P>
                <P>
                    i. 
                    <E T="03">FERC Contact:</E>
                     Kelly Houff, (202) 502-6393, 
                    <E T="03">Kelly.Houff@ferc.gov.</E>
                </P>
                <P>
                    j. 
                    <E T="03">Deadline for filing comments, motions to intervene, and protests:</E>
                     15 days from the issuance date of this notice.
                </P>
                <P>
                    All documents may be filed electronically via the Internet. See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web site 
                    <E T="03">http://www.ferc.gov/docs-filing/efiling.asp.</E>
                     Commenters can submit brief comments up to 6,000 characters, without prior registration, using the eComment system at 
                    <E T="03">http://www.ferc.gov/docs-filing/ecomment.asp.</E>
                     You must include your name and contact information at the end of your comments. For assistance, please contact FERC Online Support at 
                    <E T="03">FERCOnlineSupport@ferc.gov</E>
                     or toll free at 1-866-208-3676, or for TTY, (202) 502-8659. Although the Commission strongly encourages electronic filing, documents may also be paper-filed. To paper-file, mail an original and seven copies to: Kimberly D. Bose, Secretary, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426. Please include the project number (P-67-126) on any documents or motions filed.
                </P>
                <P>The Commission's Rules of Practice and Procedure require all intervenors filing documents with the Commission to serve a copy of that document on each person whose name appears on the official service list for the project. Further, if an intervenor files comments or documents with the Commission relating to the merits of an issue that may affect the responsibilities of a particular resource agency, they must also serve a copy of the document on that resource agency.</P>
                <P>
                    k. 
                    <E T="03">Description of Request:</E>
                     Southern California Edison Company requests a temporary variance of its minimum reservoir elevation requirement of Shaver Lake, pursuant to Article 37 (c) of the license. Southern California Edison requests to completely dewater the Shaver Lake Reservoir from October 1, 2011 to April 30, 2012, to facilitate the installation of a geomembrane liner on the bottom half of the upstream face of Shaver Dam. Southern California Edison Company proposes to drain Shaver Lake to natural stream flow by way of the low level outlet valve on the dam and tunnel five through Powerhouse No. 2A. The millpond cofferdam used when Shaver Lake was filled in 1927 may be used to impound some water but because it is so old, inflatable cofferdams will be used if necessary to insure the construction site remains dewatered.
                </P>
                <P>
                    Southern California Edison Company states in its temporary variance request that as the lake is drawn down, daily inspections will be performed to determine the impact on fish species as well as conducting fish rescues if stranding is found. Once lake levels have stabilized, a qualified biologist will survey the area four times as week to collect and record any fish mortality. Any fish mortality that occurred during the dewatering of the lake will be replaced.
                    <PRTPAGE P="57030"/>
                </P>
                <P>
                    l. A copy of the application is available for review at the Commission in the Public Reference Room or may be viewed on the Commission's website at 
                    <E T="03">http://www.ferc.gov</E>
                     using the “eLibrary” link. Enter the docket number excluding the last three digits in the docket number field to access the document. For assistance, contact FERC Online Support. A copy is also available for inspection and reproduction at the address in item h above.
                </P>
                <P>
                    You may also register online at 
                    <E T="03">http://www.ferc.gov/docs-filing/esubscription.asp</E>
                     to be notified via email of new filings and issuances related to this or other pending projects. For assistance, contact FERC Online Support.
                </P>
                <P>m. Individuals desiring to be included on the Commission's mailing list should so indicate by writing to the Secretary of the Commission.</P>
                <P>Anyone may submit comments, a protest, or a motion to intervene in accordance with the requirements of Rules of Practice and Procedure, 18 CFR 385.210, .211, .214. In determining the appropriate action to take, the Commission will consider all protests or other comments filed, but only those who file a motion to intervene in accordance with the Commission's Rules may become a party to the proceeding. Any comments, protests, or motions to intervene must be received on or before the specified comment date for the particular application.</P>
                <P>Any filings must bear in all capital letters the title “COMMENTS,” “PROTEST,” or “MOTION TO INTERVENE,” as applicable, and the Project Number of the particular application to which the filing refers. A copy of any motion to intervene must also be served upon each representative of the Applicant specified in the particular application.</P>
                <P>Federal, state, and local agencies are invited to file comments on the described application. A copy of the application may be obtained by agencies directly from the applicant. If an agency does not file comments within the time specified for filing comments, it will be presumed to have no comments. One copy of an agency's comments must also be sent to the Applicant's representatives.</P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Kimberly D. Bose,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23637 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6717-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
                <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
                <DEPDOC>[Docket No. ER11-4453-000]</DEPDOC>
                <SUBJECT>Santana Energy Services; Supplemental Notice That Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization</SUBJECT>
                <P>This is a supplemental notice in the above-referenced proceeding of Santana Energy Services' application for market-based rate authority, with an accompanying rate tariff, noting that such application includes a request for blanket authorization, under 18 CFR Part 34, of future issuances of securities and assumptions of liability.</P>
                <P>Any person desiring to intervene or to protest should file with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone filing a motion to intervene or protest must serve a copy of that document on the Applicant.</P>
                <P>Notice is hereby given that the deadline for filing protests with regard to the applicant's request for blanket authorization, under 18 CFR Part 34, of future issuances of securities and assumptions of liability, is September 28, 2011.</P>
                <P>
                    The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at 
                    <E T="03">http://www.ferc.gov.</E>
                     To facilitate electronic service, persons with Internet access who will eFile a document and/or be listed as a contact for an intervenor must create and validate an eRegistration account using the eRegistration link. Select the eFiling link to log on and submit the intervention or protests.
                </P>
                <P>Persons unable to file electronically should submit an original and 14 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426.</P>
                <P>
                    The filings in the above-referenced proceeding are accessible in the Commission's eLibrary system by clicking on the appropriate link in the above list. They are also available for review in the Commission's Public Reference Room in Washington, DC. There is an eSubscription link on the web site that enables subscribers to receive email notification when a document is added to a subscribed docket(s). For assistance with any FERC Online service, please email 
                    <E T="03">FERCOnlineSupport@ferc.gov</E>
                     or call (866) 208-3676 (toll free). For TTY, call (202) 502-8659.
                </P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Kimberly D. Bose,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23639 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6717-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
                <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
                <DEPDOC>[Docket No. ER11-4462-000]</DEPDOC>
                <SUBJECT>NEPM II, LLC; Supplemental Notice that Initial Market-Based Rate Filing Includes Request for Blanket Section 204 Authorization</SUBJECT>
                <P>This is a supplemental notice in the above-referenced proceeding of NEPM II, LLC's application for market-based rate authority, with an accompanying rate tariff, noting that such application includes a request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability.</P>
                <P>Any person desiring to intervene or to protest should file with the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone filing a motion to intervene or protest must serve a copy of that document on the Applicant.</P>
                <P>Notice is hereby given that the deadline for filing protests with regard to the applicant's request for blanket authorization, under 18 CFR part 34, of future issuances of securities and assumptions of liability, is September 28, 2011.</P>
                <P>
                    The Commission encourages electronic submission of protests and interventions in lieu of paper, using the FERC Online links at 
                    <E T="03">http://www.ferc.gov.</E>
                     To facilitate electronic service, persons with Internet access who will eFile a document and/or be listed as a contact for an intervenor must create and validate an eRegistration account using the eRegistration link. Select the eFiling link to log on and submit the intervention or protests.
                </P>
                <P>Persons unable to file electronically should submit an original and 14 copies of the intervention or protest to the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426.</P>
                <P>
                    The filings in the above-referenced proceeding are accessible in the 
                    <PRTPAGE P="57031"/>
                    Commission's eLibrary system by clicking on the appropriate link in the above list. They are also available for review in the Commission's Public Reference Room in Washington, DC. There is an eSubscription link on the web site that enables subscribers to receive e-mail notification when a document is added to a subscribed docket(s). For assistance with any FERC Online service, please e-mail 
                    <E T="03">FERCOnlineSupport@ferc.gov</E>
                     or call (866) 208-3676 (toll free). For TTY, call (202) 502-8659.
                </P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Kimberly D. Bose,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23640 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6717-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
                <SUBAGY>Federal Energy Regulatory Commission</SUBAGY>
                <DEPDOC>[Docket No. CP11-540-000]</DEPDOC>
                <SUBJECT>Dominion Transmission, Inc.; Notice of Request Under Blanket Authorization</SUBJECT>
                <P>Take notice that on August 26, 2011, Dominion Transmission, Inc. (Dominion), 701 East Cary Street, Richmond, Virginia 23219, filed in Docket No. CP11-540-000, a prior notice request pursuant to sections 157.205 and 157.208 of the Commission's regulations under the Natural Gas Act (NGA). Dominion seeks authorization to construct, install, own, and operate certain pipeline facilities in Marshall County, West Virginia. Dominion proposes to perform these activities under its blanket certificate originally issued in Docket No. CP82-537-000 [21 FERC ¶ 62,172 (1982)], all as more fully set forth in the application which is on file with the Commission and open to public inspection.</P>
                <P>
                    The filing may be viewed on the Web at 
                    <E T="03">http://www.ferc.gov</E>
                     using the “eLibrary” link. Enter the docket number excluding the last three digits in the docket number field to access the document. For assistance, contact FERC at 
                    <E T="03">FERCOnlineSupport@ferc.gov</E>
                     or call toll-free, (886) 208-3676 or TYY, (202) 502-8659.
                </P>
                <P>
                    Any questions regarding this application should be directed to Brad Knisley, Regulatory and Certificates Analyst, Dominion Transmission, Inc., 701 East Cary Street, Richmond, Virginia 23219, or by calling (804) 771-4122 (telephone) or (804) 771-4804 (fax), 
                    <E T="03">Brad.A.Knisley@dom.com.</E>
                </P>
                <P>Any person or the Commission's Staff may, within 60 days after the issuance of the instant notice by the Commission, file pursuant to Rule 214 of the Commission's Procedural Rules (18 CFR 385.214) a motion to intervene or notice of intervention and, pursuant to section 157.205 of the Commission's Regulations under the NGA (18 CFR 157.205) a protest to the request. If no protest is filed within the time allowed therefore, the proposed activity shall be deemed to be authorized effective the day after the time allowed for protest. If a protest is filed and not withdrawn within 30 days after the time allowed for filing a protest, the instant request shall be treated as an application for authorization pursuant to section 7 of the NGA.</P>
                <P>
                    The Commission strongly encourages electronic filings of comments, protests, and interventions via the Internet in lieu of paper. See 18 CFR 385.2001(a)(1)(iii) and the instructions on the Commission's Web site (
                    <E T="03">http://www.ferc.gov</E>
                    ) under the “e-Filing” link. Persons unable to file electronically should submit an original and 14 copies of the protest or intervention to the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426.
                </P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Kimberly D. Bose,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23638 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6717-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                <DEPDOC>[EPA-HQ-OPP-2009-0681; FRL-8879-1]</DEPDOC>
                <SUBJECT>Draft Harmonized Test Guidelines; Notice of Availability and Request for Comments</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Environmental Protection Agency (EPA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>EPA is announcing the availability of the draft test guidelines for Series 810—Product Performance Test Guidelines for Public Health Uses of Antimicrobial Agents, concerning specifically air, textiles, and water.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments must be received on or before December 14, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Submit your comments, identified by docket identification (ID) number EPA-HQ-OPP-2009-0681, by one of the following methods:</P>
                    <P>
                        • 
                        <E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>
                         Follow the on-line instructions for submitting comments.
                    </P>
                    <P>
                        • 
                        <E T="03">Mail:</E>
                         Office of Pesticide Programs (OPP) Regulatory Public Docket (7502P), Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001.
                    </P>
                    <P>
                        • 
                        <E T="03">Delivery:</E>
                         OPP Regulatory Public Docket (7502P), Environmental Protection Agency, Rm. S-4400, One Potomac Yard (South Bldg.), 2777 S. Crystal Dr., Arlington, VA. Deliveries are only accepted during the Docket Facility's normal hours of operation (8:30 a.m. to 4 p.m., Monday through Friday, excluding legal holidays). Special arrangements should be made for deliveries of boxed information. The Docket Facility telephone number is (703) 305-5805.
                    </P>
                    <P>
                        <E T="03">Instructions:</E>
                         Direct your comments to docket ID number EPA-HQ-OPP-2009-0681. EPA's policy is that all comments received will be included in the docket without change and may be made available on-line at 
                        <E T="03">http://www.regulations.gov,</E>
                         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 regulations.gov or e-mail. The 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 e-mail comment directly to EPA without going through regulations.gov, your e-mail address will be automatically captured and included as part of the comment that is placed in the 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.
                    </P>
                    <P>
                        <E T="03">Docket:</E>
                         All documents in the docket are listed in the docket index available at 
                        <E T="03">http://www.regulations.gov.</E>
                         Although listed in the index, some information is not publicly available, 
                        <E T="03">e.g.,</E>
                         CBI or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on the Internet and will be publicly available only in hard copy form. Publicly available docket materials are available either in the electronic docket at 
                        <E T="03">http://www.regulations.gov,</E>
                         or, if only 
                        <PRTPAGE P="57032"/>
                        available in hard copy, at the OPP Regulatory Public Docket in Rm. S-4400, One Potomac Yard (South Bldg.), 2777 S. Crystal Dr., Arlington, VA. The hours of operation of this Docket Facility are from 8:30 a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The Docket Facility telephone number is (703) 305-5805.
                    </P>
                    <P>
                        <E T="03">Electronic access to the harmonized test guidelines.</E>
                         To access the harmonized test guidelines electronically, please go to 
                        <E T="03">http://www.epa.gov/ocspp</E>
                         and select “Test Methods and Guidelines.” You may also access the harmonized test guidelines in 
                        <E T="03">http://www.regulations.gov</E>
                         grouped by series under docket ID numbers: EPA-HQ-OPPT-2009-0150 through EPA-HQ-OPPT-2009-0159, and EPA-HQ-OPPT-2009-0576.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        <E T="03">For technical information contact:</E>
                         Michele Wingfield, Antimicrobials Division (7510P), Office of Pesticide Programs, Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone number: (703) 308-6349; e-mail address: 
                        <E T="03">wingfield.michele@epa.gov.</E>
                    </P>
                    <P>
                        <E T="03">For general information contact:</E>
                         The TSCA-Hotline, ABVI-Goodwill, 422 South Clinton Ave., Rochester, NY 14620; telephone number: (202) 554-1404; e-mail address: 
                        <E T="03">TSCA-Hotline@epa.gov.</E>
                    </P>
                    <P>
                        <E T="03">FIFRA information contact:</E>
                         Communications Services Branch (7506P), Field and External Affairs Division, Office of Pesticide Programs, Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001; telephone numbers: (703) 305-5017 and TDD: (202) 554-0551; fax number: (703) 305-5558.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. General Information</HD>
                <HD SOURCE="HD2">A. Does this action apply to me?</HD>
                <P>
                    This action is directed to the public in general. Although this action may be of particular interest to those persons who are or may be required to conduct testing of chemical substances under TSCA, FFDCA, or FIFRA, the Agency has not attempted to describe all the specific entities that may be affected by this action. If you have any questions regarding the applicability of this action to a particular entity, consult the technical person listed under 
                    <E T="02">FOR FURTHER INFORMATION CONTACT.</E>
                </P>
                <HD SOURCE="HD2">B. What should I consider as I prepare my comments for EPA?</HD>
                <P>
                    1. 
                    <E T="03">Submitting CBI.</E>
                     Do not submit this information to EPA through regulations.gov or e-mail. Clearly mark the part or all of the information that you claim to be CBI. For CBI information 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 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.
                </P>
                <P>
                    2. 
                    <E T="03">Tips for preparing your comments.</E>
                     When submitting comments, remember to:
                </P>
                <P>
                    i. Identify the document by docket ID number and other identifying information (subject heading, 
                    <E T="04">Federal Register</E>
                     date and page number).
                </P>
                <P>ii. Follow directions. The Agency may ask you to respond to specific questions or organize comments by referencing a Code of Federal Regulations (CFR) part or section number.</P>
                <P>iii. Explain why you agree or disagree; suggest alternatives and substitute language for your requested changes.</P>
                <P>iv. Describe any assumptions and provide any technical information and/or data that you used.</P>
                <P>v. If you estimate potential costs or burdens, explain how you arrived at the estimate.</P>
                <P>vi. Provide specific examples to illustrate your concerns and suggested alternatives.</P>
                <P>vii. Explain your views as clearly as possible, avoiding the use of profanity or personal threats.</P>
                <P>viii. Make sure to submit your comments by the comment period deadline identified.</P>
                <HD SOURCE="HD1">II. What action is EPA taking?</HD>
                <P>EPA is announcing the availability of the draft test guidelines for Series 810—Product Performance Test Guidelines for Public Health Uses of Antimicrobial Agents:</P>
                <P>1. Disinfectants and Sanitizers for Use on Fabrics and Textiles—Efficacy Data Recommendations (OCSPP Guideline 810.2400).</P>
                <P>2. Air Sanitizers—Efficacy Data Recommendations (OCSPP Guideline 810.2500).</P>
                <P>3. Disinfectants for Use in Water—Efficacy Data Recommendations (OCSPP Guideline 810.2600).</P>
                <P>These draft test guidelines address efficacy testing for antimicrobial agents intended to be used on hard, inanimate, environmental surfaces; in the air; and in water, and which bear label claims as disinfectants and/or sanitizers. Data from these studies are used to support the labeling claims for public health related antimicrobial agents.</P>
                <P>As a guidance document, the test guidelines are not binding on either EPA or any outside parties. At places in this guidance, the Agency uses the word “should.” In this guidance, use of “should” with regard to an action means that the action is recommended rather than mandatory. The procedures contained in the test guidelines are recommended for generating the data that are the subject of the test guideline, but EPA recognizes that departures may be appropriate in specific situations. EPA will consider alternatives to the recommendations described in the test guidelines on a case-by-case basis, after assessing whether the alternative will provide the data necessary to inform the regulatory decision that must be made.</P>
                <HD SOURCE="HD1">III. How were these draft test guidelines developed?</HD>
                <P>
                    The product performance guidelines for antimicrobial agents were last updated in 1982 under the “Pesticide Assessment Guidelines—Subdivision G, Product Performance.” Since then, the Agency has presented several issues at two separate meetings of the FIFRA SAP related to the conduct of studies for antimicrobial agents (the first meeting September 9-10, 1997, announced in the 
                    <E T="04">Federal Register</E>
                     issue of July 14, 1997 (62 FR 37584) (FRL-5731-4) and the second meeting July 17-19, 2007, announced in the 
                    <E T="04">Federal Register</E>
                     issue of March 14, 2007 (72 FR 11867) (FRL-8118-7)). Information and recommendations regarding these two SAPs can be found at the Office of Science and Coordination's Web site: 
                    <E T="03">http://www.epa.gov/scipoly/sap/index.htm.</E>
                     In addition to formatting changes to incorporate the guidelines into the OCSPP test guideline 810 series, EPA has added sections that incorporate new guidelines and clarifications from other guidance documents, and comments from the regulated industry. In particular, the waiver for the submission of efficacy data for air sanitizers that contain at least 5% glycol has been rescinded. Altogether, these draft test guidelines, once final, will represent the Agency's current recommendations for conducting studies to support antimicrobial pesticide label claims.
                </P>
                <P>
                    On October 8, 2008, EPA published in the 
                    <E T="04">Federal Register</E>
                     a proposed rule entitled “Data Requirements for Antimicrobial Pesticides” (73 FR 59382). Proposed 40 CFR 158.2220 contains a table entitled “Antimicrobial Product Performance Data 
                    <PRTPAGE P="57033"/>
                    Requirements,” which referenced under the “Guideline Number” column the 91 series of test guidelines. EPA's intention is to replace the 91 series test guideline designations with the appropriate 810 series test guideline designations. Therefore, at the time of the publication of the final rule, appropriate references to the 810 series test guideline numbers and names will be incorporated into the final rule.
                </P>
                <HD SOURCE="HD1">IV. Are there any applicable voluntary consensus standards that EPA should consider?</HD>
                <P>
                    This notice of availability does not involve a proposed regulatory action that would require the Agency to consider voluntary consensus standards pursuant to section 12(d) of the National Technology Transfer and Advancement Act of 1995 (NTTAA), Public Law 104-113, section 12(d) (15 U.S.C. 272 note). Section 12(d) of NTTAA 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 T="03">e.g.,</E>
                     materials specifications, test methods, sampling procedures, and business practices) that are developed or adopted by voluntary consensus standards bodies. NTTAA requires EPA to provide an explanation to Congress, through OMB, when the Agency decides not to use available and applicable voluntary consensus standards when NTTAA directs the Agency to do so.
                </P>
                <P>These test guidelines represent an Agency effort to harmonize the test guidelines within OCSPP, as well as to harmonize the OCSPP test guidelines with those of OECD. The process for developing and amending these test guidelines, which began in 1991, includes public participation and the extensive involvement of the scientific community, including peer review by SAP and the SAB and other expert scientific organizations.</P>
                <P>
                    In the future, these test guidelines could be incorporated into regulatory actions taken by EPA under TSCA, 
                    <E T="03">i.e.,</E>
                     with regard to the TSCA section 4 testing program. Although, NTTAA requirements do not specifically apply to the issuance of these particular test guidelines, EPA invites your comment on whether or not there are any voluntary consensus standards that should be considered during the development of the final test guidelines or any future regulatory action that may be taken under TSCA. Future regulatory actions under TSCA section 4 may involve notice and comment rulemaking or negotiated voluntary testing enforcement consent agreements/orders/decrees. Nevertheless, However, the Agency is interested in whether or not there are any voluntary consensus standards that EPA should consider either as part of the development of the final test guidelines themselves or in lieu of these final test guidelines when the Agency develops any future regulatory action that incorporates these test guidelines. Any comments provided will assist the Agency in complying with NTTAA by facilitating the Agency's identification of voluntary consensus standards that should be addressed in the test guideline or considered during the development of a proposed regulatory action that incorporates any standards included in the final test guidelines. Please submit your comments as directed under 
                    <E T="02">ADDRESSES</E>
                    .
                </P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects</HD>
                    <P>Environmental protection, Antimicrobial agents, Chemicals, Harmonized test guidelines, Health and safety.</P>
                </LSTSUB>
                <SIG>
                    <DATED>Dated: September 7, 2011.</DATED>
                    <NAME>Stephen A. Owens,</NAME>
                    <TITLE>Assistant Administrator, Office of Chemical Safety and Pollution Prevention.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23666 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6560-50-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                <DEPDOC>[FRL-9465-2; Docket ID No. EPA-HQ-ORD-2011-0671]</DEPDOC>
                <SUBJECT>Draft Toxicological Review of n-Butanol: In Support of Summary Information on the Integrated Risk Information System (IRIS)</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Environmental Protection Agency (EPA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of Public Comment Period and Listening Session; Extension.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        EPA announced a 60-day public comment period and a listening session on August 31, 2011 (76 FR 54227) for the external review draft human health assessment titled, “Toxicological Review of n-Butanol: In Support of Summary Information on the Integrated Risk Information System (IRIS)” (EPA/635/R-11/081A). EPA is extending the public comment period one week because of a one-week delay in the release of the Toxicological Review to the public. The draft assessment was prepared by the National Center for Environmental Assessment (NCEA) within the EPA Office of Research and Development (ORD). EPA is releasing this draft assessment solely for the purpose of pre-dissemination peer review under applicable information quality guidelines. This draft assessment has not been formally disseminated by EPA. It does not represent and should not be construed to represent any Agency policy or determination. After public review and comment, an EPA contractor will convene an expert panel for independent external peer review of this draft assessment. The public comment period and external peer review meeting are separate processes that provide opportunities for all interested parties to comment on the assessment. The external peer review meeting will be scheduled at a later date and announced in the 
                        <E T="04">Federal Register</E>
                        . Public comments submitted during the public comment period will be provided to the external peer reviewers before the panel meeting and considered by EPA in the disposition of public comments. Public comments received after the public comment period closes will not be submitted to the external peer reviewers and will only be considered by EPA if time permits.
                    </P>
                    <P>The listening session will be held on October 26, 2011, during the public comment period for this draft assessment. The purpose of the listening session is to allow all interested parties to present scientific and technical comments on draft IRIS health assessments to EPA and other interested parties attending the listening session.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>The public comment period will be extended to end November 7, 2011. Comments should be in writing and must be received by EPA by November 7, 2011.</P>
                    <P>
                        The listening session on the draft assessment for n-Butanol will be held on October 26, 2011, beginning at 9 a.m. and ending at 4 p.m., Eastern Daylight Time or when the last presentation has been completed. To attend the listening session, interested parties should register no later than October 19, 2011, following the instructions in the August 31 
                        <E T="04">Federal Register</E>
                         Notice (76 FR 54227). The location and instructions for entering the building can be found in the August 31, 2011, 
                        <E T="04">Federal Register</E>
                         Notice (76 FR 54227).
                    </P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        The draft “Toxicological Review of n-Butanol: In Support of Summary Information on the Integrated Risk Information System (IRIS)” is available primarily via the Internet on the NCEA home page under the Recent Additions and Publications menus at 
                        <E T="03">http://www.epa.gov/ncea.</E>
                         A limited number of paper copies are available from the Information Management Team (Address: Information Management 
                        <PRTPAGE P="57034"/>
                        Team, National Center for Environmental Assessment (Mail Code: 8601P), U.S. Environmental Protection Agency, 1200 Pennsylvania Avenue, NW., Washington, DC 20460; 
                        <E T="03">telephone:</E>
                         703-347-8561; 
                        <E T="03">facsimile:</E>
                         703-347-8691). If you request a paper copy, please provide your name, mailing address, and the draft assessment title.
                    </P>
                    <P>
                        Comments may be submitted electronically via 
                        <E T="03">http://www.regulations.gov,</E>
                         by e-mail, by mail, by facsimile, or by hand delivery/courier. Please follow the detailed instructions provided in the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section of the August 31, 2011, 
                        <E T="04">Federal Register</E>
                         Notice (76 FR 54227).
                    </P>
                    <P>
                        <E T="03">Additional Information:</E>
                         For information on the docket, 
                        <E T="03">http://www.regulations.gov,</E>
                         or the public comment period, please contact the Office of Environmental Information (OEI) Docket (Mail Code: 2822T), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460; 
                        <E T="03">telephone:</E>
                         202-566-1752; 
                        <E T="03">facsimile:</E>
                         202-566-1753; or 
                        <E T="03">e-mail:</E>
                          
                        <E T="03">ORD.Docket@epa.gov.</E>
                    </P>
                    <P>
                        For information on the draft assessment, please contact Ambuja Bale, National Center for Environmental Assessment [Mail Code: (8601-P)], U.S. Environmental Protection Agency, National Center for Environmental Assessment, Office of Research and Development, U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460; 
                        <E T="03">telephone:</E>
                         703-347-8643; 
                        <E T="03">facsimile:</E>
                         703-347-8689; or 
                        <E T="03">e-mail:</E>
                          
                        <E T="03">FRN_Questions@epa.gov.</E>
                    </P>
                </ADD>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Darrell A. Winner,</NAME>
                    <TITLE>Acting Director, National Center for Environmental Assessment.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23664 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6560-50-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                <DEPDOC>[EPA-HQ-OPP-2011-0005; FRL-8887-7]</DEPDOC>
                <SUBJECT>Pesticide Products; Receipt of Applications To Register New Uses</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Environmental Protection Agency (EPA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This notice announces receipt of applications to register new uses for pesticide products containing currently registered active ingredients, pursuant to the provisions of section 3(c) of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA), as amended. EPA is publishing this Notice of such applications, pursuant to section 3(c)(4) of FIFRA.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments must be received on or before October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Submit your comments, identified by the docket identification (ID) number specified within the table below, by one of the following methods:</P>
                    <P>
                        • 
                        <E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>
                         Follow the on-line instructions for submitting comments.
                    </P>
                    <P>
                        • 
                        <E T="03">Mail:</E>
                         Office of Pesticide Programs (OPP) Regulatory Public Docket (7502P), Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001.
                    </P>
                    <P>
                        • 
                        <E T="03">Delivery:</E>
                         OPP Regulatory Public Docket (7502P), Environmental Protection Agency, Rm. S-4400, One Potomac Yard (South Bldg.), 2777 S. Crystal Dr., Arlington, VA. Deliveries are only accepted during the Docket Facility's normal hours of operation (8:30 a.m. to 4 p.m., Monday through Friday, excluding legal holidays). Special arrangements should be made for deliveries of boxed information. The Docket Facility telephone number is (703) 305-5805.
                    </P>
                    <P>
                        <E T="03">Instructions:</E>
                         Direct your comments to the docket ID number specified for the pesticide of interest as shown in the registration application summaries. EPA's policy is that all comments received will be included in the docket without change and may be made available on-line at 
                        <E T="03">http://www.regulations.gov,</E>
                         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 regulations.gov or e-mail. The 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 e-mail comment directly to EPA without going through regulations.gov, your e-mail address will be automatically captured and included as part of the comment that is placed in the 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. 
                    </P>
                    <P>
                        <E T="03">Docket:</E>
                         All documents in the docket are listed in the docket index available at 
                        <E T="03">http://www.regulations.gov.</E>
                         Although listed in the index, some information is not publicly available, 
                        <E T="03">e.g.,</E>
                         CBI or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on the Internet and will be publicly available only in hard copy form. Publicly available docket materials are available either in the electronic docket at 
                        <E T="03">http://www.regulations.gov,</E>
                         or, if only available in hard copy, at the OPP Regulatory Public Docket in Rm. S-4400, One Potomac Yard (South Bldg.), 2777 S. Crystal Dr., Arlington, VA. The hours of operation of this Docket Facility are from 8:30 a.m. to 4 p.m., Monday through Friday, excluding legal holidays. The Docket Facility telephone number is (703) 305-5805. 
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>A contact person is listed at the end of each registration application summary and may be contacted by telephone or e-mail. The mailing address for each contact person listed is: Registration Division (7505P), Office of Pesticide Programs, Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001 or Biopesticides and Pollution Prevention Division (7511P), Office of Pesticide Programs, Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460-0001.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. General Information</HD>
                <HD SOURCE="HD2">A. Does this action apply to me?</HD>
                <P>You may be potentially affected by this action if you are an agricultural producer, food manufacturer, or pesticide manufacturer. Potentially affected entities may include, but are not limited to:</P>
                <P>• Crop production (NAICS code 111).</P>
                <P>• Animal production (NAICS code 112).</P>
                <P>• Food manufacturing (NAICS code 311).</P>
                <P>• Pesticide manufacturing (NAICS code 32532).</P>
                <P>
                    This listing is not intended to be exhaustive, but rather provides a guide for readers regarding entities likely to be affected by this action. Other types of entities not listed in this unit could also be affected. The North American Industrial Classification System (NAICS) codes have been provided to assist you and others in determining whether this action might apply to 
                    <PRTPAGE P="57035"/>
                    certain entities. If you have any questions regarding the applicability of this action to a particular entity, consult the person listed under 
                    <E T="02">FOR FURTHER INFORMATION CONTACT</E>
                    .
                </P>
                <HD SOURCE="HD2">B. What should I consider as I prepare my comments for EPA?</HD>
                <P>
                    <E T="03">1. Submitting CBI.</E>
                     Do not submit this information to EPA through regulations.gov or e-mail. Clearly mark the part or all of the information that you claim to be CBI. For CBI information 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.
                </P>
                <P>
                    <E T="03">2. Tips for preparing your comments.</E>
                     When submitting comments, remember to:
                </P>
                <P>
                    i. Identify the document by docket ID number and other identifying information (subject heading, 
                    <E T="04">Federal Register</E>
                     date and page number). If you are commenting on a docket that addresses multiple products, please indicate to which registration number(s) your comment applies.
                </P>
                <P>ii. Follow directions. The Agency may ask you to respond to specific questions or organize comments by referencing a Code of Federal Regulations (CFR) part or section number.</P>
                <P>iii. Explain why you agree or disagree; suggest alternatives and substitute language for your requested changes.</P>
                <P>iv. Describe any assumptions and provide any technical information and/or data that you used.</P>
                <P>v. If you estimate potential costs or burdens, explain how you arrived at your estimate in sufficient detail to allow for it to be reproduced.</P>
                <P>vi. Provide specific examples to illustrate your concerns and suggest alternatives.</P>
                <P>vii. Explain your views as clearly as possible, avoiding the use of profanity or personal threats.</P>
                <P>viii. Make sure to submit your comments by the comment period deadline identified.</P>
                <HD SOURCE="HD1">II. Registration Applications for New Uses</HD>
                <P>EPA received applications as follows to register pesticide products containing currently registered active ingredients pursuant to the provisions of section 3(c) of FIFRA, and is publishing this Notice of such applications pursuant to section 3(c)(4) of FIFRA. Notice of receipt of these applications does not imply a decision by the Agency on the applications.</P>
                <P>
                    1. 
                    <E T="03">Registration Numbers:</E>
                     100-815 and 100-816. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0657. 
                    <E T="03">Company Name and Address:</E>
                     Syngenta Crop Protection, LLC, P.O. Box 18300, Greensboro, NC 27419. 
                    <E T="03">Active Ingredient:</E>
                     S-metolachlor. 
                    <E T="03">Proposed Uses:</E>
                     Cilantro and beet, garden, leaves. 
                    <E T="03">Contact:</E>
                     Michael Walsh, Registration Division, (703) 308-2972, 
                    <E T="03">walsh.michael@epa.gov.</E>
                </P>
                <P>
                    2
                    <E T="03">. Registration Numbers:</E>
                     66330-45 and 66330-46. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0641. 
                    <E T="03">Company Name and Address:</E>
                     Arysta LifeScience North America LLC, 15401 Weston Parkway, Suite 150, Cary, NC 27513. 
                    <E T="03">Active Ingredient:</E>
                     Amicarbazone. 
                    <E T="03">Proposed Use:</E>
                     Turf. 
                    <E T="03">Contact:</E>
                     Michael Walsh, Registration Division, (703) 308-2972, 
                    <E T="03">walsh.michael@epa.gov.</E>
                </P>
                <P>
                    3. 
                    <E T="03">Registration Numbers:</E>
                     62719-73, 62719-80, 62719-81, and 62719-84. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0569. 
                    <E T="03">Company Name and Address:</E>
                     Dow AgroSciences LLC, 9330 Zionsville Road, Indianapolis, IN 46268. 
                    <E T="03">Active Ingredient:</E>
                     Clopyralid. 
                    <E T="03">Proposed Uses:</E>
                     Apple, Leafy 
                    <E T="03">Brassica</E>
                     Subgroup 5B, and Rapeseed Subgroup 20A. 
                    <E T="03">Contact:</E>
                     Michael Walsh, Registration Division, (703) 308-2972, 
                    <E T="03">walsh.michael@epa.gov.</E>
                </P>
                <P>
                    4
                    <E T="03">. Registration Numbers:</E>
                     100-1098 and 100-1120. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0398. 
                    <E T="03">Company Name and Address:</E>
                     Syngenta Crop Protection, LLC, P.O. Box 18300, Greensboro, NC 27419. 
                    <E T="03">Active Ingredient:</E>
                     Azoxystrobin. 
                    <E T="03">Proposed Uses:</E>
                     Post-harvest uses on potatoes, and crop group expansions for bulb vegetables 3-07A and 3-07B; caneberries 13-07A; bushberries 13-07B; small fruit vine climbing 13-07F, except fuzzy kiwifruit; low growing berry 13-07G, except cranberry; low growing berry 13-07H, except strawberry; citrus crop group 10-10; and fruiting vegetable crop group 8-10; dragon fruit as part of tropical fruits; wasabi as part of crop group 19; and oilseed crop group 20. 
                    <E T="03">Contact:</E>
                     Heather Garvie, Registration Division, (703) 308-0034, 
                    <E T="03">garvie.heather@epa.gov.</E>
                </P>
                <P>
                    5
                    <E T="03">. Registration Number:</E>
                     100-1178. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0398. 
                    <E T="03">Company Name and Address:</E>
                     Syngenta Crop Protection, LLC, P.O. Box 18300, Greensboro, NC 27419. 
                    <E T="03">Active Ingredients:</E>
                     Azoxystrobin and propiconazole. 
                    <E T="03">Proposed Uses:</E>
                     Beans, dry and succulent; and crop group expansions for caneberry, subgroup 13-07A; bushberry subgroup 13-07B; and bulb vegetable, crop group 3-07. 
                    <E T="03">Contact:</E>
                     Heather Garvie, Registration Division, (703) 308-0034, 
                    <E T="03">garvie.heather@epa.gov.</E>
                </P>
                <P>
                    6
                    <E T="03">. Registration Number:</E>
                     100-1308. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0398. 
                    <E T="03">Company Name and Address:</E>
                     Syngenta Crop Protection, LLC, P.O. Box 18300, Greensboro, NC 27419. 
                    <E T="03">Active Ingredients:</E>
                     Azoxystrobin and fludioxonil. 
                    <E T="03">Proposed Use:</E>
                     Crop group expansion on citrus crop group 10-10. 
                    <E T="03">Contact:</E>
                     Heather Garvie, Registration Division, (703) 308-0034, 
                    <E T="03">garvie.heather@epa.gov.</E>
                </P>
                <P>
                    7
                    <E T="03">. Registration Number:</E>
                     100-1313. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0398. 
                    <E T="03">Company Name and Address:</E>
                     Syngenta Crop Protection, LLC, P.O. Box 18300, Greensboro, NC 27419. 
                    <E T="03">Active Ingredients:</E>
                     Azoxystrobin and difenoconazole. 
                    <E T="03">Proposed Uses:</E>
                     Crop group expansions for citrus fruits, crop group 10-10; small fruit vine climbing 13-07F, except fuzzy kiwifruit; low growing berry subgroup 13-07G, except cranberry; bulb vegetable, crop group 3-07 and fruiting vegetable, crop group 8-10. 
                    <E T="03">Contact:</E>
                     Heather Garvie, Registration Division, (703) 308-0034, 
                    <E T="03">garvie.heather@epa.gov.</E>
                </P>
                <P>
                    8. 
                    <E T="03">Registration Number:</E>
                     100-1324. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0398. 
                    <E T="03">Company Name and Address:</E>
                     Syngenta Crop Protection, LLC., P.O. Box 18300, Greensboro, NC 27419. 
                    <E T="03">Active Ingredients:</E>
                     Azoxystrobin and propiconazole. 
                    <E T="03">Proposed Uses:</E>
                     Beans, dry and succulent; and crop group expansions for caneberry, subgroup 13-07A; bushberry subgroup 13-07B; low growing berry subgroup 13-07G, except cranberry; and bulb onion subgroup 3-07A and green onion subgroup 3-07B. 
                    <E T="03">Contact:</E>
                     Heather Garvie, Registration Division, (703) 308-0034, 
                    <E T="03">garvie.heather@epa.gov.</E>
                </P>
                <P>
                    9. 
                    <E T="03">File Symbol:</E>
                     499-LLT. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0575. 
                    <E T="03">Company Name and Address:</E>
                     Whitmire Micro-Gen Research Laboratories, Inc., 3568 Tree Court Industrial Blvd., Saint Louis, MO 63122. 
                    <E T="03">Active Ingredient:</E>
                     Novaluron. 
                    <E T="03">Proposed Use:</E>
                     For control of termites. 
                    <E T="03">Contact:</E>
                     Jennifer Gaines, Registration Division, (703) 305-5967, 
                    <E T="03">gaines.jennifer@epa.gov.</E>
                </P>
                <P>
                    10
                    <E T="03">. File Symbols:</E>
                     66222-EGE and 66222-EGR. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0576. 
                    <E T="03">Company Name and Address:</E>
                     Makhteshim Agan of North America, Inc., 4515 Falls of Neuse Road, Suite 300, Raleigh, NC 27609. 
                    <E T="03">Active Ingredient:</E>
                     Novaluron. 
                    <E T="03">Proposed Use:</E>
                     For control of mosquito larvae. 
                    <E T="03">Contact:</E>
                     Jennifer Gaines, Registration Division, (703) 305-5967, 
                    <E T="03">gaines.jennifer@epa.gov.</E>
                    <PRTPAGE P="57036"/>
                </P>
                <P>
                    11. 
                    <E T="03">Registration Numbers:</E>
                     66330-64 and 66330-65. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2009-0677. 
                    <E T="03">Company Name and Address:</E>
                     Arysta LifeScience, North America LLC, 15401 Weston Parkway, Suite 150, Cary, NC 27513. 
                    <E T="03">Active Ingredient:</E>
                     Fluoxastrobin. 
                    <E T="03">Proposed Use:</E>
                     Rice grain. 
                    <E T="03">Contact:</E>
                     Heather Garvie, Registration Division, (703) 308-0034, 
                    <E T="03">garvie.heather@epa.gov.</E>
                </P>
                <P>
                    12. 
                    <E T="03">File Symbol:</E>
                     85685-E. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0664. 
                    <E T="03">Company Name and Address:</E>
                     FourStar Microbial Products LLC, 3330 Noyac Road, Bldg. E, Sag Harbor, NY 11963. 
                    <E T="03">Active Ingredients: Bacillus thuringiensis</E>
                     subspecies israelensis strain BMP 144 solids, spores and insecticidal toxins and 
                    <E T="03">Bacillus sphaericus. Proposed Use:</E>
                     Standing waters to control mosquitos. 
                    <E T="03">Contact:</E>
                     Kathleen Martin, Biopesticide and Pollution Prevention Division, (703) 308-2857, 
                    <E T="03">martin.kathleen@epa.gov.</E>
                </P>
                <P>
                    13. 
                    <E T="03">File Symbol:</E>
                     87766-R. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0630. 
                    <E T="03">Company Name and Address:</E>
                     Trifecta LLC, P.O. Box 9825, Fayetteville, AR 72703. 
                    <E T="03">Active Ingredient:</E>
                     Carbon dioxide (CO
                    <E T="52">2</E>
                    ). 
                    <E T="03">Proposed Use:</E>
                     For control of fire ants. 
                    <E T="03">Contact:</E>
                     Gene Benbow, Registration Division, (703) 347-0235, 
                    <E T="03">benbow.gene@epa.gov.</E>
                </P>
                <P>
                    14. 
                    <E T="03">File Symbol:</E>
                     87942-R. 
                    <E T="03">Docket Number:</E>
                     EPA-HQ-OPP-2011-0629. 
                    <E T="03">Company Name and Address:</E>
                     Rentokil Initial plc, 33 Chicago Avenue, Oak Park, IL 60302. 
                    <E T="03">Active Ingredient:</E>
                     Carbon dioxide (CO
                    <E T="52">2</E>
                    ). 
                    <E T="03">Proposed Uses:</E>
                     For control of Norway rats, roof rats, and house mice. 
                    <E T="03">Contact:</E>
                     Gene Benbow, Registration Division, (703) 347-0235, 
                    <E T="03">benbow.gene@epa.gov.</E>
                </P>
                <LSTSUB>
                    <HD SOURCE="HED">List of Subjects</HD>
                    <P>Environmental protection, Pesticides and pest.</P>
                </LSTSUB>
                <SIG>
                    <DATED>Dated: September 6, 2011.</DATED>
                    <NAME>Lois Rossi,</NAME>
                    <TITLE>Director, Registration Division, Office of Pesticide Programs.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23518 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6560-50-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">EXPORT-IMPORT BANK OF THE UNITED STATES</AGENCY>
                <SUBJECT>Notice of Open Meeting of the Advisory Committee of the Export-Import Bank of the United States (Ex-Im Bank)</SUBJECT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Advisory Committee was established by Public Law 98-181, November 30, 1983, to advise the Export-Import Bank on its programs and to provide comments for inclusion in the reports of the Export-Import Bank of the United States to Congress.</P>
                    <P>
                        <E T="03">Time and Place:</E>
                         Tuesday, September 27 from 11 a.m. to 3 p.m. A break for lunch will be at the expense of the attendee. Security processing will be necessary for reentry into the building. The meeting will be held at Ex-Im Bank in the Main Conference Room 1143, 811 Vermont Avenue, NW., Washington, DC 20571.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Agenda items include a briefing of the Advisory Committee members on the status of the Bank's activities and progress reports from the various subcommittees.
                    </P>
                    <P>
                        <E T="03">Public Participation:</E>
                         The meeting will be open to public participation, and the last 10 minutes will be set aside for oral questions or comments. Members of the public may also file written statement(s) before or after the meeting. If you plan to attend, a photo ID must be presented at the guard's desk as part of the clearance process into the building, and you may contact Susan Houser to be placed on an attendee list. If any person wishes auxiliary aids (such as a sign language interpreter) or other special accommodations, please contact, prior to September 20, 2011, Susan Houser, Room 1273, 811 Vermont Avenue, NW., Washington, DC 20571, Voice: (202) 565-3232.
                    </P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Susan Houser, Room 1273, 811 Vermont Ave., NW., Washington, DC 20571, (202) 565-3232.</P>
                    <SIG>
                        <NAME>Angela Marian Freyre,</NAME>
                        <TITLE>Senior Vice President and General Counsel.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23668 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6690-01-M</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">FEDERAL DEPOSIT INSURANCE CORPORATION</AGENCY>
                <SUBJECT>Notice of Change in Subject Matter of Agency Meeting</SUBJECT>
                <P>Pursuant to the provisions of subsection (e)(2) of the “Government in the Sunshine Act” (5 U.S.C. 552b(e)(2)), notice is hereby given that at its open meeting held at 9:57 a.m. on Tuesday, September 13, 2011, the Corporation's Board of Directors determined, on motion of Director Thomas J. Curry (Appointive), seconded by Director John G. Walsh (Acting Comptroller of the Currency), and concurred in by Acting Chairman Martin J. Gruenberg, that Corporation business required the addition to the agenda for consideration at the meeting, on less than seven days' notice to the public, of the following matters:</P>
                <FP SOURCE="FP-1">Memorandum and resolution re: Final Rule on Resolution Plans Required.</FP>
                <FP SOURCE="FP-1">Memorandum and resolution re: Interim Final Rule on Resolution Plans Required for Insured Depository Institutions with $50 Billion or More in Total Assets.</FP>
                <P>The Board further determined, by the same majority vote, that no notice earlier than September 7, 2011, of the change in the subject matter of the meeting was practicable.</P>
                <SIG>
                    <DATED>Dated: September 13, 2011.</DATED>
                    <FP>Federal Deposit Insurance Corporation.</FP>
                    <NAME>Robert E. Feldman,</NAME>
                    <TITLE>Executive Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23844 Filed 9-13-11; 4:15 pm]</FRDOC>
            <BILCOD>BILLING CODE P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">FEDERAL DEPOSIT INSURANCE CORPORATION</AGENCY>
                <SUBJECT>Sunshine Act Meeting</SUBJECT>
                <P>Pursuant to the provisions of the “Government in the Sunshine Act” (5 U.S.C. 552b), notice is hereby given that at 10:39 a.m. on Tuesday, September 13, 2011, the Board of Directors of the Federal Deposit Insurance Corporation met in closed session to consider matters related to the Corporation's supervision, corporate, and resolution activities.</P>
                <P>In calling the meeting, the Board determined, on motion of Director Thomas J. Curry (Appointive), seconded by Director John G. Walsh (Acting Comptroller of the Currency), and concurred in by Acting Chairman Martin J. Gruenberg, that Corporation business required its consideration of the matters which were to be the subject of this meeting on less than seven days' notice to the public; that no earlier notice of the meeting was practicable; that the public interest did not require consideration of the matters in a meeting open to public observation; and that the matters could be considered in a closed meeting by authority of subsections (c)(4), (c)(6), (c)(8), (c)(9)(A)(ii), (c)(9)(B), and (c)(10) of the “Government in the Sunshine Act” (5 U.S.C. 552b(c)(4), (c)(6), (c)(8), (c)(9)(A)(ii), (c)(9)(B), and (c)(10)).</P>
                <P>The meeting was held in the Board Room of the FDIC Building located at 550 17th Street, NW., Washington, DC.</P>
                <SIG>
                    <DATED>Dated: September 13, 2011.</DATED>
                    <FP>Federal Deposit Insurance Corporation.</FP>
                    <NAME>Robert E. Feldman,</NAME>
                    <TITLE>Executive Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23836 Filed 9-13-11; 4:15 pm]</FRDOC>
            <BILCOD>BILLING CODE P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <PRTPAGE P="57037"/>
                <AGENCY TYPE="S">FEDERAL DEPOSIT INSURANCE CORPORATION</AGENCY>
                <SUBJECT>Notice to All Interested Parties of the Termination of the Receivership of 10000, Metropolitan Savings Bank, Pittsburgh, PA</SUBJECT>
                <P>Notice is Hereby Given that the Federal Deposit Insurance Corporation (“FDIC”) as Receiver for Metropolitan Savings Bank, (“the Receiver”) intends to terminate its receivership for said institution. The FDIC was appointed receiver of Metropolitan Savings Bank on February 2, 2007. The liquidation of the receivership assets has been completed. To the extent permitted by available funds and in accordance with law, the Receiver will be making a final dividend payment to proven creditors.</P>
                <P>
                    Based upon the foregoing, the Receiver has determined that the continued existence of the receivership will serve no useful purpose. Consequently, notice is given that the receivership shall be terminated, to be effective no sooner than thirty days after the date of this Notice. If any person wishes to comment concerning the termination of the receivership, such comment must be made in writing and sent within thirty days of the date of this Notice to: Federal Deposit Insurance Corporation, Division of Resolutions and Receiverships, 
                    <E T="03">Attention:</E>
                     Receivership Oversight Department 8.1, 1601 Bryan Street, Dallas, TX 75201.
                </P>
                <P>No comments concerning the termination of this receivership will be considered which are not sent within this timeframe.</P>
                <SIG>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <FP>Federal Deposit Insurance Corporation.</FP>
                    <NAME>Robert E. Feldman,</NAME>
                    <TITLE>Executive Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23705 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6714-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">FEDERAL ELECTION COMMISSION</AGENCY>
                <SUBJECT>Sunshine Act Notice</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Election Commission.</P>
                    <P>
                        <E T="04">Federal Register</E>
                         Citation of Previous Announcement—76 FR 55677 (September 8, 2011).
                    </P>
                </AGY>
                <PREAMHD>
                    <HD SOURCE="HED">DATE AND TIME:</HD>
                    <P> Tuesday, September 13, and Thursday, September 15, 2011 at 10 a.m.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PLACE:</HD>
                    <P> 999 E Street, NW., Washington, DC (Ninth Floor).</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">STATUS:</HD>
                    <P> This meeting is closed to the public.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">CHANGES IN THE MEETING:</HD>
                    <P> The September 13, 2011 meeting was canceled.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PERSON TO CONTACT FOR INFORMATION:</HD>
                    <P> Judith Ingram, Press Officer, Telephone: (202) 694-1220.</P>
                </PREAMHD>
                <SIG>
                    <NAME>Shawn Woodhead Werth,</NAME>
                    <TITLE>Secretary and Clerk of the Commission.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23733 Filed 9-13-11; 11:15 am]</FRDOC>
            <BILCOD>BILLING CODE 6715-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">FEDERAL RESERVE SYSTEM</AGENCY>
                <SUBJECT>Proposed Agency Information Collection Activities; Comment Request</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Board of Governors of the Federal Reserve System.</P>
                </AGY>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>Under authority delegated to the Board of Governors of the Federal Reserve System (Board) by the Office of Management and Budget (OMB) under the Paperwork Reduction Act (PRA), the Board is requesting comment on four surveys related to its obligations under section 920(a) of the Electronic Fund Transfer Act (EFTA). Two surveys request information about the prevalence of the use of general-use prepaid cards in federal, state, and local government-administered payment programs and the interchange and cardholder fees charged with respect to this use. The Board is proposing to conduct these surveys to collect information necessary to meet its obligation under EFTA section 920(a)(7)(D) to submit an annual report to the Congress on such programs and fees. One of these surveys will require information from issuers of government-administered, general-use prepaid cards, in accordance with the Board's information collection authority in section 920(a)(3)(B) of the EFTA. The other survey, which is voluntary, will be directed to state governments that administer general-use prepaid cards.</P>
                    <P>The Board is also requesting comment on two mandatory surveys, one for debit card issuers and one for payment card networks, that will collect information on costs, debit card usage, and interchange fees. These surveys will enable the Board to meet its obligation under EFTA section 920(a)(3) to disclose aggregate or summary information concerning the costs incurred and interchange fees charged or received by issuers or payment card networks in connection with the authorization, clearance or settlement of electronic debit transactions.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments must be submitted on or before November 14, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>You may submit comments, identified by FR 3063a or b (government-administered, general-use prepaid cards), FR 3064a (debit card issuers), or FR 3064b (payment card networks), by any of the following methods:</P>
                    <P>
                        • 
                        <E T="03">Agency Web Site: http://www.federalreserve.gov.</E>
                         Follow the instructions for submitting comments at 
                        <E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm.</E>
                    </P>
                    <P>
                        • 
                        <E T="03">Federal eRulemaking Portal: http://www.regulations.gov.</E>
                         Follow the instructions for submitting comments.
                    </P>
                    <P>
                        • 
                        <E T="03">E-mail: regs.comments@federalreserve.gov.</E>
                         Include the docket number in the subject line of the message.
                    </P>
                    <P>
                        • 
                        <E T="03">Fax:</E>
                         202/452-3819 or 202/452-3102.
                    </P>
                    <P>
                        • 
                        <E T="03">Mail:</E>
                         Jennifer J. Johnson, Secretary, Board of Governors of the Federal Reserve System, 20th Street and Constitution Avenue, NW., Washington, DC 20551.
                    </P>
                    <P>Additionally, commenters should send a copy of their comments to the OMB Desk Officer, Shagufta Ahmed, by mail to Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Room 10235, 725 17th Street, NW., Washington, DC 20503 or by fax to 202-395-6974.</P>
                    <P>
                        All public comments are available on the Board's Web site at 
                        <E T="03">http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm</E>
                         as submitted, unless modified for technical reasons. Accordingly, comments will not be edited to remove any identifying or contact information. Public comments may also be viewed electronically or in paper form in Room MP-500 of the Board's Martin Building (20th and C Streets, NW.) between 9 a.m. and 5 p.m. on weekdays.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Jennifer Williams, Senior Financial Services Analyst (202-452-2446), Division of Reserve Bank Operations and Payment Systems, Board of Governors of the Federal Reserve System, Washington, DC 20551, for FR 3063a or b (government-administered, general-use prepaid cards).</P>
                    <P>Edith Collis, Senior Financial Services Analyst (202-452-3638), Division of Reserve Bank Operations and Payment Systems, Board of Governors of the Federal Reserve System, Washington, DC 20551, for FR 3064a (debit card issuers).</P>
                    <P>
                        Linda Healey, Senior Financial Services Analyst (202-452-5274), Division of Reserve Bank Operations and Payment Systems, Board of 
                        <PRTPAGE P="57038"/>
                        Governors of the Federal Reserve System, Washington, DC 20551, for FR 3064b (payment card networks).
                    </P>
                    <P>
                        A copy of the PRA OMB submission, including the proposed surveys, supporting statement, and other documentation will be placed into OMB's public docket files, once approved. These documents will also be made available on the Board's public Web site at: 
                        <E T="03">http://www.federalreserve.gov/boarddocs/reportforms/review.cfm</E>
                         or may be requested from the agency clearance officer, whose name appears below.
                    </P>
                    <P>Cynthia Ayouch, Federal Reserve Board Clearance Officer (202-452-3829), Division of Research and Statistics, Board of Governors of the Federal Reserve System, Washington, DC 20551. Telecommunications Device for the Deaf (TDD) users may contact (202-263-4869), Board of Governors of the Federal Reserve System, Washington, DC 20551.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">Background</HD>
                <P>On June 15, 1984, the OMB delegated to the Board its approval authority under the PRA, pursuant to 5 CFR 1320.16, to approve of and assign OMB control numbers to collection of information requests and requirements conducted or sponsored by the Board under conditions set forth in 5 CFR Part 1320 Appendix A.1. Board-approved collections of information are incorporated into the official OMB inventory of currently approved collections of information. Copies of the PRA submission, supporting statements and approved collection of information instruments are placed into OMB's public docket files. The Board may not conduct or sponsor, and a respondent is not required to respond to, an information collection that has been extended, revised, or implemented on or after October 1, 1995, unless it displays a currently valid OMB control number.</P>
                <HD SOURCE="HD1">Request for Comment on Information Collection Proposals</HD>
                <P>The following information collections, which are being handled under OMB delegated authority, have received initial Board approval and are hereby published for comment. After the comment deadline, the proposed information collections, along with an analysis of comments and recommendations received, will be submitted to the Board for final approval under this delegated authority. The Board requests comment on all aspects of the proposed surveys, as discussed further below, including the following:</P>
                <P>a. Whether the proposed collection of information is necessary for the proper performance of the Board's functions, including whether the information has practical utility;</P>
                <P>b. The accuracy of the Board's estimate of the burden of the proposed information collection, including the validity of the methodology and assumptions used;</P>
                <P>c. Ways to enhance the quality, utility, and clarity of the information to be collected; and</P>
                <P>d. Ways to minimize the burden of information collection on respondents, including through the use of automated collection techniques or other forms of information technology.</P>
                <HD SOURCE="HD1">Proposal To Approve Under OMB Delegated Authority the Implementation of the Following Information Collections</HD>
                <P>
                    1. 
                    <E T="03">Report title:</E>
                     Government-administered, General-use Prepaid Card Surveys.
                    <SU>1</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         The proposed issuer and state government surveys, supporting statement, and other documentation are available on the Board's public Web site at: 
                        <E T="03">http://www.federalreserve.gov/boarddocs/reportforms/review.cfm.</E>
                    </P>
                </FTNT>
                <P>
                    <E T="03">Agency form number:</E>
                     FR 3063a and FR 3063b.
                </P>
                <P>
                    <E T="03">OMB control number:</E>
                     7100- to be assigned.
                </P>
                <P>
                    <E T="03">Frequency:</E>
                     Annual.
                </P>
                <P>
                    <E T="03">Reporters:</E>
                     Issuers of government-administered, general-use prepaid cards (FR 3063a) and state governments that administer general-use prepaid cards (FR 3063b).
                </P>
                <P>
                    <E T="03">Estimated annual reporting hours:</E>
                     FR 3063a: 1,000 hours; FR 3063b: 900 hours.
                </P>
                <P>
                    <E T="03">Estimated average hours per response:</E>
                     FR 3063a: 50 hours; FR 3063b: 15 hours.
                </P>
                <P>
                    <E T="03">Number of respondents:</E>
                     FR 3063a: 20; FR 3063b: 60.
                </P>
                <P>
                    <E T="03">General description of report:</E>
                     These information collections are authorized by section 920(a) of the EFTA, which was added by section 1075(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). 15 U.S.C. 1693o-2. EFTA Section 920(a) requires the Board to submit an annual report to the Congress on the prevalence of the use of general-use prepaid cards in federal, state, or local government-administered payment programs and the interchange transaction fees and card-holder fees charged with respect to the use of such general-use prepaid cards. 15 U.S.C. 1693o-2(a)(7)(D). EFTA Section 920(a) also provides the Board with authority to require issuers to provide information to enable the Board to carry out the provisions of EFTA Section 920(a). 15 U.S.C. 1693o-2(a)(3)(B).
                </P>
                <P>The obligation of issuers to respond to the issuer survey (FR 3063a) is mandatory. Some of the data collected by FR 3063a may be kept confidential under exemption (b)(4) of the Freedom of Information Act (FOIA), which exempts from disclosure “trade secrets and commercial or financial information obtained from a person and privileged or confidential.” 5 U.S.C. 552(b)(4). Information collected under FR 3063a can be kept confidential under exemption (b)(4) if the release of data would cause substantial harm to the competitive position of the issuer.</P>
                <P>The obligation of state governments to respond to the government survey (FR 3063b) is voluntary. The Board anticipates that all of the information collected by FR 3063b would be publicly available information and would not be given confidential treatment.</P>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. What information collected by the issuer survey (FR 3063a) would consist of trade secrets or commercial or financial information;</P>
                <P>b. Whether information collected by the government survey (FR 3063b) is publicly available information; and</P>
                <P>c. Whether there are issuers of government-administered, general-use prepaid cards that are not depository institutions, and, if so, should the depository institution holding the insured deposits underlying the cards be required to report on behalf of those issuers.</P>
                <P>
                    <E T="03">Abstract:</E>
                     Section 920 of the EFTA provides that the Board shall provide annually a report to the Congress regarding the prevalence of the use of general-use prepaid cards in federal, state, and local government-administered payment programs, and the interchange and cardholder fees charged with respect to this use. Section 920(a) also provides the Board with authority to require card issuers to respond to information requests as may be necessary to carry out the provisions of the section.
                </P>
                <P>
                    On March 24, 2011, the Board distributed two surveys to industry participants (a depository institution survey and a state government survey) designed to assist the Board in meeting the reporting requirements in section 920(a) related to the prevalence of the use of general-use prepaid cards in federal, state, or local government-administered payment programs and 
                    <PRTPAGE P="57039"/>
                    associated fees.
                    <SU>2</SU>
                    <FTREF/>
                     In response to comments and survey submissions from issuers and governments, the Board developed the FR 3063a and 3063b surveys, as described below, which would replace the surveys distributed in March 2011.
                </P>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         The 2011 depository institution and state government surveys were conducted via the Ad Hoc Payment System Surveys (FR 3054a; OMB No. 7100-0332).
                    </P>
                </FTNT>
                <P>
                    <E T="03">Current Actions:</E>
                     The Board proposes to implement the issuer survey (FR 3063a) and the government survey (FR 3063b). Responding to the issuer survey (FR 3063a) would be required for approximately 20 depository institutions that issue general-use prepaid cards for federal, state, or local government-administered payment programs. The survey would request information on cards associated with accounts domiciled in the United States, District of Columbia, and U.S. territories.
                    <SU>3</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         U.S. territories include American Samoa, Federal States of Micronesia, Guam, Midway Islands, Northern Mariana Islands, Puerto Rico, Republic of Palau, Republic of the Marshall Islands, and U.S. Virgin Islands.
                    </P>
                </FTNT>
                <P>
                    In general, the issuer survey (FR 3063a) would collect information separately for each government-administered program for which the depository institution is the issuer of general-use prepaid cards as well as in the aggregate for all programs. The issuer survey would collect information on card programs using two types of authentication mechanisms: dual-message transactions (those generally requiring a signature) and single-message transactions (those generally requiring the input of a personal identification number (PIN)).
                    <SU>4</SU>
                    <FTREF/>
                     The first reporting period would cover the calendar year 2011, collected as of December 31, 2011.
                </P>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         In dual-message transactions, authorization information is carried in one message and clearing information is carried in a separate message. In single-message transactions, authorization and clearing information is carried in one message. General-use prepaid cards may use either method (although dual-message transactions are more common) and may be reloadable or non-reloadable.
                    </P>
                </FTNT>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. The best terms to use in identifying types of authentication mechanisms (single-message and dual-message versus PIN and signature) given that not all dual-message transactions require a signature and not all single-message transactions require a PIN.</P>
                <P>The issuer survey would comprise 10 sections:</P>
                <P>
                    I. 
                    <E T="03">Respondent Information:</E>
                     Respondents would provide the name of the card issuer covered in the response; and the contact person(s) name, survey section for which they are responsible, e-mail, and phone number.
                </P>
                <P>
                    II. 
                    <E T="03">Card program information:</E>
                     Respondents would report summary information on card programs covered in the response, whether the response covers federal, state, or local programs, jurisdiction,
                    <SU>5</SU>
                    <FTREF/>
                     sponsoring government agency(ies), a description of payment type, recipients receiving payments on prepaid cards, and recipients receiving payments by all payment methods.
                </P>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         Jurisdiction refers to the geographic area in which the general-use prepaid card program is administered.
                    </P>
                </FTNT>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. The ability of issuers to provide the total number of recipients receiving payments, regardless of payment method.</P>
                <P>
                    III. 
                    <E T="03">Government-Administered Prepaid Cards:</E>
                     Respondents would report summary information on the number of cards outstanding, and the allocation of cards outstanding between cards that can be used on both dual-message (signature) and single-message (PIN) networks.
                </P>
                <P>
                    IV. 
                    <E T="03">Funding:</E>
                     Respondents would report the value of funds loaded into prepaid card accounts, funds outstanding on prepaid card accounts, and all funds disbursed by all payment methods.
                </P>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. The ability of issuers to provide the total value of all funds disbursed, regardless of payment method.</P>
                <P>
                    b. Whether any funding patterns during the month may change significantly an issuer's response depending on the as-of date requested. 
                    <E T="04">Note</E>
                    —The draft survey requests outstanding funds at the end of the month.
                </P>
                <P>
                    V. 
                    <E T="03">ATM Transactions:</E>
                     Respondents would report summary information on the number of cards outstanding at year-end that can be used to make ATM cash withdrawals, the volume and value of ATM cash withdrawals, and the ATM fees charged for withdrawals by ATM operators at nonproprietary ATMs.
                </P>
                <P>
                    VI. 
                    <E T="03">Purchase Transactions:</E>
                     Respondents would report summary information on the volume and value of settled purchase transactions and the volume and value of settled purchase transactions for dual-message (signature) transactions and single-message (PIN) transactions.
                </P>
                <P>
                    VII. 
                    <E T="03">Interchange Fees:</E>
                     Respondents would report interchange fee revenues received on settled purchase transactions and the allocation of the interchange fee revenues received on settled purchase transactions 
                    <SU>6</SU>
                    <FTREF/>
                     for dual-message (signature) transactions and single-message (PIN) transactions.
                </P>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         A settled purchase transaction refers to a debit card transaction that has been settled, excluding transactions that are pre-authorizations, denials, adjustments, or returns.
                    </P>
                </FTNT>
                <P>
                    VIII. 
                    <E T="03">Fees Paid by Issuers:</E>
                     Respondents would report the fees paid on nonproprietary ATM cash withdrawals and the fees paid on over-the-counter cash withdrawals at other banks' teller stations.
                </P>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. Whether fees paid for over-the-counter at-bank (teller) cash withdrawals should be included in the survey.</P>
                <P>
                    IX. 
                    <E T="03">Revenues From Cardholder Fees:</E>
                     Respondents would provide total revenues received on all fees charged to cardholders and the allocation of all fees charged to cardholders between routine purchase transaction fees, monthly fees, balance inquiry fees, ATM fees, over-the-counter at-bank (teller) fees, account servicing fees, penalty fees, and all other fees.
                </P>
                <P>
                    X. 
                    <E T="03">Fees Assessed to Cardholders:</E>
                     Respondents would provide summary information on fees assessed to cardholders by the issuer, including routine purchase transaction fees, monthly fees, balance inquiry fees, ATM fees charged to cardholders, over-the-counter at-bank (teller) fees, account servicing fees, penalty fees, and all other fees.
                </P>
                <P>
                    Responding to the government survey (FR 3063b) would be voluntary for approximately 60 government entities, including the states, the District of Columbia, and U.S. territories (collectively “state governments”). The survey would collect information about the prevalence of use of general-use prepaid cards in federal, state, and local government-administered payment programs.
                    <SU>7</SU>
                    <FTREF/>
                     The first reporting period would cover the calendar year 2011, collected as of December 31, 2011.
                </P>
                <FTNT>
                    <P>
                        <SU>7</SU>
                         See footnote 3.
                    </P>
                </FTNT>
                <P>The government survey would comprise four sections:</P>
                <P>
                    I. 
                    <E T="03">Respondent Information:</E>
                     Respondents would identify the government agency (including federal, state or other jurisdiction) for which they are responding; and provide the contact person(s) name, survey section for which they are responsible, e-mail, and phone number.
                </P>
                <P>
                    II. 
                    <E T="03">Program information:</E>
                     Respondents would report summary information on card programs covered in the response, whether the response covers a federal, state, or local program, sponsoring 
                    <PRTPAGE P="57040"/>
                    government agency(ies), card-issuer(s), a description of payment type, the number of recipients receiving payments on prepaid cards, and the number of recipients receiving payments by all payment methods.
                </P>
                <P>
                    III. 
                    <E T="03">Cards:</E>
                     Respondents would report the number of cards outstanding.
                </P>
                <P>
                    IV. 
                    <E T="03">Funding:</E>
                     Respondents would report the value of funds loaded into prepaid card accounts and the value of all funds paid by all payment methods.
                </P>
                <P>The issuer survey (FR 3063a) and the government survey (FR 3063b) would be made available online by mid-February 2012 and would request that the surveys be completed and returned to the Board within 30 calendar days.</P>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. Whether 30 calendar days allows sufficient time for respondents to complete the proposed surveys.</P>
                <P>
                    2. 
                    <E T="03">Report title:</E>
                     Interchange Transaction Fees Surveys.
                    <SU>8</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>8</SU>
                         The proposed debit card issuer and payment card network surveys, supporting statement, and other documentation are available on the Board's public Web site at: 
                        <E T="03">http://www.federalreserve.gov/boarddocs/reportforms/review.cfm.</E>
                    </P>
                </FTNT>
                <P>
                    <E T="03">Agency form number:</E>
                     FR 3064a and FR 3064b.
                </P>
                <P>
                    <E T="03">OMB control number:</E>
                     7100—to be assigned.
                </P>
                <P>
                    <E T="03">Frequency:</E>
                     FR 3064a—Biennial; FR 3064b—Annual.
                </P>
                <P>
                    <E T="03">Reporters:</E>
                     Issuers of debit cards (FR 3064a) and payment card networks (FR 3064b).
                </P>
                <P>
                    <E T="03">Estimated annual reporting hours:</E>
                     FR 3064a: 46,400 hours; FR 3064b: 425 hours.
                </P>
                <P>
                    <E T="03">Estimated average hours per response:</E>
                     FR 3064a: 80 hours; FR 3064b: 25 hours.
                </P>
                <P>
                    <E T="03">Number of respondents:</E>
                     FR 3064a: 580; FR 3064b: 17.
                </P>
                <P>
                    <E T="03">General description of report:</E>
                     These information collections are authorized by section 920(a) of the EFTA, which was added by section 1075(a) of the Dodd-Frank Act. 15 U.S.C. 1693o-2. This section requires the Board to (on a biennial basis) disclose aggregate or summary information concerning the costs incurred and interchange transactions fees charged or received, by issuers or payment card networks in connection with the authorization, clearance, or settlement of electronic debit transaction as the Board considers appropriate and in the public interest. 15 U.S.C. 1693o-2(a)(3)(B). It also provides the Board with authority to require issuers (or agents of issuers) and payment card networks to provide information to enable the Board to carry out the provisions of the section.
                </P>
                <P>The obligation to respond to these surveys is mandatory. In accordance with the statutory requirement, the Board will release aggregate or summary information from the survey responses. Some of the data collected by the surveys may be kept confidential under exemption (b)(4) of FOIA, which exempts from disclosure “trade secrets and commercial or financial information obtained from a person and privileged or confidential.” 5 U.S.C. 552(b)(4). Information collected under the surveys can be kept confidential under exemption (b)(4) if the release of data would cause substantial harm to the competitive position of the respondent.</P>
                <P>
                    <E T="03">Abstract:</E>
                     Section 920(a)(3) of the EFTA provides that the Board shall at least on a biennial basis disclose aggregate or summary information concerning the costs incurred, and interchange transaction fees charged or received, by issuers or payment card networks in connection with debit card transactions. 15 U.S.C. 1693o-2(a)(3)(B). When the Board adopted Regulation II setting debit card interchange fee standards, the Board's rulemaking stated that information would be gathered from payment card networks annually regarding interchange fees that are received by covered and exempt issuers.
                    <SU>9</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>9</SU>
                         Regulation II—Debit Card Interchange Fees and Routing (76 FR 43394 (July 20, 2011)).
                    </P>
                </FTNT>
                <P>
                    On September 13, 2010, the Board distributed three surveys to industry participants (a card issuer survey, a payment card network survey, and a merchant acquirer/processor survey) designed to gather information to assist the Board in developing Regulation II. Industry participants, including payment card networks, trade groups, and individual firms from both the banking industry and merchant community, commented on preliminary versions of the 2010 issuer and network surveys, through both written submissions and a series of drop-in calls. In response to the comments, the two surveys were modified, as appropriate.
                    <SU>10</SU>
                    <FTREF/>
                     The implementation of the FR 3064a and 3064b, as described below, would replace the 2010 surveys.
                </P>
                <FTNT>
                    <P>
                        <SU>10</SU>
                         The 2010 issuer and network surveys were conducted under the emergency clearance provision of the OMB's regulation, Interchange Transaction Fees Survey (FR 3062; OMB No. 7100-0329).
                    </P>
                </FTNT>
                <P>
                    <E T="03">Current Actions:</E>
                     The Board proposes to implement the debit card issuer survey (FR 3064a) and the payment card network survey (FR 3064b). The debit card issuer survey would be required for each debit card issuer that, together with its affiliates, has assets of $10 billion or more. The survey would request information on accounts and cards associated with accounts domiciled in the United States, the District of Columbia, and U.S. territories.
                    <SU>11</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>11</SU>
                         See footnote 3.
                    </P>
                </FTNT>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. The feasibility of requiring each chartered entity that issues debit cards to complete a separate survey rather than requiring a holding company to complete one survey for all its chartered entities, as was done in the 2010 card issuer survey (12 CFR 235.8(b)).</P>
                <P>
                    In general, the debit card issuer survey (FR 3064a) would collect information on card programs that use two types of authentication mechanisms: Dual-message transactions (those generally requiring a signature) and single-message transactions (those generally requiring the input of a personal identification number (PIN)). Both programs include general-use prepaid card transactions.
                    <SU>12</SU>
                    <FTREF/>
                     The first reporting period would cover the calendar year 2011, collected as of December 31, 2011. If certain costs for a card program are shared with other card programs, respondents would be asked to allocate costs to a particular card program based on transaction volume.
                </P>
                <FTNT>
                    <P>
                        <SU>12</SU>
                         In the 2010 debit card issuer survey, general-use prepaid cards were treated separately as their own program and issuers reported much higher costs for the authorization, clearance, and settlement of prepaid card transactions than for other debit card transactions. However, the authorization, clearance, and settlement process for prepaid card transactions is essentially the same as it is for other debit card transactions. The higher costs reported under the 2010 survey may have resulted from the costs of prepaid account maintenance, costs for loading funds onto the cards, and costs for other activities that are not considered to be tied to the authorization, clearance, and settlement of prepaid card transactions.
                    </P>
                </FTNT>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. The best terms to use in identifying types of processing (single-message and dual-message versus PIN and signature) given that not all dual-message transactions require a signature and not all single-message transactions require a PIN.</P>
                <P>b. Whether issuers should report general-use prepaid card data combined with other transaction data related to single- or dual-message systems (and if so, whether they would be able to do so) or should report general-use prepaid card activity separately.</P>
                <P>The debit card issuer survey would comprise four sections:</P>
                <P>
                    I. 
                    <E T="03">Respondent Information:</E>
                     Respondents would provide the name of the debit card issuer covered in the response and the contact person(s) name, section of the survey for which they are responsible, e-mail, and phone 
                    <PRTPAGE P="57041"/>
                    number. Respondents also would report whether general-use prepaid cards are issued.
                </P>
                <P>
                    II. 
                    <E T="03">All Debit Card Transactions (including general-use prepaid card transactions):</E>
                     Respondents would report summary information for debit card (including general-use prepaid card) transaction volume and value; chargebacks to acquirers; costs of authorization, clearance, and settlement; payments and incentives paid by networks to issuers; costs for fraud prevention and data security; interchange fee revenue; fraudulent transactions; and fraud losses.
                </P>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. Whether the guidance provided in the proposed survey is sufficient for issuers to report authorization, clearing, and settlement costs;</P>
                <P>b. The usefulness of including a checklist of fraud prevention activities and, if so, which fraud prevention activities should be included in the checklist for the 2012 survey. If a checklist is provided in the survey, are the activities proposed in the draft survey (transaction monitoring, merchant blocking, data security, and PIN customization) the right categories or are other categories more meaningful? If a checklist is provided in the survey, the listed activities could be updated over time based on “other” activities reported.</P>
                <P>c. The issuers' ability to allocate payments and incentives as specified and whether other major categories of payments and incentives should be included.</P>
                <P>d. The issuers' ability to report the subset of customer service costs associated with customer inquiries regarding particular debit card transactions (as opposed to customer inquiries regarding the account, the debit card more generally, or credit cards/ATM cards).</P>
                <P>
                    III. 
                    <E T="03">All Single-Message (PIN) Debit Card Transactions (including general-use prepaid card transactions):</E>
                     Respondents would submit data for the same set of questions asked in Section II above, but specifically about single-message debit card programs, including general-use prepaid cards.
                </P>
                <P>
                    IV. 
                    <E T="03">All Dual-Message (Signature) Debit Card Transactions (including general-use prepaid card transactions):</E>
                     Respondents would submit data for the same set of questions asked in Section II above, but specifically about dual-message debit card programs, including general-use prepaid cards.
                </P>
                <P>
                    The payment card network survey (FR 3064b) would require payment card networks to submit information about debit card (including general-use prepaid card) transaction volume and value; interchange fees; other network fees; and incentives and discounts paid to acquirers, merchants, and issuers.
                    <SU>13</SU>
                    <FTREF/>
                     The first reporting period would cover the calendar year 2011, collected as of December 31, 2011.
                </P>
                <FTNT>
                    <P>
                        <SU>13</SU>
                         See 12 CFR 235.8.
                    </P>
                </FTNT>
                <P>
                    The network survey would comprise two sections: 
                    <SU>14</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>14</SU>
                         Entities that have both single-message and dual-message networks will be asked to report data for each program separately.
                    </P>
                </FTNT>
                <P>
                    I. 
                    <E T="03">Respondent Information:</E>
                     Respondents would identify the network covered in the response and provide the contact person(s) name, section of the survey for which they are responsible, e-mail, and phone number. Respondents also would report whether the payment card network is a single-message (PIN) or dual-message (signature) network, whether the payment card network offers a tiered interchange fee rate schedule that differentiates between exempt issuers and non-exempt issuers, and the number of merchant locations that accept debit cards whose transactions can be processed by the payment card network.
                </P>
                <P>
                    II. 
                    <E T="03">Debit Card Transactions (including general-use prepaid card transactions):</E>
                     Respondents would report the volume and value of settled purchase transactions; as well as information related to card-present versus card-not-present transactions; general-use prepaid card versus non-general-use prepaid card transactions; general-use prepaid card transactions exempt from the interchange fee standards in Regulation II versus general-use prepaid card transactions that are not exempt; transactions processed for small issuers that are exempt from the interchange fee standards versus those processed for non-exempt issuers; pre- and post-effective date transactions processed for exempt and non-exempt debit card issuers; chargebacks and returns to merchants; the value of interchange fees; the value of network fees; and payments and incentives paid by networks to acquirers, merchants, and issuers.
                </P>
                <P>The Board specifically requests comment on the following:</P>
                <P>a. The payment card networks' ability to identify separately general-use prepaid card transactions from other debit card transactions.</P>
                <P>b. Whether the networks can provide data for exempt and non-exempt issuers that compares information for three time periods: January 1 to June 30, 2011 (during which all transactions would be considered exempt); July 1 to September 30, 2011 (during which all transactions could be considered exempt, but some networks may begin to distinguish between exempt and non-exempt issuers, if such networks are offering a tiered interchange fee schedule); and October 1, 2011 to December 31, 2011 (during which all networks that provide a tiered interchange fee schedule would distinguish between exempt and non-exempt issuers).</P>
                <P>
                    The Board would make the payment card network survey available online by mid-January 2012 and would request that the survey be completed and submitted to the Board within 30 calendar days. The debit card issuer survey would be made available by mid-February 2012 and would request that the survey be completed and submitted to the Board within 60 calendar days.
                    <SU>15</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>15</SU>
                         In subsequent years, the Board anticipates that both the debit card issuer and payment card network surveys would be made available by mid-January.
                    </P>
                </FTNT>
                <SIG>
                    <DATED/>
                    <P>By order of the Board of Governors of the Federal Reserve System, September 12, 2011.</P>
                    <NAME>Jennifer J. Johnson,</NAME>
                    <TITLE>Secretary of the Board.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23614 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6210-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">FEDERAL TRADE COMMISSION</AGENCY>
                <DEPDOC>[File No. 102 3205]</DEPDOC>
                <SUBJECT>Kobe Brown and Gregory W. Pearson, dba DERMAPPS; Analysis of Proposed Consent Order To Aid Public Comment</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Trade Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Proposed Consent Agreement.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The consent agreement in this matter settles alleged violations of federal law prohibiting unfair or deceptive acts or practices or unfair methods of competition. The attached Analysis to Aid Public Comment describes both the allegations in the draft complaint and the terms of the consent order—embodied in the consent agreement—that would settle these allegations.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments must be received on or before October 10, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Interested parties may file a comment online or on paper, by following the instructions in the Request for Comment part of the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section below. Write “DERMAPPS, File No. 102 3205” on your comment, and file your comment online at 
                        <E T="03">
                            https://ftcpublic.commentworks.com/ftc/
                            <PRTPAGE P="57042"/>
                            acneappconsent,
                        </E>
                         by following the instructions on the web-based form. If you prefer to file your comment on paper, mail or deliver your comment to the following address: Federal Trade Commission, Office of the Secretary, Room H-113 (Annex D), 600 Pennsylvania Avenue, NW., Washington, DC 20580.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Stacey Ferguson (202-326-2361) or James A. Prunty (202-326-2438), FTC, Bureau of Consumer Protection, 600 Pennsylvania Avenue, NW., Washington, DC 20580.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    Pursuant to section 6(f) of the Federal Trade Commission Act, 38 Stat. 721, 15 U.S.C. 46(f), and §2.34 the Commission Rules of Practice, 16 CFR 2.34, notice is hereby given that the above-captioned consent agreement containing a consent order to cease and desist, having been filed with and accepted, subject to final approval, by the Commission, has been placed on the public record for a period of thirty (30) days. The following Analysis to Aid Public Comment describes the terms of the consent agreement, and the allegations in the complaint. An electronic copy of the full text of the consent agreement package can be obtained from the FTC Home Page (for September 8, 2011), on the World Wide Web, at 
                    <E T="03">http://www.ftc.gov/os/actions.shtm.</E>
                     A paper copy can be obtained from the FTC Public Reference Room, Room 130-H, 600 Pennsylvania Avenue, NW., Washington, DC 20580, either in person or by calling (202) 326-2222.
                </P>
                <P>
                    You can file a comment online or on paper. For the Commission to consider your comment, we must receive it on or before October 10, 2011. Write “DERMAPPS, File No. 102 3205” on your comment. Your comment—including your name and your state—will be placed on the public record of this proceeding, including, to the extent practicable, on the public Commission Web site, at 
                    <E T="03">http://www.ftc.gov/os/publiccomments.shtm.</E>
                     As a matter of discretion, the Commission tries to remove individuals' home contact information from comments before placing them on the Commission Web site.
                </P>
                <P>Because your comment will be made public, you are solely responsible for making sure that your comment does not include any sensitive personal information, like anyone's Social Security number, date of birth, driver's license number or other state identification number or foreign country equivalent, passport number, financial account number, or credit or debit card number. You are also solely responsible for making sure that your comment does not include any sensitive health information, like medical records or other individually identifiable health information. In addition, do not include any “[t]rade secret or any commercial or financial information which is obtained from any person and which is privileged or confidential,” as provided in Section 6(f) of the FTC Act, 15 U.S.C. 46(f), and FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2). In particular, do not include competitively sensitive information such as costs, sales statistics, inventories, formulas, patterns, devices, manufacturing processes, or customer names.</P>
                <P>
                    If you want the Commission to give your comment confidential treatment, you must file it in paper form, with a request for confidential treatment, and you have to follow the procedure explained in FTC Rule 4.9(c), 16 CFR 4.9(c).
                    <SU>1</SU>
                    <FTREF/>
                     Your comment will be kept confidential only if the FTC General Counsel, in his or her sole discretion, grants your request in accordance with the law and the public interest.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         In particular, the written request for confidential treatment that accompanies the comment must include the factual and legal basis for the request, and must identify the specific portions of the comment to be withheld from the public record. 
                        <E T="03">See</E>
                         FTC Rule 4.9(c), 16 CFR 4.9(c).
                    </P>
                </FTNT>
                <P>
                    Postal mail addressed to the Commission is subject to delay due to heightened security screening. As a result, we encourage you to submit your comments online. To make sure that the Commission considers your online comment, you must file it at 
                    <E T="03">https://ftcpublic.commentworks.com/ftc/acneappconsent</E>
                     by following the instructions on the web-based form. If this Notice appears at 
                    <E T="03">http://www.regulations.gov/#!home,</E>
                     you also may file a comment through that website.
                </P>
                <P>If you file your comment on paper, write “DERMAPPS, File No. 102 3205” on your comment and on the envelope, and mail or deliver it to the following address: Federal Trade Commission, Office of the Secretary, Room H-113 (Annex D), 600 Pennsylvania Avenue, NW., Washington, DC 20580. If possible, submit your paper comment to the Commission by courier or overnight service.</P>
                <P>
                    Visit the Commission Web site at 
                    <E T="03">http://www.ftc.gov</E>
                     to read this Notice and the news release describing it. The FTC Act and other laws that the Commission administers permit the collection of public comments to consider and use in this proceeding as appropriate. The Commission will consider all timely and responsive public comments that it receives on or before October 10, 2011. You can find more information, including routine uses permitted by the Privacy Act, in the Commission's privacy policy, at 
                    <E T="03">http://www.ftc.gov/ftc/privacy.htm.</E>
                </P>
                <HD SOURCE="HD1">Analysis of Agreement Containing Consent Order To Aid Public Comment</HD>
                <P>The Federal Trade Commission (“FTC” or “Commission”) has accepted, subject to final approval, an agreement containing a consent order from Kobe Brown and Gregory W. Pearson, dba DERMAPPS (“respondents”).</P>
                <P>The proposed consent order (“proposed order”) has been placed on the public record for thirty (30) days for receipt of comments by interested persons. Comments received during this period will become part of the public record. After thirty (30) days, the Commission will again review the agreement and the comments received, and will decide whether it should withdraw from the agreement and take appropriate action or make final the agreement's proposed order.</P>
                <P>This matter involves the advertising of a mobile software application (“app”) called AcneApp which respondents developed and sold in Apple's iTunes Store. Respondents claimed that AcneApp effectively treats acne. The instructions for this app directed consumers to hold the light-emitting display screen next to the area of skin to be treated for several minutes each day.</P>
                <P>The Commission's complaint alleges that respondents violated Sections 5 and 12 of the FTC Act by claiming, without substantiation, that the app provided an effective treatment for acne. The complaint also alleges that the respondents falsely represented that a study published in the British Journal of Dermatology proves that blue and red light therapy, such as that provided by AcneApp, is an effective treatment for acne.</P>
                <P>The proposed consent order contains provisions designed to prevent respondents from engaging in similar practices in the future. Part I of the order prohibits respondents from making any representation that AcneApp, or any other device, as defined by Section 15 of the FTC Act, provides effective treatment for acne, unless respondents have competent and reliable scientific evidence to substantiate that claim.</P>
                <P>
                    Part II of the order requires respondents to have competent and reliable scientific evidence before making any safety, performance, benefits, or efficacy claim about any device.
                    <PRTPAGE P="57043"/>
                </P>
                <P>Part III of the order is a standard order provision relating to establishment claims, prohibiting the misrepresentation of any research, tests, or studies.</P>
                <P>Part IV of the order requires respondents, within 15 days of the order, to pay the Commission $14,294.</P>
                <P>The remaining parts of the proposed order are standard provisions regarding record-keeping, dissemination of the order to officers and employees, prior notification to the Commission of corporate changes, notification of new employment, filing compliance of reports, and sunsetting of the order.</P>
                <P>The purpose of this analysis is to facilitate public comment on the proposed order, and it is not intended to constitute an official interpretation of the agreement and proposed order or to modify in any way their terms.</P>
                <SIG>
                    <P>By direction of the Commission.</P>
                    <NAME>Donald S. Clark,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23594 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6750-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">FEDERAL TRADE COMMISSION</AGENCY>
                <DEPDOC>[File No. 102 3206]</DEPDOC>
                <SUBJECT>Andrew N. Finkel; Analysis of Proposed Consent Order to Aid Public Comment</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Trade Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Proposed Consent Agreement.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The consent agreement in this matter settles alleged violations of federal law prohibiting unfair or deceptive acts or practices or unfair methods of competition. The attached Analysis to Aid Public Comment describes both the allegations in the draft complaint and the terms of the consent order—embodied in the consent agreement—that would settle these allegations.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments must be received on or before October 10, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Interested parties may file a comment online or on paper, by following the instructions in the Request for Comment part of the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section below. Write “Andrew N. Finkel, File No. 102 3206” on your comment, and file your comment online at 
                        <E T="03">https://ftcpublic.commentworks.com/ftc/acnepwnerconsent,</E>
                         by following the instructions on the web-based form. If you prefer to file your comment on paper, mail or deliver your comment to the following address: Federal Trade Commission, Office of the Secretary, Room H-113 (Annex D), 600 Pennsylvania Avenue, NW., Washington, DC 20580.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Stacey Ferguson (202-326-2361) or James A. Prunty (202-326-2438), FTC, Bureau of Consumer Protection, 600 Pennsylvania Avenue, NW., Washington, DC 20580.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    Pursuant to section 6(f) of the Federal Trade Commission Act, 38 Stat. 721, 15 USC 46(f), and § 2.34 the Commission Rules of Practice, 16 CFR 2.34, notice is hereby given that the above-captioned consent agreement containing a consent order to cease and desist, having been filed with and accepted, subject to final approval, by the Commission, has been placed on the public record for a period of thirty (30) days. The following Analysis to Aid Public Comment describes the terms of the consent agreement, and the allegations in the complaint. An electronic copy of the full text of the consent agreement package can be obtained from the FTC Home Page (for September 8, 2011), on the World Wide Web, at 
                    <E T="03">http://www.ftc.gov/os/actions.shtm.</E>
                     A paper copy can be obtained from the FTC Public Reference Room, Room 130-H, 600 Pennsylvania Avenue, NW., Washington, DC 20580, either in person or by calling (202) 326-2222.
                </P>
                <P>
                    You can file a comment online or on paper. For the Commission to consider your comment, we must receive it on or before October 10, 2011. Write “Andrew N. Finkel, File No. 102 3206” on your comment. Your comment—including your name and your state—will be placed on the public record of this proceeding, including, to the extent practicable, on the public Commission Web site, at 
                    <E T="03">http://www.ftc.gov/os/publiccomments.shtm.</E>
                     As a matter of discretion, the Commission tries to remove individuals' home contact information from comments before placing them on the Commission Web site.
                </P>
                <P>Because your comment will be made public, you are solely responsible for making sure that your comment does not include any sensitive personal information, like anyone's Social Security number, date of birth, driver's license number or other state identification number or foreign country equivalent, passport number, financial account number, or credit or debit card number. You are also solely responsible for making sure that your comment does not include any sensitive health information, like medical records or other individually identifiable health information. In addition, do not include any “[t]rade secret or any commercial or financial information which is obtained from any person and which is privileged or confidential,” as provided in Section 6(f) of the FTC Act, 15 U.S.C. 46(f), and FTC Rule 4.10(a)(2), 16 CFR 4.10(a)(2). In particular, do not include competitively sensitive information such as costs, sales statistics, inventories, formulas, patterns, devices, manufacturing processes, or customer names.</P>
                <P>
                    If you want the Commission to give your comment confidential treatment, you must file it in paper form, with a request for confidential treatment, and you have to follow the procedure explained in FTC Rule 4.9(c), 16 CFR 4.9(c).
                    <SU>1</SU>
                    <FTREF/>
                     Your comment will be kept confidential only if the FTC General Counsel, in his or her sole discretion, grants your request in accordance with the law and the public interest.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         In particular, the written request for confidential treatment that accompanies the comment must include the factual and legal basis for the request, and must identify the specific portions of the comment to be withheld from the public record. 
                        <E T="03">See</E>
                         FTC Rule 4.9(c), 16 CFR 4.9(c).
                    </P>
                </FTNT>
                <P>
                    Postal mail addressed to the Commission is subject to delay due to heightened security screening. As a result, we encourage you to submit your comments online. To make sure that the Commission considers your online comment, you must file it at 
                    <E T="03">https://ftcpublic.commentworks.com/ftc/acnepwnerconsent</E>
                     by following the instructions on the web-based form. If this Notice appears at 
                    <E T="03">http://www.regulations.gov/#!home,</E>
                     you also may file a comment through that Web site.
                </P>
                <P>If you file your comment on paper, write “Andrew N. Finkel, File No. 102 3206” on your comment and on the envelope, and mail or deliver it to the following address: Federal Trade Commission, Office of the Secretary, Room H-113 (Annex D), 600 Pennsylvania Avenue, NW., Washington, DC 20580. If possible, submit your paper comment to the Commission by courier or overnight service.</P>
                <P>
                    Visit the Commission Web site at 
                    <E T="03">http://www.ftc.gov</E>
                     to read this Notice and the news release describing it. The FTC Act and other laws that the Commission administers permit the collection of public comments to consider and use in this proceeding as appropriate. The Commission will consider all timely and responsive public comments that it receives on or before October 10, 2011. You can find more information, including routine uses permitted by the Privacy Act, in the Commission's privacy policy, at 
                    <E T="03">http://www.ftc.gov/ftc/privacy.htm.</E>
                    <PRTPAGE P="57044"/>
                </P>
                <HD SOURCE="HD1">Analysis of Agreement Containing Consent Order to Aid Public Comment</HD>
                <P>The Federal Trade Commission (“FTC” or “Commission”) has accepted, subject to final approval, an agreement containing a consent order from Andrew N. Finkel (“respondent”).</P>
                <P>The proposed consent order (“proposed order”) has been placed on the public record for thirty (30) days for receipt of comments by interested persons. Comments received during this period will become part of the public record. After thirty (30) days, the Commission will again review the agreement and the comments received, and will decide whether it should withdraw from the agreement and take appropriate action or make final the agreement's proposed order.</P>
                <P>This matter involves the advertising of a mobile software application (“app”) called Acne Pwner which respondent developed and sold in Google's Android Marketplace. Respondent claimed that Acne Pwner effectively treats acne. The instructions for this app directed consumers to hold the light-emitting display screen next to the area of skin to be treated for a few minutes each day.</P>
                <P>The Commission's complaint alleges that respondent violated Sections 5 and 12 of the FTC Act by claiming, without substantiation, that the app provided an effective treatment for acne.</P>
                <P>The proposed consent order contains provisions designed to prevent respondent from engaging in similar practices in the future. Part I of the order prohibits respondent from making any representation that Acne Pwner, or any other device as defined by Section 15 of the FTC Act, provides effective treatment for acne, unless respondent has competent and reliable scientific evidence to substantiate that claim.</P>
                <P>Part II of the order requires respondent to have competent and reliable scientific evidence before making any safety, performance, benefits, or efficacy claim about any device.</P>
                <P>Part III of the order requires respondent, within 15 days of the date the order becomes final, to pay the Commission $1,700.</P>
                <P>The remaining parts of the proposed order are standard provisions regarding recordkeeping, dissemination of the order to officers and employees, prior notification to the Commission of corporate changes, notification of new employment, filing of compliance reports, and sunsetting of the order.</P>
                <P>The purpose of this analysis is to facilitate public comment on the proposed order, and it is not intended to constitute an official interpretation of the agreement and proposed order or to modify in any way their terms.</P>
                <SIG>
                    <P>By direction of the Commission.</P>
                    <NAME>Donald S. Clark,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23595 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 6750-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBJECT>Designation of a Class of Employees for Addition to the Special Exposure Cohort</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Institute for Occupational Safety and Health (NIOSH), Department of Health and Human Services (HHS).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>HHS gives notice of a decision to designate a class of employees from the General Electric Co. in Evendale, Ohio, as an addition to the Special Exposure Cohort (SEC) under the Energy Employees Occupational Illness Compensation Program Act of 2000. On August 31, 2011, the Secretary of HHS designated the following class of employees as an addition to the SEC:</P>
                    <EXTRACT>
                        <P>All employees of the Department of Energy, its predecessor agencies, and their contractors and subcontractors who worked at General Electric Co. in Evendale, Ohio, from January 1, 1961 through June 30, 1970, for a number of work days aggregating at least 250 work days, occurring either solely under this employment or in combination with work days within the parameters established for one or more other classes of employees included in the Special Exposure Cohort.</P>
                    </EXTRACT>
                    <P>
                        This designation will become effective on September 30, 2011, unless Congress provides otherwise prior to the effective date. After this effective date, HHS will publish a notice in the 
                        <E T="04">Federal Register</E>
                         reporting the addition of this class to the SEC or the result of any provision by Congress regarding the decision by HHS to add the class to the SEC.
                    </P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Stuart L. Hinnefeld, Director, Division of Compensation Analysis and Support, NIOSH, 4676 Columbia Parkway, MS C-46, Cincinnati, OH 45226, Telephone 877-222-7570. Information requests can also be submitted by e-mail to 
                        <E T="03">DCAS@CDC.gov.</E>
                    </P>
                    <SIG>
                        <NAME> John Howard,</NAME>
                        <TITLE> Director, National Institute for Occupational Safety and Health.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23568 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4163-19-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBJECT>Announcement of Requirements and Registration for “Ensuring Safe Transitions From Hospital to Home”</SUBJECT>
                <AUTH>
                    <HD SOURCE="HED">Authority:</HD>
                    <P> 15 U.S.C. 3719.</P>
                </AUTH>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of the National Coordinator for Health Information Technology, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The “Ensuring Safe Transitions from Hospital to Home” challenge tasks developers with creating technology solutions that empower discharged patients to take charge of their health care during transitions of places of care. Innovative applications will help patients and their caregivers insure that they have all the information and materials, such as drug prescriptions, medical equipment, follow-up appointments, and emergency contacts, that they need to move safely to their next care setting.</P>
                    <P>The statutory authority for this challenge competition is Section 105 of the America COMPETES Reauthorization Act of 2010 (Pub. L. 111-358).</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Effective on September 12, 2011.</P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <FP SOURCE="FP-1">Adam Wong, 202-720-2866.</FP>
                    <FP SOURCE="FP-1">Wil Yu, 202-690-5920.</FP>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P SOURCE="NPAR">
                    <E T="03">Subject of Challenge Competition:</E>
                     ONC, in collaboration with the Partnership for Patients, seeks to stimulate innovative approaches to care transitions and improving patient safety. Nearly one in five patients discharged from a hospital will be readmitted within 30 days. A large proportion of readmissions can be prevented by improving communications and coordinating care before and after discharge. The Centers for Medicare and Medicaid Services (CMS) provides a discharge checklist to help patients and their caregivers prepare to leave a hospital, nursing home, or other care setting. Research has shown that empowering patients and caregivers with information and tools to manage the next steps in their care more confidently is a very effective way to reduce errors, decrease complications, and prevent a return visit to the hospital. ONC is challenging software developers to improve care transitions and build upon these tools by generating an intuitive and easy-to-use application to empower patients and caregivers that leverages NwHIN standards and services.
                    <PRTPAGE P="57045"/>
                </P>
                <P>
                    <E T="03">Eligibility Rules for Participating in the Competition:</E>
                </P>
                <P>To be eligible to win a prize under this challenge, an individual or entity:</P>
                <P>(1) Shall have registered to participate in the competition under the rules promulgated by Office of the National Coordinator for Health Information Technology;</P>
                <P>(2) Shall have complied with all the requirements under this section;</P>
                <P>(3) In the case of a private entity, shall be incorporated in and maintain a primary place of business in the United States, and in the case of an individual, whether participating singly or in a group, shall be a citizen or permanent resident of the United States; and</P>
                <P>(4) May not be a Federal entity or Federal employee acting within the scope of their employment.</P>
                <P>An individual or entity shall not be deemed ineligible because the individual or entity used Federal facilities or consulted with Federal employees during a competition if the facilities and employees are made available to all individuals and entities participating in the competition on an equitable basis.</P>
                <P>Registered participants shall be required to agree to assume any and all risks and waive claims against the Federal Government and its related entities, except in the case of willful misconduct, for any injury, death, damage, or loss of property, revenue, or profits, whether direct, indirect, or consequential, arising from their participation in a competition, whether the injury, death, damage, or loss arises through negligence or otherwise.</P>
                <P>Participants shall be required to obtain liability insurance or demonstrate financial responsibility, in amounts determined by the head of the Office of the National Coordinator for Health Information Technology, for claims by—</P>
                <P>(1) A third party for death, bodily injury, or property damage, or loss resulting from an activity carried out in connection with participation in a competition, with the Federal Government named as an additional insured under the registered participant's insurance policy and registered participants agreeing to indemnify the Federal Government against third party claims for damages arising from or related to competition activities; and</P>
                <P>(2) the Federal Government for damage or loss to Government property resulting from such an activity.</P>
                <P>Participants must be teams of at least two people.</P>
                <P>All participants are required to provide written consent to the rules upon or before submitting an entry.</P>
                <P>
                    <E T="03">Dates:</E>
                </P>
                <P>• Submission Period Begins: 12:01 a.m., E.D.T., September 12, 2011.</P>
                <P>• Submission Period Ends: 11:59 p.m., E.D.T., November 16, 2011.</P>
                <P>
                    <E T="03">Registration Process for Participants:</E>
                </P>
                <P>To register for this challenge participants should:</P>
                <P>
                    • Access the 
                    <E T="03">http://www.challenge.gov</E>
                     Web site and search for the “Ensuring Safe Transitions from Hospital to Home”.
                </P>
                <P>• Access the ONC Investing in Innovation (i2) Challenge Web site at:</P>
                <P>
                    ○ 
                    <E T="03">http://www.health2challenge.org/category/onc/</E>
                </P>
                <P>○ A registration link for the challenge can be found on the landing page under the challenge description.</P>
                <P>
                    <E T="03">Amount of the Prize:</E>
                </P>
                <P>• First Prize: $25,000.</P>
                <P>• Second Prize: $10,000.</P>
                <P>• Third Prize: $5,000.</P>
                <P>Awards may be subject to Federal income taxes and HHS will comply with IRS withholding and reporting requirements, where applicable.</P>
                <P>
                    <E T="03">Basis Upon Which Winner Will Be Selected:</E>
                </P>
                <P>The judging panel will make selections based upon the following criteria:</P>
                <P>1. Innovation.</P>
                <P>2. Usability/Design.</P>
                <P>3. Potential for impact.</P>
                <P>4. Data integration.</P>
                <P>5. Use of NwHIN standards and services.</P>
                <P>
                    <E T="03">Additional Information:</E>
                </P>
                <P>Ownership of intellectual property is determined by the following:</P>
                <P>• Each entrant retains title and full ownership in and to their submission. Entrants expressly reserve all intellectual property rights not expressly granted under the challenge agreement.</P>
                <P>• By participating in the challenge, each entrant hereby irrevocably grants to Sponsor and Administrator a limited, non-exclusive, royalty free, worldwide, license and right to reproduce, publically perform, publically display, and use the Submission to the extent necessary to administer the challenge, and to publically perform and publically display the Submission, including, without limitation, for advertising and promotional purposes relating to the challenge.</P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Farzad Mostashari,</NAME>
                    <TITLE>National Coordinator for Health Information Technology.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23704 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4150-45-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBJECT>Announcement of Requirements and Registration for “Reporting Device Adverse Events Challenge”</SUBJECT>
                <AUTH>
                    <HD SOURCE="HED">Authority:</HD>
                    <P> 15 U.S.C. 3719.</P>
                </AUTH>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of the National Coordinator for Health Information Technology, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>Medical devices will play an increasingly large role in the monitoring and collection of patient data with the spread of electronic health records. The United States has a limited system for the post-market surveillance of medical devices, specifically as it relates to monitoring product safety and effectiveness. The “Reporting Device Adverse Events Challenge” asks multi-disciplinary teams to develop an application that facilitates the reporting of adverse events related to medical devices, whether implanted or used in the hospital, clinic, or home.</P>
                    <P>The statutory authority for this challenge competition is Section 105 of the America COMPETES Reauthorization Act of 2010 (Pub. L. 111-358).</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Effective on September 12, 2011.</P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <FP SOURCE="FP-1">Adam Wong, 202-720-2866.</FP>
                    <FP SOURCE="FP-1">Wil Yu, 202-690-5920.</FP>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <P>
                    <E T="03">Subject of Challenge Competition:</E>
                     The “Reporting Device Adverse Events Challenge” asks multi-disciplinary teams to develop an application that facilitates the reporting of adverse events related to medical devices, whether implanted or used in the hospital, clinic, or home. The application would make it easy for patients to report adverse events to their provider, support the download of information from EMR or PHR systems to populate the adverse event report and provide high quality data, capture useful information including patient demographics and device data that is easily accessible to all stakeholders (patients, providers, manufacturers, and researchers) using current technologies including PC-based browsers, mobile phones, and tablets, and leverage NwHIN standards and services including transport, content, and vocabularies.
                </P>
                <P>
                    <E T="03">Eligibility Rules for Participating in the Competition</E>
                    :
                </P>
                <P>To be eligible to win a prize under this challenge, an individual or entity:</P>
                <P>
                    (1) Shall have registered to participate in the competition under the rules 
                    <PRTPAGE P="57046"/>
                    promulgated by Office of the National Coordinator for Health Information Technology;
                </P>
                <P>(2) Shall have complied with all the requirements under this section;</P>
                <P>(3) In the case of a private entity, shall be incorporated in and maintain a primary place of business in the United States, and in the case of an individual, whether participating singly or in a group, shall be a citizen or permanent resident of the United States; and</P>
                <P>(4) May not be a Federal entity or Federal employee acting within the scope of their employment.</P>
                <P>An individual or entity shall not be deemed ineligible because the individual or entity used Federal facilities or consulted with Federal employees during a competition if the facilities and employees are made available to all individuals and entities participating in the competition on an equitable basis.</P>
                <P>Registered participants shall be required to agree to assume any and all risks and waive claims against the Federal Government and its related entities, except in the case of willful misconduct, for any injury, death, damage, or loss of property, revenue, or profits, whether direct, indirect, or consequential, arising from their participation in a competition, whether the injury, death, damage, or loss arises through negligence or otherwise.</P>
                <P>Participants shall be required to obtain liability insurance or demonstrate financial responsibility, in amounts determined by the head of the Office of the National Coordinator for Health Information Technology, for claims by—</P>
                <P>(1) A third party for death, bodily injury, or property damage, or loss resulting from an activity carried out in connection with participation in a competition, with the Federal Government named as an additional insured under the registered participant's insurance policy and registered participants agreeing to indemnify the Federal Government against third party claims for damages arising from or related to competition activities; and</P>
                <P>(2) the Federal Government for damage or loss to Government property resulting from such an activity.</P>
                <P>Participants must be teams of at least two people.</P>
                <P>All participants are required to provide written consent to the rules upon or before submitting an entry.</P>
                <P>
                    <E T="03">Dates:</E>
                </P>
                <P>• Submission Period Begins: 12:01 a.m., E.D.T., September 12, 2011.</P>
                <P>• Submission Period Ends: 11:59 p.m., E.D.T., December 2, 2011.</P>
                <P>
                    <E T="03">Registration Process for Participants:</E>
                </P>
                <P>To register for this challenge participants should:</P>
                <P>
                    • Access the 
                    <E T="03">http://www.challenge.gov</E>
                     Web site and search for the “Reporting Device Adverse Events Challenge”.
                </P>
                <P>• Access the ONC Investing in Innovation (i2) Challenge Web site at:</P>
                <P>
                    ○ 
                    <E T="03">http://www.health2challenge.org/category/onc/.</E>
                </P>
                <P>○ A registration link for the challenge can be found on the landing page under the challenge description.</P>
                <P>
                    <E T="03">Amount of the Prize:</E>
                </P>
                <P>• First Prize: $25,000.</P>
                <P>• Second Prize: $10,000.</P>
                <P>• Third Prize: $5,000.</P>
                <P>Awards may be subject to Federal income taxes and HHS will comply with IRS withholding and reporting requirements, where applicable.</P>
                <P>
                    <E T="03">Basis Upon Which Winner Will Be Selected:</E>
                </P>
                <P>The judging panel will make selections based upon the following criteria:</P>
                <P>1. Effectiveness in facilitating adverse event reporting.</P>
                <P>2. Usability and design.</P>
                <P>3. Ability to integrate with electronic health records and other data sources.</P>
                <P>4. Creativity and Innovation.</P>
                <P>5. Use of NwHIN standards and services.</P>
                <P>
                    <E T="03">Additional Information:</E>
                </P>
                <P>Ownership of intellectual property is determined by the following:</P>
                <P>• Each entrant retains title and full ownership in and to their submission. Entrants expressly reserve all intellectual property rights not expressly granted under the challenge agreement.</P>
                <P>• By participating in the challenge, each entrant hereby irrevocably grants to Sponsor and Administrator a limited, non-exclusive, royalty free, worldwide, license and right to reproduce, publically perform, publically display, and use the Submission to the extent necessary to administer the challenge, and to publically perform and publically display the Submission, including, without limitation, for advertising and promotional purposes relating to the challenge.</P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Farzad Mostashari,</NAME>
                    <TITLE>National Coordinator for Health Information Technology.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23702 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4150-45-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Agency for Healthcare Research and Quality</SUBAGY>
                <SUBJECT>Agency Information Collection Activities: Proposed Collection; Comment Request</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Agency for Healthcare Research and Quality, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This notice announces the intention of the Agency for Healthcare Research and Quality (AHRQ) to request that the Office of Management and Budget (OMB) approve the proposed information collection project: “Health Literacy Item Set Supplemental to CAHPS Health Plan Survey—Pretest of Proposed Questions and Methodology.” In accordance with the Paperwork Reduction Act, 44 U.S.C. 3501-3521, AHRQ invites the public to comment on this proposed information collection.</P>
                    <P>
                        This proposed information collection was previously published in the 
                        <E T="04">Federal Register</E>
                         on July 7th, 2011 and allowed 60 days for public comment. No comments were received. The purpose of this notice is to allow an additional 30 days for public comment.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments on this notice must be received by October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Written comments should be submitted to: AHRQ's OMB Desk Officer by fax at (202) 395-6974 (attention: AHRQ's desk officer) or by e-mail at 
                        <E T="03">OIRA_submission@omb.eop.gov</E>
                         (
                        <E T="03">attention:</E>
                         AHRQ's desk officer).
                    </P>
                    <P>Copies of the proposed collection plans, data collection instruments, and specific details on the estimated burden can be obtained from the AHRQ Reports Clearance Officer.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Doris Lefkowitz, AHRQ Reports Clearance Officer, (301) 427-1477, or by e-mail at 
                        <E T="03">doris.lefkowitz@AHRQ.hhs.gov</E>
                        .
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">Proposed Project</HD>
                <HD SOURCE="HD2">Health Literacy Item Set Supplemental to CAHPS Health Plan Survey—Pretest of Proposed Questions and Methodology</HD>
                <P>
                    The Consumer Assessment of Healthcare Providers and Systems (CAHPS®) program is a multi-year initiative. AHRQ first launched the program in October 1995 in response to concerns about the lack of good information about the quality of health plans from the enrollees' perspective. Numerous public and private organizations collected information on 
                    <PRTPAGE P="57047"/>
                    enrollee and patient satisfaction, but the surveys varied from sponsor to sponsor and often changed from year to year. The CAHPS® program was designed to:
                </P>
                <P>• Make it possible to compare survey results across sponsors and over time; and</P>
                <P>• Generate tools and resources that sponsors can use to produce understandable and usable comparative information for consumers, health providers and for quality improvement purposes.</P>
                <P>Over time, the program has expanded beyond its original focus on health plans to address a range of health care services and to meet the various needs of health care consumers, purchasers, health plans, providers, and policymakers. Based on a literature review and an assessment of currently available questionnaires, AHRQ identified the need to develop a health literacy module for the CAHPS® Health Plan Survey. The intent of the health literacy module is to examine health plan enrollees' perspectives on how well health information is communicated to them by health plans and by healthcare professionals in the health plan setting. The objective of the new module is to provide information to health plans, clinicians, group practices, and other interested parties regarding the quality of health information delivered to patients. The health literacy module will be pre-tested as a supplement to the CAHPS® Health Plan Survey.</P>
                <P>This pre-test has the following goals:</P>
                <P>(1) Analysis of item wording—Assess candidate wordings for items.</P>
                <P>(2) Analysis of participation rate—Evaluate the overall response rate and the proportion of that obtained from mail versus telephone modes of data collection.</P>
                <P>(3) Case mix adjustment analysis—Evaluate variables that need to be considered for case mix adjustment of scores.</P>
                <P>(4) Psychometric Analysis—Provide information for the revision of the health literacy item set based on the assessment of the reliability and validity.</P>
                <P>(5) Dissemination of the CAHPS Health Plan Health Literacy supplemental item set.</P>
                <P>This study is being conducted by AHRQ through its contractor, the RAND Corporation, pursuant to AHRQ's statutory authority to conduct research and evaluations on health care and systems for the delivery of such care, including activities with respect to the quality, effectiveness, efficiency, appropriateness and value of health care services. See 42 U.S.C. 299a(a)(1).</P>
                <HD SOURCE="HD1">Method of Collection</HD>
                <P>To achieve the goals of this pre-test the CAHPS Health Plan Health Literacy Survey will be implemented with a sample of persons from the surveys' target population, consumers of health care services offered by health plans. The data from this pre-test will be used to refine the health literacy module questions and will ensure that the future data collection yield high quality data and ensure a minimization of respondent burden, increase agency efficiency, and improve responsiveness to the public. The survey items will be added to currently available CAHPS surveys and will enhance the ability of health plans and health professionals working in a health plan primary care setting to assess the quality of their services.</P>
                <HD SOURCE="HD1">Estimated Annual Respondent Burden</HD>
                <P>Exhibit 1 shows the estimated annualized burden for the respondents' time to participate in this data collection. About 1000 persons will complete the CAHPS Health Plan Survey Health Literacy Module. The estimated response time of 25 minutes is based on the written length of the survey and AHRQ's experience with previous CAHPS® surveys of comparable length that were fielded with similar samples. The total burden hours are estimated to be 417 hours.</P>
                <P>Exhibit 2 shows the respondents' cost burden associated with their time to participate in this data collection. The total cost burden is estimated to be $8,715.</P>
                <GPOTABLE COLS="05" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                    <TTITLE>Exhibit 1—Estimated Annualized Burden Hours</TTITLE>
                    <BOXHD>
                        <CHED H="1">Form name </CHED>
                        <CHED H="1">
                            Number of
                            <LI>respondents </LI>
                        </CHED>
                        <CHED H="1">
                            Number of
                            <LI>responses per respondent</LI>
                        </CHED>
                        <CHED H="1">
                            Hours per
                            <LI>response </LI>
                        </CHED>
                        <CHED H="1">Total burden hours</CHED>
                    </BOXHD>
                    <ROW RUL="n,s">
                        <ENT I="01">CAHPS Health Plan Health Literacy Module </ENT>
                        <ENT>1000 </ENT>
                        <ENT>1 </ENT>
                        <ENT>25/60 </ENT>
                        <ENT>417</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Total </ENT>
                        <ENT>1000 </ENT>
                        <ENT>1 </ENT>
                        <ENT>na </ENT>
                        <ENT>417</ENT>
                    </ROW>
                </GPOTABLE>
                <GPOTABLE COLS="05" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                    <TTITLE>Exhibit 2—Estimated Annualized Cost Burden</TTITLE>
                    <BOXHD>
                        <CHED H="1">Form name </CHED>
                        <CHED H="1">
                            Number of
                            <LI>respondents </LI>
                        </CHED>
                        <CHED H="1">Total burden hours</CHED>
                        <CHED H="1">Average hourly wage rate*</CHED>
                        <CHED H="1">
                            Total cost
                            <LI>burden</LI>
                        </CHED>
                    </BOXHD>
                    <ROW RUL="n,s">
                        <ENT I="01">CAHPS Health Plan Health Literacy Survey</ENT>
                        <ENT>1000 </ENT>
                        <ENT>417 </ENT>
                        <ENT>$20.90 </ENT>
                        <ENT>$8,715</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Total </ENT>
                        <ENT>1000 </ENT>
                        <ENT>417 </ENT>
                        <ENT>na </ENT>
                        <ENT>8,715</ENT>
                    </ROW>
                    <TNOTE>*Based upon the average wages, “National Compensation Survey: Occupational Wages in the United States, May 2009,” U.S. Department of Labor, Bureau of Labor Statistics.</TNOTE>
                </GPOTABLE>
                <HD SOURCE="HD1">Estimated Annual Costs to the Federal Government</HD>
                <P>
                    Exhibit 3 shows the total and annualized cost to conduct this research. The total cost for this project is approximately $299,000. Since the data collection period is less than one year, the total and annualized costs are identical.
                    <PRTPAGE P="57048"/>
                </P>
                <GPOTABLE COLS="03" OPTS="L2,i1" CDEF="s50,12,12">
                    <TTITLE>Exhibit 3—Estimated Annualized Cost</TTITLE>
                    <BOXHD>
                        <CHED H="1">Cost component </CHED>
                        <CHED H="1">Total cost </CHED>
                        <CHED H="1">Annualized cost</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">Review of literature </ENT>
                        <ENT>$20,000 </ENT>
                        <ENT>$20,000</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Cognitive interviews </ENT>
                        <ENT>60,000 </ENT>
                        <ENT>60,000</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Field test </ENT>
                        <ENT>90,000 </ENT>
                        <ENT>90,000</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Data analyses </ENT>
                        <ENT>40,000 </ENT>
                        <ENT>40,000</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Finalize survey </ENT>
                        <ENT>39,000 </ENT>
                        <ENT>39,000</ENT>
                    </ROW>
                    <ROW RUL="n,s">
                        <ENT I="01">AHRQ project management </ENT>
                        <ENT>50,000 </ENT>
                        <ENT>50,000</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Total </ENT>
                        <ENT>299,000 </ENT>
                        <ENT>299,000</ENT>
                    </ROW>
                </GPOTABLE>
                <HD SOURCE="HD1">Request for Comments</HD>
                <P>In accordance with the Paperwork Reduction Act, comments on AHRQ's information collection are requested with regard to any of the following: (a) Whether the proposed collection of information is necessary for the proper performance of AHRQ healthcare research and healthcare information dissemination functions, including whether the information will have practical utility; (b) the accuracy of AHRQ's estimate of burden (including hours and costs) of the proposed collection(s) of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information upon the respondents, including the use of automated collection techniques or other forms of information technology.</P>
                <P>Comments submitted in response to this notice will be summarized and included in the Agency's subsequent request for OMB approval of the proposed information collection. All comments will become a matter of public record.</P>
                <SIG>
                    <DATED>Dated: Aug 31 2011.</DATED>
                    <NAME>Carolyn M. Clancy,</NAME>
                    <TITLE>Director.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23543 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-90-M</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Agency for Healthcare Research and Quality</SUBAGY>
                <SUBJECT>Agency Information Collection Activities: Proposed Collection; Comment Request</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Agency for Healthcare Research and Quality, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This notice announces the intention of the Agency for Healthcare Research and Quality (AHRQ) to request that the Office of Management and Budget (OMB) approve the proposed information collection project: “Medical Expenditure Panel Survey—Insurance Component 2012-2013.” In accordance with the Paperwork Reduction Act, 44 U.S.C. 3501-3521, AHRQ invites the public to comment on this proposed information collection.</P>
                    <P>
                        This proposed information collection was previously published in the 
                        <E T="04">Federal Register</E>
                         on June 30th, 2011 and allowed 60 days for public comment. No comments were received. The purpose of this notice is to allow an additional 30 days for public comment.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments on this notice must be received by October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Written comments should be submitted to: AHRQ's OMB Desk Officer by fax at (202) 395-6974 (attention: AHRQ's desk officer) or by e-mail at 
                        <E T="03">OIRA_submission@omb.eop.gov</E>
                         (
                        <E T="03">attention:</E>
                         AHRQ's desk officer).
                    </P>
                    <P>Copies of the proposed collection plans, data collection instruments, and specific details on the estimated burden can be obtained from the AHRQ Reports Clearance Officer.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Doris Lefkowitz, AHRQ Reports Clearance Officer, (301) 427-1477, or by e-mail at 
                        <E T="03">doris.lefkowitz@AHRQ.hhs.gov</E>
                        .
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">Proposed Project</HD>
                <HD SOURCE="HD2">Medical Expenditure Panel Survey—Insurance Component 2012-2013</HD>
                <P>Employer-sponsored health insurance is the source of coverage for 85 million current and former workers, plus many of their family members, and is a cornerstone of the U.S. health care system. The Medical Expenditure Panel Survey—Insurance Component (MEPS-IC) measures the extent, cost, and coverage of employer-sponsored health insurance on an annual basis. These statistics are produced at the National, State, and sub-State (metropolitan area) level for private industry. Statistics are also produced for State and Local governments.</P>
                <P>This research has the following goals:</P>
                <P>(1) To provide data for Federal policymakers evaluating the effects of National and State health care reforms;</P>
                <P>(2) to provide descriptive data on the current employer-sponsored health insurance system and data for modeling the differential impacts of proposed health policy initiatives; and</P>
                <P>(3) to supply critical State and National estimates of health insurance spending for the National Health Accounts and Gross Domestic Product.</P>
                <P>This study is being conducted by AHRQ through an interagency agreement with the U.S. Census Bureau and pursuant to AHRQ's statutory authority to conduct surveys to collect data on the cost, use and quality of health care, including the types and costs of private health insurance. 42 U.S.C. 299b-2(a).</P>
                <HD SOURCE="HD1">Method of Collection</HD>
                <P>To achieve the goals of this project the following data collections for both private sector and state and local government employers will be implemented:</P>
                <P>
                    (1) Prescreener Questionnaire—The purpose of the Prescreener Questionnaire, which is collected via telephone, varies depending on the insurance status of the establishment contacted. (Establishment is defined as a single, physical location in the private sector and a governmental unit in state and local governments.) For establishments that do not offer health insurance to their employees, the prescreener is used to collect basic information such as number of employees. Collection is completed for these establishments through this telephone call. For establishments that do offer health insurance, contact name and address information is collected that is used for the mailout of the establishment and plan questionnaires. Obtaining this contact information helps ensure that the questionnaires are directed to the person in the establishment best equipped to complete them.
                    <PRTPAGE P="57049"/>
                </P>
                <P>(2) Establishment Questionnaire—The purpose of the mailed Establishment Questionnaire is to obtain general information from employers that provide health insurance to their employees. Information such as total active enrollment in health insurance, other employee benefits, waiting periods, and retiree health insurance is collected through the establishment questionnaire.</P>
                <P>(3) Plan Questionnaire—The purpose of the mailed Plan Questionnaire is to collect plan-specific information on each plan (up to four plans) offered by establishments that provide health insurance to their employees. This questionnaire obtains information on total premiums, employer and employee contributions to the premium, and plan enrollment for each type of coverage offered—single, employee-plus-one, and family—within a plan. It also asks for information on deductibles, copays, and other plan characteristics. This information is needed in order to provide the tools for Federal, State, and academic researchers to evaluate current and proposed health policies and to support the production of important statistical measures for other Federal agencies.</P>
                <HD SOURCE="HD1">Estimated Annual Respondent Burden</HD>
                <P>
                    Exhibit 1 shows the estimated annualized burden hours for the respondent's time to provide the requested data. The Prescreener questionnaire will be completed by 31,552 respondents and takes about 5 
                    <FR>1/2</FR>
                     minutes to complete. The Establishment questionnaire will be completed by 25,839 respondents and takes about 23 minutes to complete. The Plan questionnaire will be completed by 23,230 respondents and will require an average of 2.1 responses per respondent. Each Plan questionnaire takes about 11 minutes to complete. The total annualized burden hours are estimated to be 21,440 hours.
                </P>
                <P>Exhibit 2 shows the estimated annualized cost burden associated with the respondents' time to participate in this data collection. The annualized cost burden is estimated to be $614,256.</P>
                <GPOTABLE COLS="05" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                    <TTITLE>Exhibit 1—Estimated Annualized Burden Hours</TTITLE>
                    <BOXHD>
                        <CHED H="1">Form name </CHED>
                        <CHED H="1">
                            Number of
                            <LI>respondents </LI>
                        </CHED>
                        <CHED H="1">
                            Number of
                            <LI>responses per respondent</LI>
                        </CHED>
                        <CHED H="1">
                            Hours per
                            <LI>response</LI>
                        </CHED>
                        <CHED H="1">Total burden hours</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">Prescreener Questionnaire </ENT>
                        <ENT>31,552 </ENT>
                        <ENT>1 </ENT>
                        <ENT>0.09 </ENT>
                        <ENT>2,840</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Establishment Questionnaire </ENT>
                        <ENT>25,839 </ENT>
                        <ENT>1 </ENT>
                        <ENT>0.38 </ENT>
                        <ENT>9,819</ENT>
                    </ROW>
                    <ROW RUL="n,s">
                        <ENT I="01">Plan Questionnaire </ENT>
                        <ENT>23,230 </ENT>
                        <ENT>2.1 </ENT>
                        <ENT>0.18 </ENT>
                        <ENT>8,781</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Total </ENT>
                        <ENT>80,621 </ENT>
                        <ENT>na </ENT>
                        <ENT>na </ENT>
                        <ENT>21,440</ENT>
                    </ROW>
                </GPOTABLE>
                <GPOTABLE COLS="05" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                    <TTITLE>Exhibit 2—Estimated Annualized Cost Burden</TTITLE>
                    <BOXHD>
                        <CHED H="1">Form name </CHED>
                        <CHED H="1">
                            Number of
                            <LI>respondents </LI>
                        </CHED>
                        <CHED H="1">Total burden hours</CHED>
                        <CHED H="1">Average hourly wage rate*</CHED>
                        <CHED H="1">
                            Total cost
                            <LI>burden</LI>
                        </CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">Prescreener Questionnaire </ENT>
                        <ENT>31,552 </ENT>
                        <ENT>2,840 </ENT>
                        <ENT>28.65 </ENT>
                        <ENT>$81,366</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Establishment Questionnaire </ENT>
                        <ENT>25,839 </ENT>
                        <ENT>9,819 </ENT>
                        <ENT>28.65 </ENT>
                        <ENT>281,314</ENT>
                    </ROW>
                    <ROW RUL="n,s">
                        <ENT I="01">Plan Questionnaire </ENT>
                        <ENT>23,230 </ENT>
                        <ENT>8,781 </ENT>
                        <ENT>28.65 </ENT>
                        <ENT>251,576</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Total </ENT>
                        <ENT>80,621 </ENT>
                        <ENT>21,440 </ENT>
                        <ENT>na </ENT>
                        <ENT>614,256</ENT>
                    </ROW>
                    <TNOTE>
                        *Based upon the mean hourly wage for Compensation, Benefits, and Job Analysis Specialists occupation code—1141, at 
                        <E T="03">http://www.bls.gov/oes/current/oes_nat.htm#13-0000</E>
                         (U.S. Department of Labor, Bureau of Labor Statistics.)
                    </TNOTE>
                </GPOTABLE>
                <HD SOURCE="HD1">Estimated Annual Costs to the Federal Government</HD>
                <P>Exhibit 3 shows the estimated annualized cost of this data collection. The total cost over the 2 years of this clearance is $22,954,000.</P>
                <GPOTABLE COLS="03" OPTS="L2,i1" CDEF="s50,12,12">
                    <TTITLE>Exhibit 3—Estimated Total and Annualized Cost </TTITLE>
                    <TDESC>[$ thousands]</TDESC>
                    <BOXHD>
                        <CHED H="1">Cost component </CHED>
                        <CHED H="1">Total cost </CHED>
                        <CHED H="1">Annualized cost</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">Project Development </ENT>
                        <ENT>$3,338 </ENT>
                        <ENT>$1,669</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Data Collection Activities </ENT>
                        <ENT>7,789 </ENT>
                        <ENT>3,895</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Data Processing and Analysis </ENT>
                        <ENT>7,789 </ENT>
                        <ENT>3,895</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">Project Management </ENT>
                        <ENT>2,925 </ENT>
                        <ENT>1,463</ENT>
                    </ROW>
                    <ROW RUL="n,s">
                        <ENT I="01">Overhead </ENT>
                        <ENT>1,113 </ENT>
                        <ENT>557</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Total </ENT>
                        <ENT>22,954 </ENT>
                        <ENT>11,477</ENT>
                    </ROW>
                    <TNOTE>
                        <E T="02">Note:</E>
                         Components may not sum to Total due to rounding.
                    </TNOTE>
                </GPOTABLE>
                <HD SOURCE="HD1">Request for Comments</HD>
                <P>
                    In accordance with the Paperwork Reduction Act, comments on AHRQ's information collection are requested with regard to any of the following: (a) Whether the proposed collection of information is necessary for the proper performance of AHRQ healthcare research and healthcare information 
                    <PRTPAGE P="57050"/>
                    dissemination functions, including whether the information will have practical utility; (b) the accuracy of AHRQ's estimate of burden (including hours and costs) of the proposed collection(s) of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information upon the respondents, including the use of automated collection techniques or other forms of information technology.
                </P>
                <P>Comments submitted in response to this notice will be summarized and included in the Agency's subsequent request for OMB approval of the proposed information collection. All comments will become a matter of public record.</P>
                <SIG>
                    <DATED>Dated: Aug 31 2011.</DATED>
                    <NAME>Carolyn M. Cancy,</NAME>
                    <TITLE>Director.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23539 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-90-M</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Food and Drug Administration</SUBAGY>
                <DEPDOC>[Docket No. FDA-2011-N-0400]</DEPDOC>
                <AGENCY TYPE="O">DEPARTMENT OF AGRICULTURE</AGENCY>
                <SUBAGY>Food Safety and Inspection Service</SUBAGY>
                <DEPDOC>[Docket No. FSIS-2011-0014]</DEPDOC>
                <SUBJECT>Approaches to Reducing Sodium Consumption; Establishment of Dockets; Request for Comments, Data, and Information</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Food and Drug Administration, HHS; Food Safety and Inspection Service, USDA.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice; establishment of dockets; request for comments, data, and information.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Food and Drug Administration (FDA) and the Food Safety and Inspection Service (FSIS) are announcing the establishment of dockets to obtain comments, data, and evidence relevant to the dietary intake of sodium as well as current and emerging approaches designed to promote sodium reduction. FDA and FSIS are particularly interested in research that will help both organizations understand current and emerging practices by industry in sodium reduction in foods; current consumer understanding of the role of sodium in hypertension and other chronic illnesses, sodium consumption practices; motivation and barriers in reducing sodium in their food intakes; and issues associated with the development of targets for sodium reduction in foods to promote reduction of excess sodium intake. Excess sodium intake is linked to increased risk of heart disease and stroke. FDA and FSIS recognize ongoing efforts by a number of members of the restaurant and packaged food industries to reduce sodium and appreciate the complexities of reducing sodium in foods. Continued input and support from industry and other stakeholders are important to support further progress on this significant public health issue.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Submit either electronic or written comments and data and information by November 29, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        <E T="03">FDA:</E>
                         Submit electronic comments and data and information to 
                        <E T="03">http://www.regulations.gov.</E>
                         Submit written comments and data and information to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852. All submissions must include the Agency name and docket number FDA-2011-N-0400.
                    </P>
                    <P>
                        <E T="03">FSIS:</E>
                         Submit electronic comments and data and information to 
                        <E T="03">http://www.regulations.gov.</E>
                         Submit written comments and data and information to the Docket Clerk, U.S. Department of Agriculture, Food Safety and Inspection Service, FSIS Docket Room, 1400 Independence Avenue, SW., Patriots Plaza 3, Mailstop 3782, Room 163A, Washington, DC 20250-3700. All submissions must include the Agency name and docket number FSIS-2011-0014.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        <E T="03">FDA:</E>
                         Richard E. Bonnette, Center for Food Safety and Applied Nutrition (HFS-255), Food and Drug Administration, 5100 Paint Branch Pkwy., College Park, MD 20740-3835, 240-402-1235.
                    </P>
                    <P>
                        <E T="03">FSIS:</E>
                         Rosalyn Murphy-Jenkins, Director, Labeling and Program Delivery Division, Office of Policy and Program Development, Food Safety and Inspection Service, U.S. Department of Agriculture, USDA, FSIS, OPPD, LPDD Stop Code 3784, Patriots Plaza III, 8-161A, 1400 Independence Avenue, SW., Washington, DC 20250-3700.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. Background</HD>
                <P>Research shows that excess sodium consumption is a contributory factor in the development of hypertension, which is a leading cause of heart disease and stroke (Ref. 1), the first and fourth leading causes of death in the United States, respectively (Ref. 2). Research also shows that the increase in blood pressure seen with aging, common to most Western countries, is not observed in populations that consume low sodium diets (Refs. 3 and 4) and that the U.S. population consumes far more sodium than recommended (Ref. 5 and 7). Moreover, dietary reduction of sodium can lower blood pressure as has been demonstrated in the Dietary Approaches to Stop Hypertension (DASH)-Sodium trial (Ref. 6). Because over three-quarters of sodium in the diet of the U.S. population is added during manufacturing of foods and preparation of restaurant foods, reduction in sodium consumption in the United States involves reduction in the sodium content of food in the U.S. marketplace (Refs. 5 and 7).</P>
                <P>In this document, we refer primarily to “sodium,” a component of sodium chloride, commonly known as “salt.” Most but not all sodium is added to food in the form of salt and we are interested in all sources of sodium added to foods. The comments, data, and evidence regarding sodium reduction obtained by the establishment of these dockets will provide important information about current and emerging practices and approaches designed to reduce excess sodium intake, primarily coming from salt.</P>
                <HD SOURCE="HD2">A. Sodium: Current and Recommended Intake</HD>
                <P>
                    According to national food survey data from the “What We Eat in America, National Health and Nutrition Examination Survey (NHANES) 2007-2008,” estimated average sodium intake from foods among persons in the United States aged 2 years or older is approximately 3,300 milligrams per day (mg/d) (excluding salt added at the table) (Ref. 8). Most of this sodium comes from salt used in the manufacture or preparation of foods (Ref. 9). In 2005, the IOM set a Tolerable Upper Intake Level (UL) for sodium at 2,300 mg/d and an Adequate Intake (AI) at 1,500 mg/d for those 9 to 50 years of age, including pregnant and lactating women (AIs are lower for those 0-8 years of age and for those over 50 years of age) (Ref. 1). The 2010 Dietary Guidelines for Americans recommendations are to “reduce daily sodium intake to less than 2,300 milligrams (mg) and further reduce intake to 1,500 mg among persons who are 51 and older and those of any age who are African American or have hypertension, diabetes, or chronic kidney disease.” The 1,500 mg recommendation applies to about half of the U.S. population (Ref. 7). Current sodium intake is substantially higher 
                    <PRTPAGE P="57051"/>
                    than what has been recommended by scientific and public health agencies and organizations in recent years. The Centers for Disease Control and Prevention (CDC) reported in 2010 that over 80 percent of adults (≥20 years) recommended to consume less than 2,300 mg/d of sodium in fact consumed more than 2,300 mg/d (Ref. 10).
                </P>
                <P>The 2010 Dietary Guidelines for Americans also stated that “Given the current U.S. marketplace and the resulting excessive high sodium intake, it is challenging to meet even the less than 2,300 mg recommendation” and that a concerted effort is needed to reduce sodium in foods to help consumers meet the levels recommended (Ref. 7).</P>
                <P>An analysis of the potential savings from reduced sodium consumption in the U.S. adult population found that reducing average dietary sodium intake to 2,300 mg/d among adults 18 years or older could have substantial health and financial benefits. Estimates showed potential reduction of 11 million hypertension cases and an annual savings of $18 billion health care costs (Ref. 11). Another assessment on the cost-effectiveness of reducing sodium intake found that an intervention achieving a reduction of 1,200 mg/d would save $10 to $24 billion in health care costs annually, comparable to benefits of population-wide reductions in tobacco use, obesity, and cholesterol levels (Ref. 12). Furthermore, this analysis found that a modest reduction over 10 years of about 400 mg sodium/d would be more cost-effective than using medications to lower blood pressure in all persons with hypertension (Ref. 12).</P>
                <HD SOURCE="HD2">B. Public and Industry Initiatives to Reduce Sodium Intake</HD>
                <P>Since 1980, the U.S. Department of Agriculture (USDA) and the U.S. Department of Health and Human Services (HHS) have made recommendations in the Dietary Guidelines for Americans, including “avoid too much sodium,” “use salt and sodium only in moderation,” and “choose and prepare foods with less salt” (Refs. 7 and 13 through 17).</P>
                <P>
                    FDA has supported these recommendations with a variety of initiatives designed to promote informed choices on the part of consumers. In 1984, FDA required that information on sodium be included on the label whenever nutrition information appeared on food labels (49 FR 15510, April 18, 1984). In 1990, Congress enacted the Nutrition Labeling and Education Act (NLEA), which mandated nutrition labeling of food. In response to the NLEA, in 1993 FDA issued regulations requiring the declaration of sodium in absolute amounts and as a percentage of the Daily Value (58 FR 2206, January 6, 1993). FDA has also established standards for sodium-related nutrient content and health claims (
                    <E T="03">e.g.,</E>
                     21 CFR 101.13; 21 CFR 101.14; 21 CFR 101.61; 21 CFR 101.74). Furthermore, under section 403(q)(5)(H)(ii)(III) of the Federal Food, Drug, and Cosmetic Act, as amended by the Patient Protection and Affordable Care Act of 2010, certain restaurants and similar retail food establishments must provide, upon request, written nutrition information, which includes sodium content, for standard menu items. Additional efforts by FDA have included consumer education initiatives such as a joint sodium education initiative in 1981 with the National Heart, Lung, and Blood Institute (NHLBI) of the National Institutes of Health (NIH) as part of the National High Blood Pressure Education Program (Ref. 18), and a November 29, 2007, public hearing concerning policies regarding salt and sodium in food (72 FR 59973, October 23, 2007). At the hearing, there was general agreement that the levels of sodium in food are too high, but there was no consensus regarding approaches for reducing the levels of sodium in food (Ref. 19).
                </P>
                <P>FSIS, the agency responsible for nutrition labeling requirements for meat and poultry products, also coordinates and collaborates with FDA on nutrition labeling issues. In 1993, FSIS issued regulations establishing nutrition labeling requirements for meat and poultry products (9 CFR 317, part 381, subpart Y). These regulations, similar to FDA's nutrition labeling regulations, required the declaration of sodium in absolute amounts and as a percentage of the Daily Value on the labeling of nonexempted meat and poultry products. In December 2010, FSIS issued regulations to ensure nutrition labeling of the major cuts of single-ingredient, raw meat and poultry products on labels or at point-of-purchase, unless an exemption applies (75 FR 82148, December 29, 2010). These regulations also require nutrition labels on all ground or chopped meat and poultry products, with or without added seasonings, unless an exemption applies. Thus, these regulations increase the type of meat and poultry products that must declare sodium in absolute amounts and as a percentage of the Daily Value in their labeling.</P>
                <P>Other U.S. public health agencies and organizations have also sought to inform consumers and encourage reduced sodium intake. In addition to conveying the benefits of reducing sodium related to hypertension through professional and consumer education activities, the NHLBI published guidelines recommending a sodium intake of no more than 2,400 mg/d dating back to 1993 (Refs. 20 through 26). More recently, the CDC has provided funding to various states and communities across the country in support of sodium reduction efforts to help create healthier food environments and reduce sodium intake by the population (Ref. 27). In addition, USDA, through the nutrition programs of the Center for Nutrition Policy and Promotion, promotes consumer messages related to sodium reductions via the interactive, web-based dietary assessment and weight management resources at ChooseMyPlate.gov, as well as through its MyPlate 2010 Dietary Guidelines for Americans consumer communications initiative and Consumer Brochure.</P>
                <P>In 2008, the New York City Department of Health and Mental Hygiene initiated the National Sodium Reduction Initiative (NSRI), a partnership of 70 local and state health departments and health organizations, which has set targets to reduce sodium in restaurant and processed foods (Ref. 28). The goal of NSRI is to decrease average sodium intake by 20 percent over 5 years (2009 through 2014) by developing stepwise reductions from 2009 base levels to those desired by 2014. To-date, 28 companies have responded to NSRI, committing to reductions in the sodium content of some of their products.</P>
                <P>These initiatives have been accompanied by efforts by industry, where a number of companies have played, and continue to play, a leadership role. Many food companies recognize that reduction of sodium in the American diet is an important public health issue. Some major food manufacturers have publicly committed to reducing the sodium content of their products over time. Certain companies have voluntarily identified specific product goals for sodium reduction. Many have demonstrated that substantial reductions in sodium can be achieved in certain food products and have established research programs to address key issues such as taste preference, technological advances, safety, and consumer acceptance in working through challenges and gaps in knowledge.</P>
                <P>
                    Other countries are also engaged in sodium reduction activities (Refs. 29 and 30).
                    <PRTPAGE P="57052"/>
                </P>
                <HD SOURCE="HD2">C. Institute of Medicine of the National Academies—Report on Strategies To Reduce Sodium</HD>
                <P>In April 2010, the IOM released a report entitled “Strategies to Reduce Sodium Intake in the United States.” The report concluded that sodium intake, with the greatest contribution from salt, remains well above recommended levels despite several decades of education, labeling, and outreach efforts to reduce sodium consumption in the United States (Ref. 5). In the report, the committee considered past and current sodium reduction initiatives, consumer preference, the functional roles of sodium in food, research needs, regulatory options, and nutrition labeling in developing its recommendations. The IOM report acknowledged a number of complicating factors in reducing sodium in food. Although sodium primarily plays a role in altering taste, the IOM report noted that sodium chloride and other sodium-containing ingredients play a critical role in food safety by reducing the growth of pathogens thereby improving safety and shelf-life. In addition, these compounds provide functional and physical properties such as improving texture, controlling stickiness, and improving meltability. Among other things, the IOM report noted that more research is needed to develop and implement new technologies for sodium reduction and discussed the role of voluntary action by industry.</P>
                <HD SOURCE="HD2">D. Sources and Function of Sodium in the Typical Diet</HD>
                <P>According to data presented to the IOM committee during the March 2009 public information gathering workshop (see Appendix L of the IOM Sodium Report), approximately 75 percent of the total sodium intake for most individuals is attributed to salt added as an ingredient or processing aid to processed and restaurant foods (Ref. 5). Sodium in the form of salt is added to food for many reasons. For example, salt functions as a seasoning agent and flavor-enhancer, a preservative and curing agent, a formulating and processing aid, and a dough conditioner (Ref. 5). Salt added at the table and in cooking provides only a small proportion of the total sodium that Americans consume (Ref. 9). A number of other sodium-containing ingredients contribute to sodium intake in lesser amounts (&lt;1 percent) (Ref. 31). Some examples include sodium alginate, which alters viscosity; sodium phosphates, which bind liquid to reduce purge, in particular for solution-enhanced meat and poultry products; sodium sulfite, sodium nitrite, and sodium benzoate, which preserve food and inhibit microbial growth; and sodium lactate, diacetate, and acetate, which are dual purpose for flavoring and antimicrobial (pathogen reduction) purposes (Ref. 32). Non-sodium forms of these ingredients, which replace sodium with compounds such as potassium, calcium, and magnesium, are also available for some of these applications (Ref. 31).</P>
                <P>According to the National Cancer Institute (NCI), individual and mixed foods contributing the highest proportion of sodium to the U.S. diet include yeast breads (250 mg/d), chicken and chicken mixed dishes (233 mg/d), pizza (217 mg/d), pasta and pasta dishes (174 mg/d), and cold cuts (155 mg/d) (Ref. 33). The CDC reported that close to 40 percent of daily sodium intake comes from grain-based products, such as breads, cakes, cookies, and crackers, and that almost 30 percent comes from processed meat products, such as bacon, sausage, lunch meat, poultry, and fish mixtures (Ref. 10). Sodium occurs naturally in nearly all foods; however this intrinsic sodium is not a significant dietary contributor for most Americans. Essentially, any single-ingredient food is low in sodium.</P>
                <HD SOURCE="HD2">E. Sodium Reduction Opportunities</HD>
                <P>FDA and FSIS are considering potential ways to promote gradual, achievable and sustainable reduction of sodium intake over time. Research on a variety of issues, including the development of possible targets for the reduction of the sodium content of foods, is needed to assist FDA and FSIS in this effort. Sodium-containing food ingredients are used for multiple purposes at variable levels in diverse foods. The sodium intake of the U.S. population reflects both the sodium levels of individual foods and the amounts of foods consumed. As such, there are a variety of factors that may inform judgments about appropriate opportunities for sodium reduction. These factors include:</P>
                <P>1. The important role that sodium has in food safety with respect to limiting microbial growth and maintaining the shelf-life of some foods;</P>
                <P>
                    2. The effect of sodium reduction on the physical attributes (
                    <E T="03">e.g.,</E>
                     consistency, texture, shape, form) of some foods in ways that may impact consumer acceptance or food processing and manufacturing practices;
                </P>
                <P>3. The feasibility, practicality, and cost of reducing sodium in various food categories;</P>
                <P>4. The magnitude (time and percent sodium reduction) of any gradual or stepwise reduction effort;</P>
                <P>5. The need to act gradually in a manner that is acceptable to consumers, while also achieving significant sodium reduction, because taste preference for sodium is acquired and can be modified (Refs. 34 and 35).</P>
                <HD SOURCE="HD1">II. Establishment of a Docket and Request for Specific Input on Certain Topics</HD>
                <P>FDA and FSIS are establishing dockets to provide an opportunity for interested persons to submit comments, research, data, and other information that will better inform them about current and emerging practices by the private sector in sodium reduction; current consumer understanding of the role of sodium in hypertension and other chronic illnesses; sodium consumption practices; motivation and barriers in reducing sodium in their food intakes; and issues associated with the development of targets for sodium reduction in foods to promote reduction in excess sodium intake. In particular, both agencies welcome input on the following matters:</P>
                <P>1. Comments and research related to recent sodium reduction initiatives by industry and the effects of those initiatives;</P>
                <P>2. Comments and research related to consumer understanding of the role of sodium in hypertension and other chronic illnesses, sodium consumption practices, and motivation and barriers in reducing sodium in their food intakes;</P>
                <P>3. Comments and research related to effective strategies for sustainable and meaningful reduction of sodium in foods sold in packaged or prepared form across the food supply, including and in particular foods with a high sales volume;</P>
                <P>4. Comments and research related to existing or potential positive incentives for innovation in reformulating packaged and restaurant foods to reduce added sodium;</P>
                <P>
                    5. Comments and research related to the recommendations from the April 2010 IOM Sodium report on “Strategies to Reduce Sodium Intake in the United States,” including research related to information gaps identified in the IOM report (taste preferences for sodium, technological role of sodium/salt, role of food matrix, food safety, 
                    <E T="03">etc.</E>
                    );
                </P>
                <P>
                    6. Comments and research related to the following: (a) Methods for establishing sodium reduction targets, including information on general target design (
                    <E T="03">e.g.,</E>
                     setting sodium reduction targets based on food categories, serving size, or formulations), (b) step-wise 
                    <PRTPAGE P="57053"/>
                    approaches to achieve sustainable sodium reductions and timeframes for achieving such reductions, and (c) methods for evaluating the impact of a sodium reduction strategy;
                </P>
                <P>7. Comments and research related to avoiding potential unintended consequences for food safety, nutrition (including effects on added sugars or solid fats), or food manufacturing technologies that could result from interventions to reduce sodium;</P>
                <P>8. Comments and research related to existing voluntary sodium reduction efforts, including the voluntary sodium reduction targets set by the New York City-initiated NSRI partnership, and their applicability to a potentential federal sodium reduction initiative;</P>
                <P>9. Comments and research related to food formulation, processing, production, and other technology that could lead to meaningful and sustainable reductions in the amount of sodium in food, including specific food categories, targets, and methods to monitor;</P>
                <P>
                    10. Comments and research on the role that food standards of identity play in promoting or limiting the feasibility of sodium reduction of foods (among other things, standards of identity for certain foods define the nature of those foods, generally in terms of how those foods are prepared, the types of ingredients that they must contain (
                    <E T="03">i.e.,</E>
                     mandatory ingredients) and that they may contain (
                    <E T="03">i.e.,</E>
                     optional ingredients), and how those foods must be labeled (Federal Food, Drug, and Cosmetic Act (21 U.S.C. 341); the Federal Meat Inspection Act (21 U.S.C. 607(c)); and the Poultry Products Inspection Act (21 U.S.C. 457(b)));
                </P>
                <P>11. Comments and research on any advantages of sodium to consumers, including but not limited to, food safety, nutrition, and palatability;</P>
                <P>12. Comments and research on the economic impacts of reducing sodium, including but not limited to, the cost of food, agricultural production, small businesses, jobs, and the health care system;</P>
                <P>13. Comments and research on the impact of sodium reduction initiatives on consumer food choices and compliance with 2010 Dietary Guidelines for Americans recommendations;</P>
                <P>
                    14. Comments and research related to how consumers respond to sodium reductions (
                    <E T="03">i.e.,</E>
                     adding back salt to foods, consumption of reformulated products); and
                </P>
                <P>15. Comments and research related to effective methods for communicating to the public the health benefits associated with the sodium intake levels recommended by the 2010 Dietary Guidelines for Americans.</P>
                <P>
                    We anticipate that some interested persons may wish to provide FDA and FSIS with certain comments, research, data, and information that they consider to be trade secret or confidential commercial information (CCI) that would be exempt under Exemption 4 of the Freedom of Information Act (5 U.S.C. 552). You may claim information that you submit to FDA and FSIS as CCI or trade secret by clearly marking both the document and the specific information as “confidential.” Information so marked will not be disclosed except in accordance with the Freedom of Information Act (5 U.S.C. 552) and the specific agency's disclosure regulations (FDA's regulations under 21 CFR part 20; FSIS's regulations under 9 CFR part 390). For electronic submissions to 
                    <E T="03">http://www.regulations.gov</E>
                    , indicate in the “comments” box of the appropriate docket that your submission contains confidential information. You must also submit a copy of the comment that does not contain the information claimed as confidential for inclusion in the public version of the official record. Information not marked confidential will be included in the public version of the official record without prior notice.
                </P>
                <HD SOURCE="HD1">III. Public Meeting</HD>
                <P>
                    A 
                    <E T="04">Federal Register</E>
                     notice will be published in the near future announcing a public meeting to discuss the topics set forth in this notice.
                </P>
                <HD SOURCE="HD1">IV. Comments</HD>
                <P>
                    <E T="03">FDA:</E>
                     Interested persons may submit to FDA's Division of Dockets Management (see 
                    <E T="02">ADDRESSES</E>
                    ) either electronic or written comments regarding this document. It is only necessary to send one set of comments. It is no longer necessary to send two copies of mailed comments. Identify comments with the docket number found in brackets in the heading of this document. Received comments may be seen in the Division of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
                </P>
                <P>
                    <E T="03">FSIS:</E>
                     Interested persons may submit to FSIS's Docket Clerk (see 
                    <E T="02">ADDRESSES</E>
                    ) either electronic or written comments regarding this document. Identify comments with the docket number found in brackets in the heading of this document. Received comments may be seen in the FSIS Docket Room between 8:30 a.m. and 4:30 p.m., Monday through Friday.
                </P>
                <P>Because two docket numbers are associated with this document, please include with your comments the docket number that corresponds with the appropriate agency. Comments submitted for inclusion in both dockets should be separately submitted to each identified docket number to ensure consideration.</P>
                <HD SOURCE="HD1">V. References</HD>
                <P>
                    FDA has placed the following references on display in FDA's Division of Dockets Management (see 
                    <E T="02">ADDRESSES</E>
                    ). You may see them between 9 a.m. and 4 p.m., Monday through Friday. (FDA has verified the Web site addresses, but FDA is not responsible for any subsequent changes to Web sites after this document publishes in the 
                    <E T="04">Federal Register</E>
                    .)
                </P>
                <EXTRACT>
                    <FP SOURCE="FP-2">1. IOM (2005). “Dietary Reference Intakes for Water, Potassium, Sodium Chloride and Sulfate,” Washington DC: The National Academies Press.</FP>
                    <FP SOURCE="FP-2">
                        2. Xu, J, Kochanek, KD, Murphy, SL, Tejada-Vera, B. “Deaths: preliminary data for 2007,” CDC, 
                        <E T="03">National Vital Statistics Report.</E>
                         2011; 58 (19).
                    </FP>
                    <FP SOURCE="FP-2">
                        3. Chobanian AV, Bakris GL, Black HR, Cushman WC, Green LA, Izzo JL Jr, 
                        <E T="03">et al.</E>
                         “The seventh report of the Joint National Committee on Prevention, Detection, Evaluation, and Treatment of High Blood Pressure,” 
                        <E T="03">Hypertension.</E>
                         2003; 42: 1206-1252.
                    </FP>
                    <FP SOURCE="FP-2">
                        4. Carvalho JJ, Baruzzi RG, Howard PF, Poulter N, Alpers MP, Franco LJ, 
                        <E T="03">et al.</E>
                         “Blood pressure in four remote populations in the INTERSALT Study,” 
                        <E T="03">Hypertension.</E>
                         1989 Sep; 14(3): 238-246.
                    </FP>
                    <FP SOURCE="FP-2">5. IOM (2010). “Strategies to Reduce Sodium Intake in the United States,” Washington DC: The National Academies Press.</FP>
                    <FP SOURCE="FP-2">
                        6. Sacks FM, Svetkey LP, Vollmer WM, Appel LJ, Bray GA, Harsha D, 
                        <E T="03">et al.</E>
                         “Effects on blood pressure of reduced dietary sodium and the Dietary Approaches to Stop Hypertension (DASH) diet.” DASH-Sodium Collaborative Research Group. 
                        <E T="03">New England Journal of Medicine.</E>
                         2001 Jan 4; 344(1): 3-10.
                    </FP>
                    <FP SOURCE="FP-2">7. USDA/HHS (2010). “Dietary Guidelines for Americans, 2010, 7th Edition,” Washington, DC: U.S. Government Printing Office, December 2010.</FP>
                    <FP SOURCE="FP-2">
                        8. USDA, Agricultural Research Service. “What we eat in America, NHANES.” Available at 
                        <E T="03">http://www.ars.usda.gov/Services/docs.htm?docid=13793.</E>
                         Accessed on August 30, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        9. Mattes RD, Donnelly D. “Relative contributions of dietary sodium sources,” 
                        <E T="03">Journal of the American College of Nutrition.</E>
                         1991 Aug; 10(4): 383-93.
                    </FP>
                    <FP SOURCE="FP-2">
                        10. “Sodium Intake Among Adults—United States, 2005-2006,” CDC, 
                        <E T="03">Morbidity and Mortality Weekly Report.</E>
                         June 25, 2010; 59 (24): 746-749.
                    </FP>
                    <FP SOURCE="FP-2">
                        11. Palar K, Sturm R. “Potential societal savings from reduced sodium consumption in the U.S. adult population.” 
                        <E T="03">American Journal of Health Promotion.</E>
                         2009 Sep-Oct; 24(1): 49-57.
                        <PRTPAGE P="57054"/>
                    </FP>
                    <FP SOURCE="FP-2">
                        12. Bibbins-Domingo K, Chertow GM, Coxson PG, Moran A, Lightwood JM, Pletcher MJ, Goldman L. “Projected Effect of Dietary Salt Reductions on Future Cardiovascular Disease.” 
                        <E T="03">New England Journal of Medicine.</E>
                         2010 Feb 18; 362 (7): 590-599.
                    </FP>
                    <FP SOURCE="FP-2">13. USDA/HHS (1980). “Dietary Guidelines for Americans, 1st Edition.” Washington, DC: U.S. Government Printing Office.</FP>
                    <FP SOURCE="FP-2">14. USDA/HHS (1985). “Dietary Guidelines for Americans, 2nd Edition.” Washington, DC: U.S. Government Printing Office.</FP>
                    <FP SOURCE="FP-2">15. USDA/HHS (1990). “Dietary Guidelines for Americans, 3rd Edition.” Washington, DC: U.S. Government Printing Office.</FP>
                    <FP SOURCE="FP-2">16. USDA/HHS (2000). “Dietary Guidelines for Americans, 5th Edition.” Washington, DC: U.S. Government Printing Office.</FP>
                    <FP SOURCE="FP-2">17. USDA/HHS (2005). “Dietary Guidelines for Americans, 6th Edition.” Washington, DC: U.S. Government Printing Office.</FP>
                    <FP SOURCE="FP-2">
                        18. Derby, BM and Fein, SB (1995). “Meeting the NLEA education challenge: A consumer research perspective.” In 
                        <E T="03">Nutrition Labeling Handbook,</E>
                         edited by R. Shapiro. New York: M. Dekker: 315-353.
                    </FP>
                    <FP SOURCE="FP-2">
                        19. FDA. 2007. “Public Hearing—Regulatory Hearing on Salt and Sodium—Transcript, November 29, 2007.” Available at 
                        <E T="03">http://www.regulations.gov/search/Regs/home.html#docketDetail?R=FDA-2007-0545</E>
                        . Accessed on November 19, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        20. Whelton PK., Adams-Campbell LL, Appel LJ, Cutler J, Donato K, Elmer PJ, 
                        <E T="03">et al.</E>
                         “National High Blood Pressure Education Program Working Group report on primary prevention of hypertension,” 
                        <E T="03">Archives of Internal Medicine.</E>
                         1993; 153(2): 186-208.
                    </FP>
                    <FP SOURCE="FP-2">
                        21. NHLBI (1996). “Implementing recommendations for dietary salt reduction: Where are we? Where are we going? How do we get there? Summary of an NHLBI workshop,” 
                        <E T="03">NIH Publication No. 55-728N.</E>
                         Bethesda, MD: National Institutes of Health.
                    </FP>
                    <FP SOURCE="FP-2">
                        22. NHLBI (1997). “The sixth report of the Joint National Committee on Prevention, Detection, Evaluation, and Treatment of High Blood Pressure,” 
                        <E T="03">NIH Publication No. 98-4080.</E>
                         Bethesda, MD: National Institutes of Health.
                    </FP>
                    <FP SOURCE="FP-2">
                        23. NHLBI (1999). “Statement from the National High Blood Pressure Education Program Coordinating Committee,” 
                        <E T="03">http://www.nhlbi.nih.gov/health/prof/heart/hbp/salt_upd.pdf</E>
                        . Accessed on April 12, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        24. NHLBI (2002). “Primary prevention of hypertension: Clinical and public health advisory from the National High Blood Pressure Education Program,” 
                        <E T="03">NIH Publication No. 02-5076.</E>
                         Bethesda, MD: National Heart, Lung, and Blood Institute.
                    </FP>
                    <FP SOURCE="FP-2">
                        25. NHLBI (2004). “The seventh report of the Joint National Committee on prevention, detection, evaluation, and the treatment of high blood pressure,” 
                        <E T="03">NIH Publication No. 04-5230.</E>
                         Bethesda, MD: National Heart, Lung, and Blood Institute.
                    </FP>
                    <FP SOURCE="FP-2">
                        26. NHLBI (2010). “National high blood pressure education program.” Available at 
                        <E T="03">http://www.nhlbi.nih.gov/hbp/prevent/sodium/sodium.htm.</E>
                         Accessed on August 30, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        27. CDC (2010), “CDC Awards $1.9 Million for State and Local Sodium Reduction Initiatives.” Available at 
                        <E T="03">http://www.cdc.gov/media/pressrel/2010/r101001.html.</E>
                         Accessed on August 30, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        28. New York City Department of Health and Mental Hygiene (2009). “NYC Starts a Nationwide Initiative to Cut the Salt in Restaurants and Processed Food.” Available at 
                        <E T="03">http://www.nyc.gov/html/doh/html/cardio/cardio-salt-initiative.shtml.</E>
                         Accessed on August 30, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        29. United Kingdom Food Standards Agency (2010). “World talks on salt reduction in food.” Available at 
                        <E T="03">http://www.food.gov.uk/news/newsarchive/2010/jun/saltmtg.</E>
                         Accessed on August 30, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        30. Health Canada (2010). “Sodium Reduction Strategy for Canada, Recommendations of the Sodium Working Group.” Available at 
                        <E T="03">http://www.hc-sc.gc.ca/fn-an/nutrition/sodium/strateg/index-eng.php.</E>
                         Accessed on August 30, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        31. Doyle, ME (2008). “Sodium reduction and its effects on food safety, food quality and human health.” 
                        <E T="03">FRI Briefings.</E>
                         Food Research Institute, University of Wisconsin.
                    </FP>
                    <FP SOURCE="FP-2">
                        32. Tarver T. “Desalting the Food Grid.” 
                        <E T="03">Food Technology.</E>
                         August 2010; 64(8): 44-50. Available at 
                        <E T="03">http://www.ift.org</E>
                        . Accessed on August 31, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        33. NCI (2010). “Sources of Sodium Among the U.S. Population (2005-2006).” Risk Factor Monitoring and Methods Branch Web site, Applied Research Program, National Cancer Institute. Available at 
                        <E T="03">http://riskfactor.cancer.gov/diet/foodsources/sodium/.</E>
                         Updated January 2010. Accessed on August 30, 2010.
                    </FP>
                    <FP SOURCE="FP-2">
                        34. Bertino M, Beauchamp GK, Engelman K. “Long-term reduction in dietary sodium alters the taste of salt,” 
                        <E T="03">American Journal of Clinical Nutrition.</E>
                         1982; 36: 1134-1144.
                    </FP>
                    <FP SOURCE="FP-2">
                        35. Blais CA, Pangborn RM, Borhani, NO, Ferrell MF, Prineas RJ, Laing B. “Effect of dietary sodium restriction on taste responses to sodium chloride: A longitudinal study,” 
                        <E T="03">American Journal of Clinical Nutrition.</E>
                         1986; 44: 232-243.
                    </FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <NAME>Leslie Kux,</NAME>
                    <TITLE>Acting Assistant Commissioner for Policy, Food and Drug Administration.</TITLE>
                    <DATED>Dated: September 12, 2011.</DATED>
                    <NAME>Alfred V. Almanza,</NAME>
                    <TITLE>Administrator, Food Safety and Inspection Service.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23753 Filed 9-13-11; 11:15 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Food and Drug Administration</SUBAGY>
                <DEPDOC>[Docket No. FDA-2010-D-0163]</DEPDOC>
                <SUBJECT>International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products; Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Metabolism Study To Determine the Quantity and Identify the Nature of Residues; Availability</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Food and Drug Administration, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Food and Drug Administration (FDA) is announcing the availability of a guidance for industry (#205) entitled “Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Metabolism Study To Determine the Quantity and Identify the Nature of Residues (MRK),” (VICH GL46). This guidance has been developed for veterinary use by the International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products (VICH). This VICH guidance document is intended to provide recommendations for internationally harmonized test procedures to study the quantity and nature of residues of veterinary drugs in food-producing animals.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Submit either electronic or written comments on Agency guidances at any time.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit written requests for single copies of the guidance to the Communications Staff (HFV-12), Center for Veterinary Medicine, Food and Drug Administration, 7519 Standish Pl., Rockville, MD 20855. Send one self-addressed adhesive label to assist that office in processing your request. See the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for electronic access to the guidance document.
                    </P>
                    <P>
                        Submit electronic comments on the guidance to 
                        <E T="03">http://www.regulations.gov.</E>
                         Submit written comments to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Julia Oriani, Center for Veterinary Medicine (HFV-151), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 240-276-8204, 
                        <E T="03">julia.oriani@fda.hhs.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <PRTPAGE P="57055"/>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. Background</HD>
                <P>FDA is announcing the availability of a guidance for industry (#205) entitled “Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Metabolism Study To Determine the Quantity and Identify the Nature of Residues (MRK)” (VICH GL46). In recent years, many important initiatives have been undertaken by regulatory authorities and industry associations to promote the international harmonization of regulatory requirements. FDA has participated in efforts to enhance harmonization and has expressed its commitment to seek scientifically based harmonized technical procedures for the development of pharmaceutical products. One of the goals of harmonization is to identify and then reduce differences in technical requirements for drug development among regulatory agencies in different countries.</P>
                <P>FDA has actively participated in the International Conference on Harmonisation of Technical Requirements for Approval of Pharmaceuticals for Human Use for several years to develop harmonized technical requirements for the approval of human pharmaceutical and biological products among the European Union, Japan, and the United States. The VICH is a parallel initiative for veterinary medicinal products. The VICH is concerned with developing harmonized technical requirements for the approval of veterinary medicinal products in the European Union, Japan, and the United States, and includes input from both regulatory and industry representatives.</P>
                <P>The VICH Steering Committee is composed of member representatives from the European Commission, European Medicines Evaluation Agency, European Federation of Animal Health, Committee on Veterinary Medicinal Products, the U.S. FDA, the U.S. Department of Agriculture, the Animal Health Institute, the Japanese Veterinary Pharmaceutical Association, the Japanese Association of Veterinary Biologics, and the Japanese Ministry of Agriculture, Forestry, and Fisheries.</P>
                <P>Four observers are eligible to participate in the VICH Steering Committee: One representative from the government of Australia/New Zealand, one representative from the industry in Australia/New Zealand, one representative from the government of Canada, and one representative from the industry of Canada. The VICH Secretariat, which coordinates the preparation of documentation, is provided by the International Federation for Animal Health (IFAH). An IFAH representative also participates in the VICH Steering Committee meetings.</P>
                <HD SOURCE="HD1">II. Guidance on Metabolism Study To Determine the Quantity and Identify the Nature of Residues</HD>
                <P>
                    In the 
                    <E T="04">Federal Register</E>
                     of April 12, 2010 (75 FR 18508), FDA published a notice of availability for a draft guidance entitled “Draft Guidance for Industry on Studies to Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Metabolism Study to Determine the Quantity and Identify the Nature of Residues (MRK) (VICH GL46)” which gave interested persons until May 12, 2010, to comment on the draft guidance. FDA received a few comments on the draft guidance and those comments as well as those received by other VICH member regulatory agencies were considered as the guidance was finalized. At a meeting held in February 2011, the VICH Steering Committee endorsed the final guidance for industry (VICH GL46). The guidance announced in this notice finalizes the draft guidance dated April 12, 2010.
                </P>
                <P>This VICH guidance document is one of a series developed to facilitate the mutual acceptance by national/regional regulators of residue chemistry data for veterinary drugs used in food-producing animals. This guidance was prepared after consideration of the current national/regional requirements and recommendations for evaluating veterinary drug residues in the European Union, Japan, the United States, Australia, New Zealand, and Canada.</P>
                <P>Although this guidance recommends a framework for metabolism testing, it is important that the design of the studies remains flexible. It is recommended that studies be tailored to sufficiently characterize the components of the residue of concern.</P>
                <P>
                    The human food safety evaluation of veterinary drug residues helps ensure that food derived from treated food-producing animals is safe for human consumption. As part of the data collection process, studies should be conducted to permit an assessment of the quantity and nature of residues in food derived from animals treated with a veterinary drug. These metabolism studies provide data on: (1) The depletion of residues of concern from edible tissues of treated animals at varying times after drug administration; (2) the individual components, or residues, that comprise the residue of concern in edible tissues; (3) the residue(s) that can serve as marker for analytical methods intended for compliance purposes (
                    <E T="03">i.e.,</E>
                     monitoring of appropriate drug use); and (4) the identification of a target tissue or tissues, as applicable to national or regional programs.
                </P>
                <HD SOURCE="HD1">III. Significance of Guidance</HD>
                <P>This guidance, developed under the VICH process, has been revised to conform to FDA's good guidance practices regulation (21 CFR 10.115). For example, the document has been designated “guidance” rather than “guideline.” In addition, guidance documents must not include mandatory language such as “shall,” “must,” “require,” or “requirement,” unless FDA is using these words to describe a statutory or regulatory requirement.</P>
                <P>This guidance represents the Agency's current thinking on this topic. It does not create or confer any rights for or on any person and does not operate to bind FDA or the public. An alternative approach may be used if such approach satisfies the requirements of the applicable statutes and regulations.</P>
                <HD SOURCE="HD1">IV. Paperwork Reduction Act of 1995</HD>
                <P>This guidance refers to previously approved collections of information found in FDA regulations. These collections of information are subject to review by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The collections of information in this guidance have been approved under OMB control number 0910-0032.</P>
                <HD SOURCE="HD1">V. Comments</HD>
                <P>
                    Interested persons may submit to the Division of Dockets Management (see 
                    <E T="02">ADDRESSES</E>
                    ) either electronic or written comments regarding this document. It is only necessary to send one set of comments. It is no longer necessary to send two copies of mailed comments. Identify comments with the docket number found in brackets in the heading of this document. Received comments may be seen in the Division of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
                </P>
                <HD SOURCE="HD1">VI. Electronic Access</HD>
                <P>
                    Persons with access to the Internet may obtain the guidance at either 
                    <E T="03">http://www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm</E>
                     or 
                    <E T="03">http://www.regulations.gov.</E>
                </P>
                <SIG>
                    <PRTPAGE P="57056"/>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Leslie Kux,</NAME>
                    <TITLE>Acting Assistant Commissioner for Policy.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23489 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Food and Drug Administration</SUBAGY>
                <DEPDOC>[Docket No. FDA-2010-D-0166]</DEPDOC>
                <SUBJECT>International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products; Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Marker Residue Depletion Studies To Establish Product Withdrawal Periods; Availability</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Food and Drug Administration, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Food and Drug Administration (FDA) is announcing the availability of a guidance for industry (#207) entitled “Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Marker Residue Depletion Studies To Establish Product Withdrawal Periods,” (VICH GL48). This guidance has been developed for veterinary use by the International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products (VICH). This VICH guidance document is intended to provide study design recommendations that will facilitate the universal acceptance of the generated residue depletion data to fulfill the national/regional requirements.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Submit either electronic or written comments on Agency guidances at any time.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit written requests for single copies of the guidance to the Communications Staff (HFV-12), Center for Veterinary Medicine, Food and Drug Administration, 7519 Standish Pl., Rockville, MD 20855. Send one self-addressed adhesive label to assist that office in processing your request. See the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for electronic access to the guidance document.
                    </P>
                    <P>
                        Submit electronic comments on the guidance to 
                        <E T="03">http://www.regulations.gov.</E>
                         Submit written comments to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Julia Oriani, Center for Veterinary Medicine (HFV-151), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 240-276-8204, 
                        <E T="03">julia.oriani@fda.hhs.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. Background</HD>
                <P>FDA is announcing the availability of a guidance for industry (#207) entitled “Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Marker Residue Depletion Studies To Establish Product Withdrawal Periods,” (VICH GL48). In recent years, many important initiatives have been undertaken by regulatory authorities and industry associations to promote the international harmonization of regulatory requirements. FDA has participated in efforts to enhance harmonization and has expressed its commitment to seek scientifically based harmonized technical procedures for the development of pharmaceutical products. One of the goals of harmonization is to identify and then reduce differences in technical requirements for drug development among regulatory agencies in different countries.</P>
                <P>FDA has actively participated in the International Conference on Harmonisation of Technical Requirements for Approval of Pharmaceuticals for Human Use for several years to develop harmonized technical requirements for the approval of human pharmaceutical and biological products among the European Union, Japan, and the United States. The VICH is a parallel initiative for veterinary medicinal products. The VICH is concerned with developing harmonized technical requirements for the approval of veterinary medicinal products in the European Union, Japan, and the United States, and includes input from both regulatory and industry representatives.</P>
                <P>The VICH Steering Committee is composed of member representatives from the European Commission, European Medicines Evaluation Agency, European Federation of Animal Health, Committee on Veterinary Medicinal Products, the U.S. FDA, the U.S. Department of Agriculture, the Animal Health Institute, the Japanese Veterinary Pharmaceutical Association, the Japanese Association of Veterinary Biologics, and the Japanese Ministry of Agriculture, Forestry, and Fisheries.</P>
                <P>Four observers are eligible to participate in the VICH Steering Committee: One representative from the government of Australia/New Zealand, one representative from the industry in Australia/New Zealand, one representative from the government of Canada, and one representative from the industry of Canada. The VICH Secretariat, which coordinates the preparation of documentation, is provided by the International Federation for Animal Health (IFAH). An IFAH representative also participates in the VICH Steering Committee meetings.</P>
                <HD SOURCE="HD1">II. Guidance on Marker Residue Depletion Studies To Establish Product Withdrawal Periods</HD>
                <P>
                    In the 
                    <E T="04">Federal Register</E>
                     of April 12, 2010 (75 FR 18504), FDA published a notice of availability for a draft guidance entitled “Draft Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Marker Residue Depletion Studies To Establish Product Withdrawal Periods,” (VICH GL48), which gave interested persons until May 12, 2010, to comment on the draft guidance. FDA received a few comments on the draft guidance and those comments, as well as those received by other VICH member regulatory agencies, were considered as the guidance was finalized. At a meeting held in February 2011, the VICH Steering Committee endorsed the final guidance for industry (VICH GL48). The guidance announced in this notice finalizes the draft guidance dated April 12, 2010.
                </P>
                <P>This VICH guidance document is one of a series developed to facilitate the mutual acceptance by national/regional regulators of residue chemistry data for veterinary drugs used in food-producing animals. This guidance was prepared after consideration of the current national/regional requirements and recommendations for evaluating veterinary drug residues in the European Union, Japan, the United States, Australia, New Zealand, and Canada.</P>
                <P>
                    As part of the approval process for veterinary medicinal products in food-producing animals, national/regional regulatory authorities require data from marker residue depletion studies in order to establish appropriate withdrawal periods in edible tissues, including meat, milk, and eggs. The objective of this guidance is to provide study design recommendations that will facilitate the universal acceptance of the generated residue depletion data to 
                    <PRTPAGE P="57057"/>
                    fulfill the national/regional requirements.
                </P>
                <HD SOURCE="HD1">III. Significance of Guidance</HD>
                <P>This guidance, developed under the VICH process, has been revised to conform to FDA's good guidance practices regulation (21 CFR 10.115). For example, the document has been designated “guidance” rather than “guideline.” In addition, guidance documents must not include mandatory language such as “shall,” “must,” “require,” or “requirement,” unless FDA is using these words to describe a statutory or regulatory requirement.</P>
                <P>This guidance represents the Agency's current thinking on this topic. It does not create or confer any rights for or on any person and does not operate to bind FDA or the public. An alternative approach may be used if such approach satisfies the requirements of applicable statutes and regulations.</P>
                <HD SOURCE="HD1">IV. Paperwork Reduction Act of 1995</HD>
                <P>This guidance refers to previously approved collections of information found in FDA regulations. These collections of information are subject to review by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The collections of information in this guidance have been approved under OMB control number 0910-0032.</P>
                <HD SOURCE="HD1">V. Comments</HD>
                <P>
                    Interested persons may submit to the Division of Dockets Management (see 
                    <E T="02">ADDRESSES</E>
                    ) either electronic or written comments regarding this document. It is only necessary to send one set of comments. It is no longer necessary to send two copies of mailed comments. Identify comments with the docket number found in brackets in the heading of this document. Received comments may be seen in the Division of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
                </P>
                <HD SOURCE="HD1">VI. Electronic Access</HD>
                <P>
                    Persons with access to the Internet may obtain the guidance at either 
                    <E T="03">http://www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm</E>
                     or 
                    <E T="03">http://www.regulations.gov.</E>
                </P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Leslie Kux,</NAME>
                    <TITLE>Acting Assistant Commissioner for Policy.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23491 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Food and Drug Administration</SUBAGY>
                <DEPDOC>[Docket No. FDA-2010-D-0164]</DEPDOC>
                <SUBJECT>International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products; Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Comparative Metabolism Studies in Laboratory Animals; Availability</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Food and Drug Administration, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Food and Drug Administration (FDA) is announcing the availability of a guidance for industry (#206) entitled “Guidance for Industry on Studies to Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Comparative Metabolism Studies in Laboratory Animals” (VICH GL47). This guidance has been developed for veterinary use by the International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products (VICH). This VICH guidance document is intended to provide recommendations for internationally harmonized procedures to identify the metabolites of veterinary drugs produced by laboratory animals used for toxicological testing for the purpose of comparison to the residues of veterinary drugs in edible tissues of food-producing animals.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Submit either electronic or written comments on Agency guidances at any time.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit written requests for single copies of the guidance to the Communications Staff (HFV-12), Center for Veterinary Medicine, Food and Drug Administration, 7519 Standish Pl., Rockville, MD 20855. Send one self-addressed adhesive label to assist that office in processing your request. See the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for electronic access to the guidance document.
                    </P>
                    <P>
                        Submit electronic comments on the guidance to 
                        <E T="03">http://www.regulations.gov.</E>
                         Submit written comments to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Julia Oriani, Center for Veterinary Medicine (HFV-151), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 240-276-8204, 
                        <E T="03">julia.oriani@fda.hhs.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">I. Background</HD>
                <P>FDA is announcing the availability of a guidance for industry (#206) entitled “Guidance for Industry on Studies to Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Comparative Metabolism Studies in Laboratory Animals” (VICH GL47). In recent years, many important initiatives have been undertaken by regulatory authorities and industry associations to promote the international harmonization of regulatory requirements. FDA has participated in efforts to enhance harmonization and has expressed its commitment to seek scientifically based harmonized technical procedures for the development of pharmaceutical products. One of the goals of harmonization is to identify and then reduce differences in technical requirements for drug development among regulatory agencies in different countries.</P>
                <P>FDA has actively participated in the International Conference on Harmonisation of Technical Requirements for Approval of Pharmaceuticals for Human Use for several years to develop harmonized technical requirements for the approval of human pharmaceutical and biological products among the European Union, Japan, and the United States. The VICH is a parallel initiative for veterinary medicinal products. The VICH is concerned with developing harmonized technical requirements for the approval of veterinary medicinal products in the European Union, Japan, and the United States, and includes input from both regulatory and industry representatives.</P>
                <P>The VICH Steering Committee is composed of member representatives from the European Commission, European Medicines Evaluation Agency, European Federation of Animal Health, Committee on Veterinary Medicinal Products, the U.S. FDA, the U.S. Department of Agriculture, the Animal Health Institute, the Japanese Veterinary Pharmaceutical Association, the Japanese Association of Veterinary Biologics, and the Japanese Ministry of Agriculture, Forestry, and Fisheries.</P>
                <P>
                    Four observers are eligible to participate in the VICH Steering Committee: One representative from the government of Australia/New Zealand, one representative from the industry in Australia/New Zealand, one representative from the government of 
                    <PRTPAGE P="57058"/>
                    Canada, and one representative from the industry of Canada. The VICH Secretariat, which coordinates the preparation of documentation, is provided by the International Federation for Animal Health (IFAH). An IFAH representative also participates in the VICH Steering Committee meetings.
                </P>
                <HD SOURCE="HD1"> II. Guidance on Comparative Metabolism Studies in Laboratory Animals</HD>
                <P>
                    In the 
                    <E T="04">Federal Register</E>
                     of April 12, 2010 (75 FR 18507), FDA published a notice of availability for a draft guidance entitled “Draft Guidance for Industry on Studies to Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Comparative Metabolism Studies in Laboratory Animals (VICH GL47),” which gave interested persons until May 12, 2010, to comment on the draft guidance. FDA received a few comments on the draft guidance and those comments as well as those received by other VICH member regulatory agencies were considered as the guidance was finalized. At a meeting held in February 2011, the VICH Steering Committee endorsed the final guidance for industry (VICH GL47). The guidance announced in this notice finalizes the draft guidance dated April 12, 2010.
                </P>
                <P>This VICH guidance document is one of a series developed to facilitate the mutual acceptance by national/regional regulators of residue chemistry data for veterinary drugs used in food-producing animals. This guidance was prepared after consideration of the current national/regional requirements and recommendations for evaluating veterinary drug residues in the European Union, Japan, the United States, Australia, New Zealand, and Canada.</P>
                <P>The objective of this guidance is to provide recommendations for internationally harmonized procedures to identify the metabolites of veterinary drugs produced by laboratory animals. The purpose of the comparative metabolism studies is to compare the metabolites of the animals used for toxicological testing to the residues of the veterinary drugs in edible tissues of food-producing animals in order to determine if the laboratory animals used for toxicological testing have been exposed to the metabolites that humans can be exposed to as residues in products of food-producing animal origin.</P>
                <P>The human food safety evaluation of veterinary drug residues helps ensure that food derived from treated food-producing animals is safe for human consumption. As part of the data collection process, studies should be conducted to characterize the metabolites to which laboratory animals are auto-exposed during the toxicological testing of the veterinary drug. The purpose of these studies is to determine whether the metabolites that people will consume from tissues of target food-producing animals are also produced by metabolism in the laboratory animals used for the safety testing.</P>
                <HD SOURCE="HD1">III. Significance of Guidance</HD>
                <P>This guidance, developed under the VICH process, has been revised to conform to FDA's good guidance practices regulation (21 CFR 10.115). For example, the document has been designated “guidance” rather than “guideline.” In addition, guidance documents must not include mandatory language such as “shall,” “must,” “require,” or “requirement,” unless FDA is using these words to describe a statutory or regulatory requirement.</P>
                <P>This guidance represents the Agency's current thinking on this topic. It does not create or confer any rights for or on any person and does not operate to bind FDA or the public. An alternative approach may be used if such approach satisfies the requirements of the applicable statutes and regulations.</P>
                <HD SOURCE="HD1">IV. Paperwork Reduction Act of 1995</HD>
                <P>This guidance refers to previously approved collections of information found in FDA regulations. These collections of information are subject to review by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The collections of information in this guidance have been approved under OMB control number 0910-0032.</P>
                <HD SOURCE="HD1">V. Comments</HD>
                <P>
                    Interested persons may submit to the Division of Dockets Management (see 
                    <E T="02">ADDRESSES</E>
                    ) either electronic or written comments regarding this document. It is only necessary to send one set of comments. It is no longer necessary to send two copies of mailed comments. Identify comments with the docket number found in brackets in the heading of this document. Received comments may be seen in the Division of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
                </P>
                <HD SOURCE="HD1">VI. Electronic Access</HD>
                <P>
                    Persons with access to the Internet may obtain the guidance at either 
                    <E T="03">http://www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm</E>
                     or 
                    <E T="03">http://www.regulations.gov.</E>
                </P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Leslie Kux,</NAME>
                    <TITLE>Acting Assistant Commissioner for Policy.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23490 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Food and Drug Administration</SUBAGY>
                <DEPDOC>[Docket No. FDA-2010-D-0165]</DEPDOC>
                <SUBJECT>International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products; Guidance for Industry on Studies To Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Validation of Analytical Methods Used in Residue Depletion Studies; Availability</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Food and Drug Administration, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Food and Drug Administration (FDA) is announcing the availability of a guidance for industry (#208) entitled “Guidance for Industry on Studies to Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Validation of Analytical Methods Used in Residue Depletion Studies,” (VICH GL49). This guidance has been developed for veterinary use by the International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products (VICH). This VICH guidance document is intended to provide a general description of the criteria that have been found by the European Union, Japan, the United States, Australia, New Zealand, and Canada to be suitable for the validation of analytical methods used in veterinary drug residue depletion studies.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Submit either electronic or written comments on Agency guidances at any time.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit written requests for single copies of the guidance to the Communications Staff (HFV-12), Center for Veterinary Medicine, Food and Drug Administration, 7519 Standish Pl., Rockville, MD 20855. Send one self-addressed adhesive label to assist that office in processing your request. See the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for electronic access to the guidance document.
                        <PRTPAGE P="57059"/>
                    </P>
                    <P>
                        Submit electronic comments on the guidance to 
                        <E T="03">http://www.regulations.gov</E>
                        . Submit written comments to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT: </HD>
                    <P>
                        Julia Oriani, Center for Veterinary Medicine (HFV-151), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 240-276-8204, 
                        <E T="03">julia.oriani@fda.hhs.gov</E>
                        .
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. Background</HD>
                <P>FDA is announcing the availability of a guidance for industry (#208) entitled “Guidance for Industry on Studies to Evaluate the Metabolism and Residue Kinetics of Veterinary Drugs in Food-Producing Animals: Validation of Analytical Methods Used in Residue Depletion Studies,” (VICH GL49). In recent years, many important initiatives have been undertaken by regulatory authorities and industry associations to promote the international harmonization of regulatory requirements. FDA has participated in efforts to enhance harmonization and has expressed its commitment to seek scientifically based harmonized technical procedures for the development of pharmaceutical products. One of the goals of harmonization is to identify and then reduce differences in technical requirements for drug development among regulatory agencies in different countries.</P>
                <P>FDA has actively participated in the International Conference on Harmonisation of Technical Requirements for Approval of Pharmaceuticals for Human Use for several years to develop harmonized technical requirements for the approval of human pharmaceutical and biological products among the European Union, Japan, and the United States. The VICH is a parallel initiative for veterinary medicinal products. The VICH is concerned with developing harmonized technical requirements for the approval of veterinary medicinal products in the European Union, Japan, and the United States, and includes input from both regulatory and industry representatives.</P>
                <P>The VICH Steering Committee is composed of member representatives from the European Commission, European Medicines Evaluation Agency, European Federation of Animal Health, Committee on Veterinary Medicinal Products, the U.S. FDA, the U.S. Department of Agriculture, the Animal Health Institute, the Japanese Veterinary Pharmaceutical Association, the Japanese Association of Veterinary Biologics, and the Japanese Ministry of Agriculture, Forestry, and Fisheries.</P>
                <P>Four observers are eligible to participate in the VICH Steering Committee: One representative from the government of Australia/New Zealand, one representative from the industry in Australia/New Zealand, one representative from the government of Canada, and one representative from the industry of Canada. The VICH Secretariat, which coordinates the preparation of documentation, is provided by the International Federation for Animal Health (IFAH). An IFAH representative also participates in the VICH Steering Committee meetings.</P>
                <HD SOURCE="HD1">II. Guidance on the Validation of Analytical Methods Used in Residue Depletion Studies</HD>
                <P>
                    In the 
                    <E T="04">Federal Register</E>
                     of April 12, 2010 (75 FR 18505), FDA published a notice of availability for a draft guidance entitled “Draft Guidance for Industry on Guidances for the Validation of Analytical Methods Used in Residue Depletion Studies,” (VICH GL49), which gave interested persons until May 12, 2010, to comment on the draft guidance. FDA received a few comments on the draft guidance and those comments, as well as those received by other VICH member regulatory agencies, were considered as the guidance was finalized. At a meeting held in February 2011, the VICH Steering Committee endorsed the final guidance for industry (VICH GL49). The guidance announced in this document finalizes the draft guidance dated April 12, 2010.
                </P>
                <P>This VICH guidance document is one of a series developed to facilitate the mutual acceptance by national/regional regulators of residue chemistry data for veterinary drugs used in food-producing animals. This guidance was prepared after consideration of the current national/regional requirements and recommendations for evaluating veterinary drug residues in the European Union, Japan, the United States, Australia, New Zealand, and Canada.</P>
                <P>
                    During the veterinary drug development process, residue depletion studies are conducted to determine the concentration of the residue or residues present in the edible products (tissues, milk, eggs, or honey) of animals treated with veterinary drugs. This information is used in regulatory submissions around the world. Submission of regulatory methods (
                    <E T="03">i.e.,</E>
                     post approval control methods) and the validation requirements of the regulatory methods are usually well defined by various regulatory agencies worldwide and might even be defined by national or regional law. However, the residue depletion studies are generally conducted before the regulatory methods have been completed. Oftentimes the in-house validated residue methods provide the framework for the methods submitted for regulatory monitoring. Harmonization of the validation requirements for methodology used during residue depletion studies and submitted to the regulatory agencies in support of the maximum residue limits and withdrawal periods should be achievable. It is the intent of this document to describe a validation procedure that is acceptable to the regulatory bodies of the European Union, Japan, the United States, Australia, New Zealand, and Canada for use in the residue depletion studies. This validated method could continue on to become the “regulatory method,” but that phase of the process will not be addressed in any detail in this guidance. For purposes of this guidance, the term “acceptable” refers to the scientific evaluation of the analytical method in terms of the described validation criteria, not to acceptance of the analytical method as satisfying the applicable national/regional laws and regulations of any of the relevant regulatory bodies.
                </P>
                <HD SOURCE="HD1">III. Significance of Guidance</HD>
                <P>This guidance, developed under the VICH process, has been revised to conform to FDA's good guidance practices regulation (21 CFR 10.115). For example, the document has been designated “guidance” rather than “guideline.” In addition, guidance documents must not include mandatory language such as “shall,” “must,” “require,” or “requirement,” unless FDA is using these words to describe a statutory or regulatory requirement.</P>
                <P>This guidance represents the Agency's current thinking on this topic. It does not create or confer any rights for or on any person and does not operate to bind FDA or the public. An alternative approach may be used if such approach satisfies the requirements of the applicable statutes and regulations.</P>
                <HD SOURCE="HD1">IV. Paperwork Reduction Act of 1995</HD>
                <P>
                    This guidance refers to previously approved collections of information found in FDA regulations. These collections of information are subject to review by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The collections of information in 
                    <PRTPAGE P="57060"/>
                    this guidance have been approved under OMB control number 0910-0032.
                </P>
                <HD SOURCE="HD1">V. Comments</HD>
                <P>
                    Interested persons may submit to the Division of Dockets Management (see 
                    <E T="02">ADDRESSES</E>
                    ) either electronic or written comments regarding this document. It is only necessary to send one set of comments. It is no longer necessary to send two copies of mailed comments. Identify comments with the docket number found in brackets in the heading of this document. Received comments may be seen in the Division of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
                </P>
                <HD SOURCE="HD1">VI. Electronic Access</HD>
                <P>
                    Persons with access to the Internet may obtain the guidance at either 
                    <E T="03">http://www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm or http://www.regulations.gov</E>
                    .
                </P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Leslie Kux,</NAME>
                    <TITLE>Acting Assistant Commissioner for Policy.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23492 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>Food and Drug Administration</SUBAGY>
                <DEPDOC>[Docket No. FDA-2011-D-0588]</DEPDOC>
                <SUBJECT>International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products; Draft Guidance for Industry on Pharmacovigilance of Veterinary Medicinal Products: Electronic Standards for Transfer of Data; Availability</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Food and Drug Administration, HHS.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Food and Drug Administration (FDA) is announcing the availability of a draft guidance for industry (#214) entitled “Draft Guidance for Industry, Pharmacovigilance of Veterinary Medicinal Products: Electronic Standards for Transfer of Data” (VICH GL35). This draft guidance has been developed for veterinary use by the International Cooperation on Harmonisation of Technical Requirements for Registration of Veterinary Medicinal Products (VICH). This draft VICH guidance document is intended to provide recommended standards to construct a single electronic message to transmit data elements for submission of adverse event reports (AERs) to all member regions.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Although you can comment on any guidance at any time (see 21 CFR 10.115(g)(5)), to ensure that the agency considers your comment on this draft guidance before it begins work on the final version of the guidance, submit written or electronic comments on the draft guidance by November 14, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit written requests for single copies of the draft guidance to the Communications Staff (HFV-12), Center for Veterinary Medicine, Food and Drug Administration, 7519 Standish Pl., Rockville, MD 20855. Send one self-addressed adhesive label to assist that office in processing your request. See the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for electronic access to the draft guidance document.
                    </P>
                    <P>
                        Submit electronic comments on the draft guidance to 
                        <E T="03">http://www.regulations.gov.</E>
                         Submit written comments on the draft guidance to the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Margarita Brown, Center for Veterinary Medicine (HFV-240), Food and Drug Administration, 7519 Standish Place, Rockville, MD 20855, 240-276-9048, e-mail: 
                        <E T="03">margarita.brown@fda.hhs.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">I. Background</HD>
                <P>FDA is announcing the availability of a draft guidance for industry (#214) entitled “Draft Guidance for Industry, Pharmacovigilance of Veterinary Medicinal Products: Electronic Standards for Transfer of Data (VICH GL35).” In recent years, many important initiatives have been undertaken by regulatory authorities and industry associations to promote the international harmonization of regulatory requirements. FDA has participated in efforts to enhance harmonization and has expressed its commitment to seek scientifically based harmonized technical procedures for the development of pharmaceutical products. One of the goals of harmonization is to identify and then reduce differences in technical requirements for drug development among regulatory agencies in different countries.</P>
                <P>FDA has actively participated in the International Conference on Harmonisation of Technical Requirements for Approval of Pharmaceuticals for Human Use for several years to develop harmonized technical requirements for the approval of human pharmaceutical and biological products among the European Union, Japan, and the United States. The VICH is a parallel initiative for veterinary medicinal products. The VICH is concerned with developing harmonized technical requirements for the approval of veterinary medicinal products in the European Union, Japan, and the United States, and includes input from both regulatory and industry representatives.</P>
                <P>The VICH Steering Committee is composed of member representatives from the European Commission, European Medicines Evaluation Agency, European Federation of Animal Health, Committee on Veterinary Medicinal Products, U.S. FDA, U.S. Department of Agriculture, the Animal Health Institute, the Japanese Veterinary Pharmaceutical Association, the Japanese Association of Veterinary Biologics, and the Japanese Ministry of Agriculture, Forestry, and Fisheries.</P>
                <P>Four observers are eligible to participate in the VICH Steering Committee: One representative from the government of Australia/New Zealand, one representative from the industry in Australia/New Zealand, one representative from the government of Canada, and one representative from the industry of Canada. The VICH Secretariat, which coordinates the preparation of documentation, is provided by the International Federation for Animal Health (IFAH). An IFAH representative also participates in the VICH Steering Committee meetings.</P>
                <HD SOURCE="HD1">II. Draft Guidance on Electronic Standards for Transfer of Data</HD>
                <P>The VICH Steering Committee held a meeting in June 2010, and agreed that the draft guidance document entitled “Draft Guidance for Industry on Pharmacovigilance of Veterinary Medicinal Products: Electronic Standards for Transfer of Data” (VICH GL35) should be made available for public comment. This draft VICH guidance document is intended to provide recommended standards to construct a single electronic message to transmit data elements for submission of AERs to all member regions.</P>
                <P>
                    The need to transfer and disseminate information quickly, accurately and easily between Regulatory Authorities (RA) and Marketing Authorization Holders (MAH) on a worldwide scope is especially pertinent to the notification and assimilation of information for pharmacovigilance. Whereas the recommended definition of the pharmacovigilance information has 
                    <PRTPAGE P="57061"/>
                    been set forth within the draft guidances entitled, “Pharmacovigilance of Veterinary Medicinal Products: Management of Adverse Event Reports (AER's)” (VICH GL24), “Pharmacovigilance of Veterinary Medicinal Products: Controlled Lists of Terms” (VICH GL30) and “Pharmacovigilance of Veterinary Medicinal Products: Data Elements for Submission of Adverse Event Reports” (VICH GL42), this draft guidance defines recommended electronic standards for transfer of data.
                </P>
                <P>In order to allow for electronic exchange of this information between stakeholders, further specification of the field descriptors and their relationships, including agreement on format of the electronic message is essential.</P>
                <P>FDA and the VICH Expert Working Group will consider comments about the draft guidance document.</P>
                <HD SOURCE="HD1">III. Paperwork Reduction Act of 1995</HD>
                <P>This draft guidance refers to previously approved collections of information found in FDA regulations. These collections of information are subject to review by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The collections of information in this guidance have been approved under OMB Control No. 0910-0284.</P>
                <HD SOURCE="HD1">IV. Significance of Guidance</HD>
                <P>This draft guidance, developed under the VICH process, has been revised to conform to FDA's good guidance practices regulation (21 CFR 10.115). For example, the document has been designated “guidance” rather than “guideline.” In addition, guidance documents must not include mandatory language such as “shall,” “must,” “require,” or “requirement,” unless FDA is using these words to describe a statutory or regulatory requirement.</P>
                <P>The draft guidance, when finalized, will represent the agency's current thinking on this topic. It does not create or confer any rights for or on any person and does not operate to bind FDA or the public. An alternative approach may be used if such approach satisfies the requirements of applicable statutes and regulations.</P>
                <HD SOURCE="HD1">V. Comments</HD>
                <P>
                    Interested persons may submit to the Division of Dockets Management (see 
                    <E T="02">ADDRESSES</E>
                    ) written or electronic comments regarding this document. It is only necessary to send one set of comments. It is no longer necessary to send two copies of mailed comments. Identify comments with the docket number found in brackets in the heading of this document. Received comments may be seen in the Division of Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
                </P>
                <HD SOURCE="HD1">VI. Electronic Access</HD>
                <P>
                    Persons with access to the Internet may obtain the draft guidance at either 
                    <E T="03">http://www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/GuidanceforIndustry/default.htm</E>
                     or 
                    <E T="03">http://www.regulations.gov.</E>
                </P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Leslie Kux,</NAME>
                    <TITLE>Acting Assistant Commissioner for Policy.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23605 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4160-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Institute of Dental &amp; Craniofacial Research; Notice of Closed Meeting</SUBJECT>
                <P>
                    Pursuant to section 10(d) of the 
                    <E T="03">Federal Advisory Committee Act,</E>
                     as amended (5 U.S.C. App.), notice is hereby given of the following meeting.
                </P>
                <P>The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute of Dental and Craniofacial Research Special Emphasis Panel, Review Conference Grant Application (R13).
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 12, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         11 a.m. to 12 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications,
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, One Democracy Plaza, 6701 Democracy Boulevard, Bethesda, MD 20892 (Telephone Conference Call).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Mary Kelly, Scientific Review Officer, Scientific Review Branch, National Inst of Dental &amp; Craniofacial Research, NIH 6701 Democracy Blvd, room 672, MSC 4878, Bethesda, MD 20892-4878, 301-594-4809, 
                        <E T="03">mary_kelly@nih.gov</E>
                        .
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.121, Oral Diseases and Disorders Research, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23650 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Heart, Lung, and Blood Institute; Notice of Meeting</SUBJECT>
                <P>Pursuant to section 10(a) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of a meeting of the Sickle Cell Disease Advisory Committee.</P>
                <P>The meeting will be open to the public, with attendance limited to space available. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should notify the Contact Person listed below in advance of the meeting.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Sickle Cell Disease Advisory Committee.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 3, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8:30 a.m. to 4 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Discussion of Programs and Issues.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 6701 Rockledge Drive, Conference Rooms 9100/9104, Bethesda, MD 20892.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         W. Keith Hoots, MD, Director, Division of Blood Diseases and Resources, National Heart, Lung, and Blood Institute, 6701 Rockledge Drive, Suite 9030, Bethesda, MD 20892, 301-435-0080, 
                        <E T="03">hootswk@nhlbi.nih.gov.</E>
                    </P>
                    <P>
                        Information is also available on the Institute's/Center's home page: 
                        <E T="03">http://www.nhlbi.nih.gov/meetings/index.htm,</E>
                         where an agenda and any additional information for the meeting will be posted when available.
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.233, National Center for Sleep Disorders Research; 93.837, Heart and Vascular Diseases Research; 93.838, Lung Diseases Research; 93.839, Blood Diseases and Resources Research, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23654 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <PRTPAGE P="57062"/>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Institute of Neurological Disorders and Stroke; Notice of Closed Meetings</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.</P>
                <P>The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable materials, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute of Neurological Disorders and Stroke Initial Review Group, NST-1 Subcommittee.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 3-4, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 am. to 6 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         The Fairmont Washington, DC, 2401 M Street, NW., Washington, DC 20037.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Raul A. Saavedra, PhD, Scientific Review Officer, Scientific Review Branch, Division of Extramural Research, NINDS/NIH/DHHS/Neuroscience Center, 6001 Executive Blvd., Suite 3208, MSC 9529, Bethesda, MD 20892-9529, 301-496-9223, 
                        <E T="03">saavedrr@ninds.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute of Neurological Disorders and Stroke Initial Review Group, NST-2 Subcommittee.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 31-November 1, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         The Fairmont Washington, DC, 2401 M Street, NW., Washington, DC 20037.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         JoAnn McConnell, PhD, Scientific Review Officer, Scientific Review Branch, Division of Extramural Research, NINDS/NIH/DHHS/Neuroscience Center, 6001 Executive Blvd., Suite 3208, MSC 9529, Bethesda, MD 20892-9529, 301-496-5324. 
                        <E T="03">mcconnej@ninds.nih.gov.</E>
                    </P>
                    <FP> (Catalogue of Federal Domestic Assistance Program Nos. 93.853, Clinical Research Related to Neurological Disorders; 93.854, Biological Basis Research in the Neurosciences, National Institutes of Health, HHS) </FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23658 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Heart, Lung, and Blood Institute; Notice of Closed Meetings</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.</P>
                <P>The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Heart, Lung, and Blood Institute Special Emphasis Panel, Translational Research Centers in Thrombotic and Hemostatic Disorders.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 3-4, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Doubletree Hotel Bethesda (Formerly Holiday Inn Select), 8120 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Michael P Reilly, PhD, Scientific Review Officer, Office of Scientific Review/DERA, National Heart, Lung, and Blood Institute, 6701 Rockledge Drive, Room 7200, Bethesda, MD 20892, 301-435-0297. 
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Heart, Lung, and Blood Institute Special Emphasis Panel, Core Review for the Cardiovascular Health Study.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 3, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         3 to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate contract proposals.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 5635 Fishers Lane, Bethesda, MD 20892 (Telephone Conference Call).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Chang Sook Kim, PhD, Scientific Review Officer, Office of Scientific Review/DERA, National Heart, Lung, and Blood Institute, 6701 Rockledge Drive, Room 7179, Bethesda, MD 20892-7924, 301-435-0287, 
                        <E T="03">carolko@mail.nih.gov</E>
                        .
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Heart, Lung, and Blood Institute Special Emphasis Panel, Mentored Career Transition Scientist Award.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 6-7, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 1 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         The William F. Bolger Center, 9600 Newbridge Drive, Potomac, MD 20854.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Giuseppe Pintucci, PhD, Scientific Review Officer, Review Branch/DERA, National Heart, Lung, and Blood Institute, 6701 Rockledge Drive, Room 7192, Bethesda, MD 20892, 301-435-0287, 
                        <E T="03">Pintuccig@nhlbi.nih.gov</E>
                        .
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Heart, Lung, and Blood Institute Special Emphasis Panel, K01, K02, K08 Career Development Award.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 6-7, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8:30 a.m. to 1 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Crystal Gateway Marriott, 1700 Jefferson Davis Highway, Arlington, VA 22202.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Keith A. Mintzer, PhD, Scientific Review Officer, Review Branch/DERA, National Heart, Lung, and Blood Institute, 6701 Rockledge Drive, Room 7186, Bethesda, MD 20892-7924, 301-435-0280, 
                        <E T="03">mintzerk@nhlbi.nih.gov</E>
                        .
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.233, National Center for Sleep Disorders Research; 93.837, Heart and Vascular Diseases Research; 93.838, Lung Diseases Research; 93.839, Blood Diseases and Resources Research, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23663 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Institute on Aging; Notice of Meeting</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of a meeting of the Board of Scientific Counselors, NIA.</P>
                <P>The meeting will be open to the public as indicated below, with attendance limited to space available. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should notify the Contact Person listed below in advance of the meeting.</P>
                <P>The meeting will be closed to the public as indicated below in accordance with the provisions set forth in section 552b(c)(6), Title 5 U.S.C., as amended for the review, discussion, and evaluation of individual intramural programs and projects conducted by the National Institute on Aging, including consideration of personnel qualifications and performance, and the competence of individual investigators, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Board of Scientific Counselors, NIA,
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 25, 2011.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         8 a.m. to 8:30 a.m.
                        <PRTPAGE P="57063"/>
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate personal qualifications and performance, and competence of individual investigators.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Biomedical Research Center, 251 Bayview Boulevard, 3rd Floor Conference Room, Baltimore, MD 21224.
                    </P>
                    <P>
                        <E T="03">Open:</E>
                         8:30 a.m. to 11:45 a.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Committee discussion, individual presentations, laboratory overview.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Biomedical Research Center, 251 Bayview Boulevard, 3rd Floor Conference Room, Baltimore, MD 21224.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         11:45 a.m. to 1 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate personal qualifications and performance, and competence of individual investigators.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Biomedical Research Center, 251 Bayview Boulevard, 3rd Floor Conference Room, Baltimore, MD 21224.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         1 p.m. to 3:30 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Committee discussion, individual presentations, laboratory overview.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Biomedical Research Center, 251 Bayview Boulevard, 3rd Floor Conference Room, Baltimore, MD 21224.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         3:30 p.m. to 4:15 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate personal qualifications and performance, and competence of individual investigators.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Biomedical Research Center, 251 Bayview Boulevard, 3rd Floor Conference Room, Baltimore, MD 21224.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         4:15 p.m. to 5:05 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Committee discussion, individual presentations, laboratory overview.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Biomedical Research Center, 251 Bayview Boulevard, 3rd Floor Conference Room, Baltimore, MD 21224.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         5:05 p.m. to 6 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate personal qualifications and performance, and competence of individual investigators.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Biomedical Research Center, 251 Bayview Boulevard, 3rd Floor Conference Room, Baltimore, MD 21224.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Luigi Ferrucci, PhD, MD, Scientific Director, National Institute on Aging, 251 Bayview Boulevard, suite 100, Room 4C225, 410-558-8110, 
                        <E T="03">LF27Z@nih.gov.</E>
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.866, Aging Research, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23671 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Cancer Institute; Notice of Closed Meeting</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meeting.</P>
                <P>The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Cancer Institute Initial Review Group, Subcommittee F—Manpower &amp; Training, NCI F Manpower &amp; Training Grants.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 12-13, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency Crystal City, 2799 Jefferson Davis Highway, Arlington, VA 22202.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Lynn M. Amende, PhD, Scientific Review Officer, Resources and Training Review Branch, Division of Extramural Activities, National Cancer Institute, NIH, 6116 Executive Blvd., Room 8105, Bethesda, MD 20892, 301-451-4759, 
                        <E T="03">amendel@mail.nih.gov.</E>
                    </P>
                    <P>
                        Information is also available on the Institute's/Center's home page: 
                        <E T="03">http://deainfo.nci.nih.gov/advisory/irg/irg.htm,</E>
                         where an agenda and any additional information for the meeting will be posted when available.
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.392, Cancer Construction; 93.393, Cancer Cause and Prevention Research; 93.394, Cancer Detection and Diagnosis Research; 93.395, Cancer Treatment Research; 93.396, Cancer Biology Research; 93.397, Cancer Centers Support; 93.398, Cancer Research Manpower; 93.399, Cancer Control, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23679 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>Center for Scientific Review; Notice of Closed Meetings </SUBJECT>
                <P>
                    Pursuant to section 10(d) of the 
                    <E T="03">Federal Advisory Committee Act,</E>
                     as amended (5 U.S.C. App.), notice is hereby given of the following meetings.
                </P>
                <P>The meetings will be closed to the public in accordance  with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The  grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                      
                    <P>
                        <E T="03">Name of Committee:</E>
                         Musculoskeletal, Oral And Skin Sciences Integrated Review Group; Skeletal Muscle and Exercise Physiology Study Section
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 3-4, 2011. 
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m. 
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications. 
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Latham Hotel, 3000 M Street, NW., Washington, DC 20007 
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Richard Ingraham, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4116, MSC 7814, Bethesda, MD 20892, 301-496-8551, 
                        <E T="03">ingrahamrh@mail.nih.gov.</E>
                          
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel; Small Business: Urology, 
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 3, 2011. 
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         4 p.m. to 6 p.m. 
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications. 
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Crowne Plaza Washington National Airport,  1489 Jefferson Davis Highway, Arlington, VA 22202.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Ryan G Morris, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4205, MSC 7814, Bethesda, MD 20892, 301-435- 1501, 
                        <E T="03">morrisr@csr.nih.gov.</E>
                          
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel Member Conflict; Bioengineering and Imaging. 
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 7, 2011. 
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         11:30 a.m. to 2:30 p.m. 
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications. 
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892 (Telephone Conference Call). 
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Maria DeBernardi, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6158, MSC 7892, Bethesda, MD 20892, 301-435-1355, 
                        <E T="03">debernardima@csr.nih.gov.</E>
                          
                    </P>
                    <PRTPAGE P="57064"/>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Infectious Diseases and Microbiology Integrated Review Group; Vector Biology Study Section, 
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 13, 2011. 
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8:30 a.m. to 6 p.m. 
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications 
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Bethesda North Marriott Hotel &amp; Conference Center, 5701 Marinelli Road, Bethesda, MD 20852. 
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Liangbiao Zheng, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3214, MSC 7808, Bethesda, MD 20892, 301-402-5671, 
                        <E T="03">zhengli@csr.nih.gov.</E>
                          
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, 93.337, 93.393 -93.396, 93.837-93.844, 93.846-93.878, 93.892, 93.893, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011. </DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23678 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Institute on Aging; Notice of Closed Meetings</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.</P>
                <P>The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute on Aging Special Emphasis Panel, AD Genetics Warehouse.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 7, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 8:30 a.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Doubletree by Hilton Hotel Bethesda, 8120 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         William Cruce, PhD, Scientific Review Officer, National Institute on Aging, Scientific Review Branch, Gateway Building 2C-212, 7201 Wisconsin Ave., Bethesda, MD 20814, 301-402-7704, 
                        <E T="03">crucew@nia.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute on Aging Special Emphasis Panel, NIA Institutional Research Training Grants (T32/T35).
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 27-28, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 12 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Embassy Suites at the Chevy Chase Pavilion, 4300 Military Rd., NW., Washington, DC 20015.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Alfonso R. Latoni, PhD, Deputy Chief and Scientific Review Officer, Scientific Review Branch, National Institute on Aging, 7201 Wisconsin Avenue, Suite 2C218, Bethesda, MD 20892, 301-402-7702, 
                        <E T="03">Alfonso.Latoni@nih.gov.</E>
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.866, Aging Research, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011. </DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23677 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Institute on Aging; Notice of Closed Meetings</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.</P>
                <P>The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute on Aging Initial Review Group, Clinical Aging Review Committee.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 6, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         10 a.m. to 1 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Gateway Building, 7201 Wisconsin Avenue, Suite 2C212, Bethesda, MD 20892.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Alicja L. Markowska, PhD, DSC, National Institute on Aging, National Institutes of Health, Gateway Building 2C212, 7201 Wisconsin Avenue, Bethesda, MD 20892, 301-496-9666, 
                        <E T="03">markowsa@nia.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute on Aging Initial Review Group, Biological Aging Review Committee.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 6, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         2:30 p.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Gateway Building, 7201 Wisconsin Avenue, Suite 2C212, Bethesda, MD 20892 (Telephone Conference Call).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Bita Nakhai, PhD, Scientific Review Officer, Scientific Review Branch, National Institute on Aging, Gateway Bldg., 2C212, 7201 Wisconsin Avenue, Bethesda, MD 20814, 301-402-7701, 
                        <E T="03">nakhaib@nia.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute on Aging Initial Review Group, Neuroscience of Aging Review Committee. 
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 6-7, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         4 p.m. to 2 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         DoubleTree by Hilton Hotel Bethesda, 8120 Wisconsin Avenue, Bethesda, MD 20892. 
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         William Cruce, PhD, Scientific Review Administrator, National Institute on Aging, Scientific Review Office, Gateway Building 2C-212, 7201 Wisconsin Ave., Bethesda, MD 20814, 301-402-7704, 
                        <E T="03">crucew@nia.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute on Aging Initial Review Group, Behavior and Social Science of Aging Review Committee.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 6, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         12 p.m. to 4 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institute on Aging, Gateway Building, 7201 Wisconsin Avenue, Suite 2C212, Bethesda, MD 20892 (Telephone Conference Call).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Jeannette L. Johnson, PhD, Scientific Review Officer, National Institutes on Aging, National Institutes of Health, 7201 Wisconsin Avenue, Suite 2C-212, Bethesda, MD 20892, 301-402-7705, 
                        <E T="03">johnsonj9@nia.nih.gov.</E>
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.866, Aging Research, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23672 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>Center for Scientific Review; Notice of Closed Meetings</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.</P>
                <P>
                    The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and 
                    <PRTPAGE P="57065"/>
                    the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
                </P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Molecular, Cellular and Developmental Neuroscience Integrated Review Group, Biophysics of Neural Systems Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 13, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 7:30 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency, 300 Light Street, Baltimore, MD 21202.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Geoffrey G. Schofield, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4040-A, MSC 7850, Bethesda, MD 20892, 301-435-1235, 
                        <E T="03">geoffreys@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Biobehavioral and Behavioral Processes Integrated Review Group, Biobehavioral Mechanisms of Emotion, Stress and Health Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 13, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 6 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Latham Hotel, 3000 M Street, NW., Washington, DC 20007. 
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Maribeth Champoux, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3170, MSC 7848, Bethesda, MD 20892, (301) 594-3163, 
                        <E T="03">champoum@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Biobehavioral and Behavioral Processes Integrated Review Group, Cognition and Perception Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 13-14, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hotel Monaco, 700 F Street, NW., Washington, DC 20001.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Dana Jeffrey Plude, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3176, MSC 7848, Bethesda, MD 20892, (301) 435-2309, 
                        <E T="03">pluded@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Biobehavioral and Behavioral Processes Integrated Review Group, Language and Communication Study Section. 
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 14, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 6 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Melrose Hotel, 2430 Pennsylvania Avenue, NW., Washington, DC 20037.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Weijia Ni, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3184, MSC 7848, Bethesda, MD 20892, (301) 237-9918, 
                        <E T="03">niw@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, Multidisciplinary Healthcare Delivery Research AREA Grant Applications.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 17, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5:30 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Priscah Mujuru, RN, MPH, DRPH, Scientific Review Officer, HDM IRG, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3139, MSC 7770, Bethesda, MD 20892, 301-594-6594, 
                        <E T="03">mujurup@mail.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, RFA Panel: Drug Discovery for the Nervous System.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 17-18, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 10 a.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hotel Monaco Alexandria, 480 King Street, Alexandria, VA 22314.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Mary Custer, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4148, MSC 7850, Bethesda, MD 20892, (301) 435-1164, 
                        <E T="03">custerm@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, Computational Modeling and Sciences for Biomedical and Clinical Applications.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 17, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Guo Feng Xu, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5122, MSC 7854, Bethesda, MD 20892, 301-237-9870, 
                        <E T="03">xuguofen@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Brain Disorders and Clinical Neuroscience Integrated Review Group, Acute Neural Injury and Epilepsy Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 18, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         7 a.m. to 8 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         W Chicago-Lakeshore, 844 North Lake Shore Drive, Chicago, IL 60611.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Seetha Bhagavan, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5194, MSC 7846, Bethesda, MD 20892, (301) 237-9838, 
                        <E T="03">bhagavas@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Healthcare Delivery and Methodologies Integrated Review Group, Nursing and Related Clinical Sciences Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 18, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5:30 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Priscah Mujuru, RN, DRPH, COHNS, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3139, MSC 7770, Bethesda, MD 20892, 301-594-6594, 
                        <E T="03">mujurup@mail.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, PAR10-142: Interface of the Life and Physical Sciences.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 18, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hilton Alexandria Old Town Hotel, 1767 King Street, Alexandria, VA 22314.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Joseph D. Mosca, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5158, MSC 7808, Bethesda, MD 20892, (301) 435-2344, 
                        <E T="03">moscajos@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Infectious Diseases and Microbiology Integrated Review Group, Bacterial Pathogenesis Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 18, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Serrano Hotel, 405 Taylor Street, San Francisco, CA 94102.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Richard G. Kostriken, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3192, MSC 7808, Bethesda, MD 20892, 301-402-4454, 
                        <E T="03">kostrikr@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, RFA Panel: Molecular Probes.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 18, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         11 a.m. to 1 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hotel Monaco Alexandria, 480 King Street, Alexandria, VA 22314.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Mary Custer, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4148, MSC 7850, Bethesda, MD 20892, (301) 435-1164, 
                        <E T="03">custerm@csr.nih.gov.</E>
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, 93.337, 93.393-93.396, 93.837-93.844, 93.846-93.878, 93.892, 93.893, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23669 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Institute of Environmental Health Sciences; Notice of Meeting</SUBJECT>
                <P>
                    Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is 
                    <PRTPAGE P="57066"/>
                    hereby given of a meeting of the Board of Scientific Counselors, NIEHS.
                </P>
                <P>The meeting will be open to the public as indicated below, with attendance limited to space available. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should notify the Contact Person listed below in advance of the meeting.</P>
                <P>The meeting will be closed to the public as indicated below in accordance with the provisions set forth in section 552b(c)(6), Title 5 U.S.C., as amended for the review, discussion, and evaluation of individual intramural programs and projects conducted by the National Institute of Environmental Health Sciences, including consideration of personnel qualifications and performance, and the competence of individual investigators, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Board of Scientific Counselors, NIEHS.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 16-18, 2011.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         October 16, 2011, 7 p.m. to 10 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate programmatic and personnel issues.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Doubletree Guest Suites, 2515 Meridian Parkway, Research Triangle Park, NC 27713.
                    </P>
                    <P>
                        <E T="03">Open:</E>
                         October 17, 2011, 8:30 a.m. to 11:50 a.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         An overview of the organization and research in the Laboratory of Respiratory Biology.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Nat. Inst. of Environmental Health Sciences, Building 101, Rodbell Auditorium, 111 T. W. Alexander Drive, Research Triangle Park, NC 27709.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         October 17, 2011, 11:50 a.m. to 12:35 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate programmatic and personnel issues.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Nat. Inst. of Environmental Health Sciences, Building 101, Rodbell Auditorium, 111 T. W. Alexander Drive, Research Triangle Park, NC 27709.
                    </P>
                    <P>
                        <E T="03">Open:</E>
                         October 17, 2011, 1:30 p.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Scientific Presentations and Poster Session.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Nat. Inst. of Environmental Health Sciences, Building 101, Rodbell Auditorium, 111 T. W. Alexander Drive, Research Triangle Park, NC 27709.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         October 17, 2011, 5 p.m. to 6 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate programmatic and personnel issues.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Nat. Inst. of Environmental Health Sciences, Building 101, Rodbell Auditorium, 111 T. W. Alexander Drive, Research Triangle Park, NC 27709.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         October 17, 2011, 8 p.m. to 10 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate programmatic and personnel issues.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Doubletree Guest Suites, 2515 Meridian Parkway, Research Triangle Park, NC 27713. 
                    </P>
                    <P>
                        <E T="03">Open:</E>
                         October 18, 2011, 8 a.m. to 9:40 a.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         Scientific Presentations.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Nat. Inst. of Environmental Health Sciences, Building 101, Rodbell Auditorium, 111 T. W. Alexander Drive, Research Triangle Park, NC 27709.
                    </P>
                    <P>
                        <E T="03">Closed:</E>
                         October 18, 2011, 10 a.m. to 12 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate programmatic and personnel issues.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Nat. Inst. of Environmental Health Sciences, Building 101, Rodbell Auditorium, 111 T. W. Alexander Drive, Research Triangle Park, NC 27709.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         David S. Miller, PhD, Acting Scientific Director &amp; Senior Investigator, Laboratory of Pharmacology, NIEHS, National Institutes of 111 Alexander Drive, Maildrop 7-01, Research Triangle Park, NC 27709, 919-541-3235, 
                        <E T="03">miller@niehs.nih.gov.</E>
                    </P>
                    <P>Any interested person may file written comments with the committee by forwarding the statement to the Contact Person listed on this notice. The statement should include the name, address, telephone number and when applicable, the business or professional affiliation of the interested person.</P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.115, Biometry and Risk Estimation—Health Risks from Environmental Exposures; 93.142, NIEHS Hazardous Waste Worker Health and Safety Training; 93.143, NIEHS Superfund Hazardous Substances—Basic Research and Education; 93.894, Resources and Manpower Development in the Environmental Health Sciences; 93.113, Biological Response to Environmental Health Hazards; 93.114, Applied Toxicological Research and Testing, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23655 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>Center for Scientific Review; Notice of Closed Meetings</SUBJECT>
                <P>
                    Pursuant to section 10(d) of the 
                    <E T="03">Federal Advisory Committee Act,</E>
                     as amended (5 U.S.C. App.), notice is hereby given of the following meetings.
                </P>
                <P>The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Molecular, Cellular and Developmental Neuroscience Integrated Review, Group, Cellular and Molecular Biology of Glia Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 14, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 7:30 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hotel Palomar, 2121 P Street, NW., Washington, DC 20037.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Toby Behar, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4136, MSC 7850, Bethesda, MD 20892, (301) 435-4433, 
                        <E T="03">behart@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, PAR Panel: Screenable Disorders in Newborns.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 18, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         1 p.m. to 4 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Ronald Adkins, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 2206, MSC 7890, Bethesda, MD 20892, 301-495-4511, 
                        <E T="03">ronald.adkins@nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, Special Topics: Topics in Bacterial Pathogenesis.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 20-21, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         DoubleTree Suites by Hilton Hotel Doheny Beach, 34402 Pacific Coast Highway, Dana Point, CA 92629.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Rolf Menzel, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3196, MSC 7808, Bethesda, MD 20892, 301-435-0952, 
                        <E T="03">menzelro@csr.nih.gov.</E>
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, 93.337, 93.393-93.396, 93.837-93.844, 93.846-93.878, 93.892, 93.893, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23649 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Heart, Lung, and Blood Institute; Notice of Closed Meeting</SUBJECT>
                <P>
                    Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of a meeting of the Board of Scientific Counselors, NHLBI.
                    <PRTPAGE P="57067"/>
                </P>
                <P>The meeting will be closed to the public as indicated below in accordance with the provisions set forth in section 552b(c)(6), Title 5 U.S.C., as amended for the review, discussion, and evaluation of individual intramural programs and projects conducted by the National Heart, Lung, and Blood Institute, including consideration of personnel qualifications and performance, and the competence of individual investigators, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Board of Scientific Counselors, NHLBI.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 17, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8:30 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate personal qualifications and performance, and competence of individual investigators.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Bethesda North Marriott Hotel &amp; Conference Center, 5701 Marinelli Road, Bethesda, MD 20852. 
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Robert S. Balaban, PhD, Scientific Director, Division of Intramural Research, National Institutes of Health, NHLBI, Building 10, CRC, 4th Floor, Room 1581, 10 Center Drive, Bethesda, MD 20892, 301-496-2116.
                    </P>
                    <P>
                        Information is also available on the Institute's/Center's home page: 
                        <E T="03">http://www.nhlbi.nih.gov/meetings/index.htm,</E>
                         where an agenda and any additional information for the meeting will be posted when available.
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.233, National Center for Sleep Disorders Research; 93.837, Heart and Vascular Diseases Research; 93.838, Lung Diseases Research; 93.839, Blood Diseases and Resources Research, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23648 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>Center for Scientific Review; Notice of Closed Meetings</SUBJECT>
                <P>Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is hereby given of the following meetings.</P>
                <P>The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, Biomedical Imaging.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 7, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         11 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892 (Virtual Meeting).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Malgorzata Klosek, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4188, MSC 7849, Bethesda, MD 20892, (301) 435-2211. 
                        <E T="03">klosekm@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, PAR10-169: Academic Industrial Partnerships.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 12, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         12 p.m. to 4 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892 (Virtual Meeting).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Antonio Sastre, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5215, MSC 7412, Bethesda, MD 20892, 301-435-2592. 
                        <E T="03">sastrea@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Population Sciences and Epidemiology Integrated Review Group, Epidemiology of Cancer Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 19-20, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8:30 a.m. to 3 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Avenue Hotel Chicago, 160 E. Huron Street, Chicago, IL 60611.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Denise Wiesch, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3150, MSC 7770, Bethesda, MD 20892, (301) 435-0684. 
                        <E T="03">wieschd@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, Neurobiology of Psychopathology and Addictions.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 19, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         10 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892 (Virtual Meeting).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Boris P. Sokolov, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5217A, MSC 7846, Bethesda, MD 20892, 301-408-9115. 
                        <E T="03">bsokolov@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, PAR-11-044: Indo-Us Collaborative Program on Low-Cost Medical Devices.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 19-20, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         11 a.m. to 7 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health 6701 Rockledge Drive, Bethesda, MD 20892 (Virtual Meeting).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         David R. Filpula, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6181, MSC 7892, Bethesda, MD 20892, 301-435-2902. 
                        <E T="03">filpuladr@mail.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, PAR-11-100: Alzheimer's Disease Pilot Clinical Trials.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 19, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         1 p.m. to 4 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892 (Telephone Conference Call).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Mark Lindner, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3182, MSC 7770, Bethesda, MD 20892, 301-435-0913, 
                        <E T="03">mark.lindner@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Cardiovascular and Respiratory Sciences Integrated Review Group, Clinical and Integrative Cardiovascular Sciences Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 20-21, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Russell T. Dowell, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4128, MSC 7814, Bethesda, MD 20892, (301) 435-1850. 
                        <E T="03">dowellr@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, Small Business: Medical Imaging.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 20-21, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Leonid V. Tsap, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5128, MSC 7854, Bethesda, MD 20892, (301) 435-2507. 
                        <E T="03">tsapl@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Healthcare Delivery and Methodologies Integrated Review Group, Health Services Organization and Delivery Study Section.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 20-21, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hyatt Regency Bethesda, One Bethesda Metro Center, 7400 Wisconsin Avenue, Bethesda, MD 20814.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Kathy Salaita, SCD, Scientific Review Officer, Center for 
                        <PRTPAGE P="57068"/>
                        Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3172, MSC 7770, Bethesda, MD 20892, 301-451-8504. 
                        <E T="03">salaitak@csr.nih.gov.</E>
                    </P>
                    <P>
                        <E T="03">Name of Committee:</E>
                         Center for Scientific Review Special Emphasis Panel, Small Business: Risk Prevention and Health Behavior.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 20, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Hotel Palomar, 2121 P Street, NW., Washington, DC 20037.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Claire E. Gutkin, PhD, Scientific Review Officer, Center for Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 3106, MSC 7808, Bethesda, MD 20892, 301-594-3139. 
                        <E T="03">gutkincl@csr.nih.gov.</E>
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, 93.337, 93.393-93.396, 93.837-93.844, 93.846-93.878, 93.892, 93.893, National Institutes of Health, HHS)</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23661 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Institute of Nursing Research Notice of Closed Meeting</SUBJECT>
                <P>
                    Pursuant to section 10(d) of the 
                    <E T="03">Federal Advisory Committee Act,</E>
                     as amended (5 U.S.C. App.), notice is hereby given of the following meeting.
                </P>
                <P>The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Institute of Nursing Research Special Emphasis Panel, Summer Research Experience Programs.
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         October 5, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         11 a.m. to 1 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         National Institutes of Health, One Democracy Plaza, 6701 Democracy Boulevard, Bethesda, MD 20892 (Telephone Conference Call).
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Tamizchelvi Thyagarajan, PhD, Scientific Review Officer, National Institute of Nursing Research, National Institutes of Health, Bethesda, MD 20892, (301) 594-0343, 
                        <E T="03">tamizchelvi.thyagarajan@nih.gov.</E>
                    </P>
                    <FP>(Catalogue of Federal Domestic Assistance Program Nos. 93.361, Nursing Research, National Institutes of Health, HHS).</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23657 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF HEALTH AND HUMAN SERVICES</AGENCY>
                <SUBAGY>National Institutes of Health</SUBAGY>
                <SUBJECT>National Center on Minority and Health Disparities Notice of Closed Meeting</SUBJECT>
                <P>
                    Pursuant to section 10(d) of the 
                    <E T="03">Federal Advisory Committee Act,</E>
                     as amended (5 U.S.C. App), notice is hereby given of the following meeting.
                </P>
                <P>The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable materials, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.</P>
                <EXTRACT>
                    <P>
                        <E T="03">Name of Committee:</E>
                         National Center on Minority Health and Health Disparities Special Emphasis Panel; ZMD1 RN 01 NIMHD Exploratory Centers of Excellence (P20).
                    </P>
                    <P>
                        <E T="03">Date:</E>
                         September 19-20, 2011.
                    </P>
                    <P>
                        <E T="03">Time:</E>
                         8 a.m. to 5 p.m.
                    </P>
                    <P>
                        <E T="03">Agenda:</E>
                         To review and evaluate grant applications.
                    </P>
                    <P>
                        <E T="03">Place:</E>
                         Bethesda Marriott Suites, 6711 Democracy Boulevard, Bethesda, MD 20817.
                    </P>
                    <P>
                        <E T="03">Contact Person:</E>
                         Robert Nettey, MD, Chief, Scientific Review Officer, National Institute on Minority Health, and Health Disparities, 6707 Democracy Boulevard, Suite 800, Bethesda, MD 20892, (301) 496-3996, 
                        <E T="03">netteyr@mail.nih.gov.</E>
                    </P>
                    <FP>This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.</FP>
                </EXTRACT>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Jennifer S. Spaeth,</NAME>
                    <TITLE>Director, Office of Federal Advisory Committee Policy.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23653 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4140-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">INTER-AMERICAN FOUNDATION</AGENCY>
                <SUBJECT>Board Meeting; Sunshine Act Meetings</SUBJECT>
                <PREAMHD>
                    <HD SOURCE="HED">TIME AND DATE: </HD>
                    <P>September 26, 2011, 9 a.m.-1:30 p.m.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PLACE: </HD>
                    <P>901 N. Stuart Street, Tenth Floor, Arlington, Virginia 22203.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">STATUS: </HD>
                    <P>Open session.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">MATTERS TO BE CONSIDERED:</HD>
                    <P/>
                    <P>• Approval of the Minutes of the June 6, 2011, Meeting of the Board of Directors</P>
                    <P>• Strategic Planning</P>
                    <P>• President and Management Report</P>
                    <P>• Communications Strategy</P>
                    <P>• Advisory Council</P>
                    <P>• Next Meetings</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PORTIONS TO BE OPEN TO THE PUBLIC:</HD>
                    <P SOURCE="NPAR">• Approval of the Minutes of the June 6, 2011, Meeting of the Board of Directors</P>
                    <P>• Strategic Planning</P>
                    <P>• President and Management Report</P>
                    <P>• Communications Strategy</P>
                    <P>• Advisory Council</P>
                    <P>• Next Meetings</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PORTIONS TO BE CLOSED TO THE PUBLIC:</HD>
                    <P SOURCE="NPAR">• None</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">CONTACT PERSON FOR MORE INFORMATION:</HD>
                    <P>Jennifer Hodges Reynolds, General Counsel, (703) 306-0002.</P>
                </PREAMHD>
                <SIG>
                    <NAME>Jennifer Hodges Reynolds,</NAME>
                    <TITLE>General Counsel.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23785 Filed 9-13-11; 11:15 am]</FRDOC>
            <BILCOD>BILLING CODE 7025-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF THE INTERIOR</AGENCY>
                <SUBAGY>Office of the Secretary</SUBAGY>
                <SUBJECT>List of Programs Eligible for Inclusion in Fiscal Year 2012 Funding Agreements To Be Negotiated With Self-Governance Tribes by Interior Bureaus Other Than the Bureau of Indian Affairs</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of the Secretary, Interior.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This notice lists programs or portions of programs that are eligible for inclusion in Fiscal Year 2012 funding agreements with self-governance Indian tribes and lists programmatic targets for each of the non-Bureau of Indian Affairs (BIA) bureaus in the Department of the Interior, pursuant to the Tribal Self-Governance Act.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>This notice expires on September 30, 2012.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Inquiries or comments regarding this notice may be directed to Sharee M. Freeman, Director, Office of Self-Governance (MS 355H-SIB), 1849 C 
                        <PRTPAGE P="57069"/>
                        Street, NW., Washington, DC 20240-0001, telephone: (202) 219-0240, fax: (202) 219-1404, or to the bureau-specific points of contact listed below.
                    </P>
                </ADD>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <HD SOURCE="HD1">I. Background</HD>
                <P>Title II of the Indian Self-Determination Act Amendments of 1994 (Pub. L. 103-413, the “Tribal Self-Governance Act” or the “Act”) instituted a permanent self-governance program at the Department of the Interior. Under the self-governance program, certain programs, services, functions, and activities, or portions thereof, in Interior bureaus other than BIA are eligible to be planned, conducted, consolidated, and administered by a self-governance tribal government.</P>
                <P>Under section 405(c) of the Tribal Self-Governance Act, the Secretary of the Interior is required to publish annually: (1) A list of non-BIA programs, services, functions, and activities, or portions thereof, that are eligible for inclusion in agreements negotiated under the self-governance program; and (2) programmatic targets for these bureaus.</P>
                <P>Under the Tribal Self-Governance Act, two categories of non-BIA programs are eligible for self-governance funding agreements:</P>
                <P>(1) Under section 403(b)(2) of the Act, any non-BIA program, service, function or activity that is administered by Interior that is “otherwise available to Indian tribes or Indians,” can be administered by a tribal government through a self-governance funding agreement. The Department interprets this provision to authorize the inclusion of programs eligible for self-determination contracts under Title I of the Indian Self-Determination and Education Assistance Act (Pub. L. 93-638, as amended). Section 403(b)(2) also specifies, “nothing in this subsection may be construed to provide any tribe with a preference with respect to the opportunity of the tribe to administer programs, services, functions and activities, or portions thereof, unless such preference is otherwise provided for by law.”</P>
                <P>(2) Under section 403(c) of the Act, the Secretary may include other programs, services, functions, and activities or portions thereof that are of “special geographic, historical, or cultural significance” to a self-governance tribe.</P>
                <P>Under section 403(k) of the Tribal Self-Governance Act, funding agreements cannot include programs, services, functions, or activities that are inherently Federal or where the statute establishing the existing program does not authorize the type of participation sought by the tribe. However, a tribe (or tribes) need not be identified in the authorizing statutes in order for a program or element to be included in a self-governance funding agreement. While general legal and policy guidance regarding what constitutes an inherently Federal function exists, the Secretary will determine whether a specific function is inherently Federal on a case-by-case basis considering the totality of circumstances.</P>
                <P>Subpart G of the self-governance regulations found at 25 CFR part 1000 provides the process and timelines for negotiating self-governance funding agreements with non-BIA bureaus.</P>
                <HD SOURCE="HD2">Response to Comments</HD>
                <P>Comments were received from two Tribal entities (Coquille Indian Tribe and Council of Athabascan Tribal Governments) and two Federal entities (National Park Service and U.S. Fish and Wildlife Service).</P>
                <P>The Coquille Indian Tribe suggested the following: (1) Revising Section I. Background [next to the last paragraph] to indicate that the Secretary (not each non-BIA bureau) will determine whether a specific function is inherently Federal on a case-by-case basis considering the totality of circumstances. This change was made; (2) Revising Section III. A. Eligible Bureau of Land Management (BLM) Programs [Other Activities paragraph] to change the title of Item 2. to Natural Resources Management (from Forestry Management) and insert silvicultural treatments, timber management, cultural resource management, watershed restoration as additional activities. This change was made; (3) Revising Section III. A. Eligible Bureau of Land Management (BLM) Programs [Other Activities paragraph] to insert implementation of statutory, regulatory and policy or administrative plan-based species protection efforts as additional activities to Item 6. Wildlife and Fisheries Habitat Management. This change was made; (4) Add the Administration of Forest Management Deductions as a third program to Section III. G. Eligible Office of the Special Trustee for American Indians (OST) Programs. This change was not made. This is a decision beyond the authority of the Office of the Special Trustee for American Indians to make.</P>
                <P>
                    The Council of Athabascan Tribal Governments suggested the following: (1) Listing the Council of Athabascan Tribal Governments in Section II. as having a Self-Governance Funding Agreement with the Bureau of Land Management. This change was made; and (2) Keep Subsistence Programs within the State of Alaska in the final 
                    <E T="04">Federal Register</E>
                     Notice and add to the eligible activities facilitation of Tribal Consultation to ensure ANILCA Title VII terms are being met, and activities fulfilling the terms of Title VIII of ANILCA. These changes were made.
                </P>
                <P>The National Park Service suggested adding the following three Parks to the National Park Service section listing Locations of National Park Service Units with Close Proximity to Self-Governance Tribes: (1) Isle Royale National Park—Michigan; (2) Great Smoky Mountains National Park—North Carolina/Tennessee; and (3) Yosemite National Park—California. These changes were made.</P>
                <P>The Fish and Wildlife Service suggested adding the following three Refuges to the Fish and Wildlife Service section listing Locations of Refuges and Hatcheries with Close Proximity to Self-Governance Tribes: (1) National Bison Range—Montana; (2) Ninepipe National Wildlife Refuge—Montana; and (3) Pablo National Wildlife Refuge—Montana. These changes were made.</P>
                <HD SOURCE="HD1">II. Funding Agreements Between Self-Governance Tribes and Non-BIA Bureaus of the Department of the Interior for Fiscal Year 2011</HD>
                <FP SOURCE="FP-2">A. Bureau of Land Management (1)</FP>
                <FP SOURCE="FP1-2">Council of Athabascan Tribal Governments</FP>
                <FP SOURCE="FP-2">B. Bureau of Reclamation (5)</FP>
                <FP SOURCE="FP1-2">Gila River Indian Community</FP>
                <FP SOURCE="FP1-2">Chippewa Cree Tribe of Rocky Boy's Reservation</FP>
                <FP SOURCE="FP1-2">Hoopa Valley Tribe</FP>
                <FP SOURCE="FP1-2">Karuk Tribe of California</FP>
                <FP SOURCE="FP1-2">Yurok Tribe</FP>
                <FP SOURCE="FP-2">C. Office of Natural Resources Revenue (none)</FP>
                <FP SOURCE="FP-2">D. National Park Service (3)</FP>
                <FP SOURCE="FP1-2">Grand Portage Band of Lake Superior Chippewa Indians</FP>
                <FP SOURCE="FP1-2">Lower Elwha S'Klallam Tribe</FP>
                <FP SOURCE="FP1-2">Yurok Tribe</FP>
                <FP SOURCE="FP-2">E. Fish and Wildlife Service (2)</FP>
                <FP SOURCE="FP1-2">Council of Athabascan Tribal Governments</FP>
                <FP SOURCE="FP1-2">Confederated Salish and Kootenai Tribes of the Flathead Reservation</FP>
                <FP SOURCE="FP-2">F. U.S. Geological Survey (none)</FP>
                <FP SOURCE="FP-2">G. Office of the Special Trustee for American Indians (1)</FP>
                <FP SOURCE="FP1-2">Confederated Salish and Kootenai Tribes of the Flathead Reservation</FP>
                <HD SOURCE="HD1">III. Eligible Programs of the Department of the Interior Non-BIA Bureaus</HD>
                <P>
                    Below is a listing by bureau of the types of non-BIA programs, or portions thereof, that may be eligible for self-governance funding agreements because 
                    <PRTPAGE P="57070"/>
                    they are either “otherwise available to Indians” under Title I and not precluded by any other law, or may have “special geographic, historical, or cultural significance” to a participating tribe. The lists represent the most current information on programs potentially available to tribes under a self-governance funding agreement.
                </P>
                <P>The Department will also consider for inclusion in funding agreements other programs or activities not listed below, but which, upon request of a self-governance tribe, the Department determines to be eligible under either sections 403(b)(2) or 403(c) of the Act. Tribes with an interest in such potential agreements are encouraged to begin discussions with the appropriate non-BIA bureau.</P>
                <HD SOURCE="HD2">A. Eligible Bureau of Land Management (BLM) Programs</HD>
                <P>The BLM carries out some of its activities in the management of public lands through contracts and cooperative agreements. These and other activities, dependent upon availability of funds, the need for specific services, and the self-governance tribe demonstrating a special geographic, culture, or historical connection, may also be available for inclusion in self-governance funding agreements. Once a tribe has made initial contact with the BLM, more specific information will be provided by the respective BLM State office.</P>
                <P>Some elements of the following programs may be eligible for inclusion in a self-governance funding agreement. This listing is not all-inclusive, but is representative of the types of programs that may be eligible for tribal participation through a funding agreement.</P>
                <HD SOURCE="HD3">Tribal Services</HD>
                <P>
                    1. 
                    <E T="03">Minerals Management.</E>
                     Inspection and enforcement of Indian oil and gas operations: inspection, enforcement and production verification of Indian coal and sand and gravel operations are already available for contracts under Title I of the Act and, therefore, may be available for inclusion in a funding agreement.
                </P>
                <P>
                    2. 
                    <E T="03">Cadastral Survey.</E>
                     Tribal and allottee cadastral survey services are already available for contracts under Title I of the Act and, therefore, may be available for inclusion in a funding agreement.
                </P>
                <HD SOURCE="HD3">Other Activities</HD>
                <P>
                    1. 
                    <E T="03">Cultural heritage.</E>
                     Cultural heritage activities, such as research and inventory, may be available in specific States.
                </P>
                <P>
                    2. 
                    <E T="03">Natural Resources Management.</E>
                     Activities such as silvicultural treatments, timber management, cultural resource management, watershed restoration, environmental studies, tree planting, thinning, and similar work, may be available in specific States.
                </P>
                <P>
                    3. 
                    <E T="03">Range Management.</E>
                     Activities, such as revegetation, noxious weed control, fencing, construction and management of range improvements, grazing management experiments, range monitoring, and similar activities, may be available in specific States.
                </P>
                <P>
                    4. 
                    <E T="03">Riparian Management.</E>
                     Activities, such as facilities construction, erosion control, rehabilitation, and other similar activities, may be available in specific States.
                </P>
                <P>
                    5. 
                    <E T="03">Recreation Management.</E>
                     Activities, such as facilities construction and maintenance, interpretive design and construction, and similar activities may be available in specific States.
                </P>
                <P>
                    6. 
                    <E T="03">Wildlife and Fisheries Habitat Management.</E>
                     Activities, such as construction and maintenance, implementation of statutory, regulatory and policy or administrative plan-based species protection, interpretive design and construction, and similar activities may be available in specific States.
                </P>
                <P>
                    7. 
                    <E T="03">Wild Horse Management.</E>
                     Activities, such as wild horse round-ups, adoption and disposition, including operation and maintenance of wild horse facilities may be available in specific States.
                </P>
                <P>For questions regarding self-governance, contact Jerry Cordova, Bureau of Land Management (20 M St. WS-5242), 1849 C Street, NW., Washington, DC 20240, telephone: (202) 912-7245, fax: (202) 452-7701.</P>
                <HD SOURCE="HD2">B. Eligible Bureau of Reclamation Programs</HD>
                <P>The mission of the Bureau of Reclamation (Reclamation) is to manage, develop, and protect water and related resources in an environmentally and economically sound manner in the interest of the American public. To this end, most of the Reclamation's activities involve the construction, operation and maintenance, and management of water resources projects and associated facilities, as well as research and development related to its responsibilities. Reclamation water resources projects provide water for agricultural, municipal and industrial water supplies; hydroelectric power generation; flood control; outdoor recreation; and enhancement of fish and wildlife habitats.</P>
                <P>Components of the following water resource projects listed below may be eligible for inclusion in a self-governance annual funding agreement. This list was developed with consideration of the proximity of identified self-governance tribes to Reclamation projects.</P>
                <P>1. Klamath Project, California and Oregon.</P>
                <P>2. Trinity River Fishery, California.</P>
                <P>3. Central Arizona Project, Arizona.</P>
                <P>4. Rocky Boy's/North Central Montana Regional Water System, Montana.</P>
                <P>5. Indian Water Rights Settlement Projects, as authorized by Congress.</P>
                <P>Upon the request of a self-governance tribe, Reclamation will also consider for inclusion in funding agreements, other programs or activities which Reclamation determines to be eligible under Section 403(b)(2) or 403(c) of the Act.</P>
                <P>For questions regarding self-governance, contact Mr. Douglas Oellermann, Deputy Director, Native American and International Affairs Office, Bureau of Reclamation (96-43000) (MS 7069-MIB); 1849 C Street, NW., Washington, DC 20240, telephone: (202) 513-0560, fax: (202) 513-0311.</P>
                <HD SOURCE="HD2">C. Eligible Office of Natural Resources Revenue (ONRR) Programs</HD>
                <P>Effective October 1, 2010, the Minerals Revenue Management program moved from the Bureau of Ocean Energy Management (formerly MMS) to the Office of the Assistant Secretary for Policy, Management and Budget (PMB) and became the Office of Natural Resources Revenue (ONRR). The ONRR collects, accounts for, and distributes mineral revenues from both Federal and Indian mineral leases.</P>
                <P>The ONRR also evaluates industry compliance with laws, regulations, and lease terms, and offers mineral-owning tribes opportunities to become involved in its programs that address the intent of tribal self-governance. These programs are available regardless of self-governance intentions or status and are a good prerequisite for assuming other technical functions. Generally, ONRR program functions are available to tribes because of the Federal Oil and Gas Royalty Management Act of 1983 (FOGRMA) at 30 U.S.C. 1701. The ONRR program functions that may be available to self-governance tribes include:</P>
                <P>
                    1. 
                    <E T="03">Audit of Tribal Royalty Payments.</E>
                     Audit activities for tribal leases, except for the issuance of orders, final valuation decisions, and other enforcement activities. (For tribes already participating in ONRR cooperative audits, this program is offered as an option.)
                    <PRTPAGE P="57071"/>
                </P>
                <P>
                    2. 
                    <E T="03">Verification of Tribal Royalty Payments.</E>
                     Financial compliance verification and monitoring activities, and production verification.
                </P>
                <P>
                    3. 
                    <E T="03">Tribal Royalty Reporting, Accounting, and Data Management.</E>
                     Establishment and management of royalty reporting and accounting systems including document processing, production reporting, reference data (lease, payor, agreement) management, billing and general ledger.
                </P>
                <P>
                    4. 
                    <E T="03">Tribal Royalty Valuation.</E>
                     Preliminary analysis and recommendations for valuation and allowance determinations and approvals.
                </P>
                <P>
                    5. 
                    <E T="03">Royalty Internship Program.</E>
                     An orientation and training program for auditors and accountants from mineral-producing tribes to acquaint tribal staff with royalty laws, procedures, and techniques. This program is recommended for tribes that are considering a self-governance funding agreement, but have not yet acquired mineral revenue expertise via a FOGRMA section 202 cooperative agreement, as this is the term contained in FOGRMA and implementing regulations at 30 CFR 228.4.
                </P>
                <P>For questions regarding self-governance contact Shirley M. Conway, Special Assistant to the Director, Office of Natural Resources Revenue, Office of the Assistant Secretary—Policy, Management and Budget—1801 Pennsylvania Ave., NW., 4th Floor, 403D, Washington, DC 20006, telephone: (202) 254-5554, fax: (202) 254-5589.</P>
                <HD SOURCE="HD2">D. Eligible National Park Service (NPS) Programs</HD>
                <P>The National Park Service administers the National Park System, which is made up of national parks, monuments, historic sites, battlefields, seashores, lake shores and recreation areas. The National Park Service maintains the park units, protects the natural and cultural resources, and conducts a range of visitor services such as law enforcement, park maintenance, and interpretation of geology, history, and natural and cultural resources.</P>
                <P>Some elements of the following programs may be eligible for inclusion in a self-governance funding agreement. This list below was developed considering the proximity of an identified self-governance tribe to a national park, monument, preserve, or recreation area and the types of programs that have components that may be suitable for contracting through a self-governance funding agreement. This list is not all-inclusive, but is representative of the types of programs which may be eligible for tribal participation through funding agreements.</P>
                <HD SOURCE="HD3">Elements of Programs That May Be Eligible for Inclusion in a Self-Governance Funding Agreement</HD>
                <FP SOURCE="FP-2">1. Archaeological Surveys</FP>
                <FP SOURCE="FP-2">2. Comprehensive Management Planning</FP>
                <FP SOURCE="FP-2">3. Cultural Resource Management Projects</FP>
                <FP SOURCE="FP-2">4. Ethnographic Studies</FP>
                <FP SOURCE="FP-2">5. Erosion Control</FP>
                <FP SOURCE="FP-2">6. Fire Protection</FP>
                <FP SOURCE="FP-2">7. Gathering Baseline Subsistence Data—Alaska</FP>
                <FP SOURCE="FP-2">8. Hazardous Fuel Reduction</FP>
                <FP SOURCE="FP-2">9. Housing Construction and Rehabilitation</FP>
                <FP SOURCE="FP-2">10. Interpretation</FP>
                <FP SOURCE="FP-2">11. Janitorial Services</FP>
                <FP SOURCE="FP-2">12. Maintenance</FP>
                <FP SOURCE="FP-2">13. Natural Resource Management Projects</FP>
                <FP SOURCE="FP-2">14. Operation of Campgrounds</FP>
                <FP SOURCE="FP-2">15. Range Assessment—Alaska</FP>
                <FP SOURCE="FP-2">16. Reindeer Grazing—Alaska</FP>
                <FP SOURCE="FP-2">17. Road Repair</FP>
                <FP SOURCE="FP-2">18. Solid Waste Collection and Disposal</FP>
                <FP SOURCE="FP-2">19. Trail Rehabilitation</FP>
                <FP SOURCE="FP-2">20. Watershed Restoration and Maintenance</FP>
                <FP SOURCE="FP-2">21. Beringia Research</FP>
                <FP SOURCE="FP-2">22. Elwha River Restoration</FP>
                <FP SOURCE="FP-2">23. Recycling Programs</FP>
                <HD SOURCE="HD3">Locations of National Park Service Units With Close Proximity to Self-Governance Tribes</HD>
                <FP SOURCE="FP-2">1. Aniakchack National Monument &amp; Preserve—Alaska</FP>
                <FP SOURCE="FP-2">2. Bering Land Bridge National Preserve—Alaska</FP>
                <FP SOURCE="FP-2">3. Cape Krusenstern National Monument—Alaska</FP>
                <FP SOURCE="FP-2">4. Denali National Park &amp; Preserve—Alaska</FP>
                <FP SOURCE="FP-2">5. Gates of the Arctic National Park &amp; Preserve—Alaska</FP>
                <FP SOURCE="FP-2">6. Glacier Bay National Park and Preserve—Alaska</FP>
                <FP SOURCE="FP-2">7. Katmai National Park and Preserve—Alaska</FP>
                <FP SOURCE="FP-2">8. Kenai Fjords National Park—Alaska</FP>
                <FP SOURCE="FP-2">9. Klondike Gold Rush National Historical Park—Alaska</FP>
                <FP SOURCE="FP-2">10. Kobuk Valley National Park—Alaska</FP>
                <FP SOURCE="FP-2">11. Lake Clark National Park and Preserve—Alaska</FP>
                <FP SOURCE="FP-2">12. Noatak National Preserve—Alaska</FP>
                <FP SOURCE="FP-2">13. Sitka National Historical Park—Alaska</FP>
                <FP SOURCE="FP-2">14. Wrangell-St. Elias National Park and Preserve—Alaska</FP>
                <FP SOURCE="FP-2">15. Yukon-Charley Rivers National Preserve—Alaska</FP>
                <FP SOURCE="FP-2">16. Casa Grande Ruins National Monument—Arizona</FP>
                <FP SOURCE="FP-2">17. Hohokam Pima National Monument—Arizona</FP>
                <FP SOURCE="FP-2">18. Montezuma Castle National Monument—Arizona</FP>
                <FP SOURCE="FP-2">19. Organ Pipe Cactus National Monument—Arizona</FP>
                <FP SOURCE="FP-2">20. Saguaro National Park—Arizona</FP>
                <FP SOURCE="FP-2">21. Tonto National Monument—Arizona</FP>
                <FP SOURCE="FP-2">22. Tumacacori National Historical Park—Arizona</FP>
                <FP SOURCE="FP-2">23. Tuzigoot National Monument—Arizona</FP>
                <FP SOURCE="FP-2">24. Arkansas Post National Memorial—Arkansas</FP>
                <FP SOURCE="FP-2">25. Joshua Tree National Park—California</FP>
                <FP SOURCE="FP-2">26. Lassen Volcanic National Park—California</FP>
                <FP SOURCE="FP-2">27. Redwood National Park—California</FP>
                <FP SOURCE="FP-2">28. Whiskeytown National Recreation Area—California</FP>
                <FP SOURCE="FP-2">29. Yosemite National Park—California</FP>
                <FP SOURCE="FP-2">30. Hagerman Fossil Beds National Monument—Idaho</FP>
                <FP SOURCE="FP-2">31. Effigy Mounds National Monument—Iowa</FP>
                <FP SOURCE="FP-2">32. Fort Scott National Historic Site—Kansas</FP>
                <FP SOURCE="FP-2">33. Tallgrass Prairie National Preserve—Kansas</FP>
                <FP SOURCE="FP-2">34. Boston Harbor Islands National Recreation Area—Massachusetts</FP>
                <FP SOURCE="FP-2">35. Cape Cod National Seashore—Massachusetts</FP>
                <FP SOURCE="FP-2">36. New Bedford Whaling National Historical Park—Massachusetts</FP>
                <FP SOURCE="FP-2">37. Isle Royale National Park—Michigan</FP>
                <FP SOURCE="FP-2">38. Sleeping Bear Dunes National Lakeshore—Michigan</FP>
                <FP SOURCE="FP-2">39. Grand Portage National Monument—Minnesota</FP>
                <FP SOURCE="FP-2">40. Voyageurs National Park—Minnesota</FP>
                <FP SOURCE="FP-2">41. Bear Paw Battlefield, Nez Perce National Historical Park—Montana</FP>
                <FP SOURCE="FP-2">42. Glacier National Park—Montana</FP>
                <FP SOURCE="FP-2">43. Great Basin National Park—Nevada</FP>
                <FP SOURCE="FP-2">44. Aztec Ruins National Monument—New Mexico</FP>
                <FP SOURCE="FP-2">45. Bandelier National Monument—New Mexico</FP>
                <FP SOURCE="FP-2">46. Carlsbad Caverns National Park—New Mexico</FP>
                <FP SOURCE="FP-2">47. Chaco Culture National Historic Park—New Mexico</FP>
                <FP SOURCE="FP-2">48. White Sands National Monument—New Mexico</FP>
                <FP SOURCE="FP-2">49. Fort Stanwix National Monument—New York</FP>
                <FP SOURCE="FP-2">50. Great Smoky Mountains National Park—North Carolina/Tennessee</FP>
                <FP SOURCE="FP-2">51. Cuyahoga Valley National Park—Ohio</FP>
                <FP SOURCE="FP-2">52. Hopewell Culture National Historical Park—Ohio</FP>
                <FP SOURCE="FP-2">53. Chickasaw National Recreation Area—Oklahoma</FP>
                <FP SOURCE="FP-2">
                    54. John Day Fossil Beds National Monument—Oregon
                    <PRTPAGE P="57072"/>
                </FP>
                <FP SOURCE="FP-2">55. Alibates Flint Quarries National Monument—Texas</FP>
                <FP SOURCE="FP-2">56. Guadalupe Mountains National Park—Texas</FP>
                <FP SOURCE="FP-2">57. Lake Meredith National Recreation Area—Texas</FP>
                <FP SOURCE="FP-2">58. Ebey's Landing National Recreation Area—Washington</FP>
                <FP SOURCE="FP-2">59. Mt. Rainier National Park—Washington</FP>
                <FP SOURCE="FP-2">60. Olympic National Park—Washington</FP>
                <FP SOURCE="FP-2">61. San Juan Islands National Historic Park—Washington</FP>
                <FP SOURCE="FP-2">62. Whitman Mission National Historic Site—Washington</FP>
                <P>For questions regarding self-governance, contact Dr. Patricia Parker, Chief, American Indian Liaison Office, National Park Service (Org. 2560, 9th Floor), 1201 Eye Street, NW., Washington, DC 20005-5905, telephone: (202) 354-6962, fax: (202) 371-6609.</P>
                <HD SOURCE="HD2">E. Eligible Fish and Wildlife Service (Service) Programs</HD>
                <P>The mission of the U.S. Fish &amp; Wildlife Service is, working with others to conserve, protect, and enhance fish, wildlife, and plants and their habitats for the continuing benefit of the American people. Primary responsibilities are for migratory birds, endangered species, freshwater and anadromous fisheries, and certain marine mammals. The Service also has a continuing cooperative relationship with a number of Indian tribes throughout the National Wildlife Refuge System and the Service's fish hatcheries. Any self-governance tribe may contact a National Wildlife Refuge or National Fish Hatchery directly concerning participation in Service programs under the Tribal Self-Governance Act. This list is not all-inclusive, but is representative of the types of Service programs that may be eligible for tribal participation through an annual funding agreement.</P>
                <P>
                    1. 
                    <E T="03">Subsistence Programs within the State of Alaska.</E>
                     Evaluate and analyze data for annual subsistence regulatory cycles and other data trends related to subsistence harvest needs, and facilitate Tribal Consultation to ensure ANILCA Title VII terms are being met as well as activities fulfilling the terms of Title VIII of ANILCA.
                </P>
                <P>
                    2. 
                    <E T="03">Technical Assistance, Restoration and Conservation.</E>
                     Conduct planning and implementation of population surveys, habitat surveys, restoration of sport fish, capture of depredating migratory birds, and habitat restoration activities.
                </P>
                <P>
                    3. 
                    <E T="03">Endangered Species Programs.</E>
                     Conduct activities associated with the conservation and recovery of threatened or endangered species protected under the Endangered Species Act (ESA); candidate species under the ESA may be eligible for self-governance funding agreements. These activities may include, but are limited to, cooperative conservation programs, development of recovery plans and implementation of recovery actions for threatened and endangered species, and implementation of status surveys for high priority candidate species.
                </P>
                <P>
                    4
                    <E T="03">. Education Programs.</E>
                     Provide services in interpretation, outdoor classroom instruction, visitor center operations, and volunteer coordination both on and off national Wildlife Refuge lands in a variety of communities, and assist with environmental education and outreach efforts in local villages.
                </P>
                <P>
                    5. 
                    <E T="03">Environmental Contaminants Program.</E>
                     Conduct activities associated with identifying and removing toxic chemicals, which help prevent harm to fish, wildlife and their habitats. The activities required for environmental contaminant management may include, but are not limited to, analysis of pollution data, removal of underground storage tanks, specific cleanup activities, and field data gathering efforts.
                </P>
                <P>
                    6. 
                    <E T="03">Wetland and Habitat Conservation Restoration.</E>
                     Provide services for construction, planning, and habitat monitoring and activities associated with conservation and restoration of wetland habitat.
                </P>
                <P>
                    7. 
                    <E T="03">Fish Hatchery Operations.</E>
                     Conduct activities to recover aquatic species listed under the Endangered Species Act, restore native aquatic populations, and provide fish to benefit Tribes and National Wildlife Refuges that may be eligible for a self-governance funding agreement. Such activities may include, but are not limited to: taking, rearing and feeding of fish, disease treatment, tagging, and clerical or facility maintenance at a fish hatchery.
                </P>
                <P>
                    8. 
                    <E T="03">National Wildlife Refuge Operations and Maintenance.</E>
                     Conduct activities to assist the National Wildlife Refuge System, a national network of lands and waters for conservation, management and restoration of fish, wildlife and plant resources and their habitats within the United States. Activities that may be eligible for a self-governance funding agreement may include, but are not limited to: Construction, farming, concessions, maintenance, biological program efforts, habitat management, fire management, and implementation of comprehensive conservation planning.
                </P>
                <HD SOURCE="HD3">Locations of Refuges and Hatcheries With Close Proximity to Self-Governance Tribes</HD>
                <P>The Service developed the list below based on the proximity of identified self-governance tribes to Service facilities that have components that may be suitable for contracting through a self-governance funding agreement.</P>
                <FP SOURCE="FP-2">1. Alaska National Wildlife Refuges—Alaska</FP>
                <FP SOURCE="FP-2">2. Alchesay National Fish Hatchery—Arizona</FP>
                <FP SOURCE="FP-2">3. Humboldt Bay National Wildlife Refuge—California</FP>
                <FP SOURCE="FP-2">4. Kootenai National Wildlife Refuge—Idaho</FP>
                <FP SOURCE="FP-2">5. Agassiz National Wildlife Refuge—Minnesota</FP>
                <FP SOURCE="FP-2">6. Mille Lacs National Wildlife Refuge—Minnesota</FP>
                <FP SOURCE="FP-2">7. Rice Lake National Wildlife Refuge—Minnesota</FP>
                <FP SOURCE="FP-2">8. National Bison Range—Montana</FP>
                <FP SOURCE="FP-2">9. Ninepipe National Wildlife Refuge—Montana</FP>
                <FP SOURCE="FP-2">10. Pablo National Wildlife Refute—Montana</FP>
                <FP SOURCE="FP-2">11. Sequoyah National Wildlife Refuge—Oklahoma</FP>
                <FP SOURCE="FP-2">12. Tishomingo National Wildlife Refute—Oklahoma</FP>
                <FP SOURCE="FP-2">13. Bandon Marsh National Wildlife Refuge—Washington</FP>
                <FP SOURCE="FP-2">14. Dungeness National Wildlife Refuge—Washington</FP>
                <FP SOURCE="FP-2">15. Makah National Fish Hatchery—Washington</FP>
                <FP SOURCE="FP-2">16. Nisqually National Wildlife Refuge—Washington</FP>
                <FP SOURCE="FP-2">17. Quinault National Fish Hatchery—Washington</FP>
                <FP SOURCE="FP-2">18. San Juan Islands National Wildlife Refuge—Washington</FP>
                <FP SOURCE="FP-2">19. Tamarac National Wildlife Refuge—Wisconsin</FP>
                <P>For questions regarding self-governance, contact Patrick Durham, Fish and Wildlife Service (MS-330), 4401 N. Fairfax Drive, Arlington, VA 22203, telephone: (703) 358-1728, fax: (703) 358-1930.</P>
                <HD SOURCE="HD2">F. Eligible U.S. Geological Survey (USGS) Programs</HD>
                <P>
                    The mission of the USGS is to collect, analyze, and provide information on biology, geology, hydrology, and geography that contributes to the wise management of the Nation's natural resources and to the health, safety, and well-being of the American people. This information is usually publicly available and includes maps, data bases, and descriptions and analyses of the water, plants, animals, energy, and mineral resources, land surface, underlying geologic structure, and dynamic 
                    <PRTPAGE P="57073"/>
                    processes of the earth. The USGS does not manage lands or resources. Self-governance tribes may potentially assist the USGS in the data acquisition and analysis components of its activities.
                </P>
                <P>For questions regarding self-governance, contact Monique Fordham, National Tribal Liaison, U.S. Geological Survey, 12201 Sunrise Valley Drive, Mail Stop 911, Reston, VA 20192, telephone 703-648-4437, fax 703-648-6683.</P>
                <HD SOURCE="HD2">G. Eligible Office of the Special Trustee for American Indians (OST) Programs</HD>
                <P>The Department of the Interior has responsibility for what may be the largest land trust in the world, approximately 56 million acres. OST oversees the management of Indian trust assets, including income generated from leasing and other commercial activities on Indian trust lands, by maintaining, investing and disbursing Indian trust financial assets, and reporting on these transactions. The mission of the OST is to serve Indian communities by fulfilling Indian fiduciary trust responsibilities. This is to be accomplished through the implementation of a Comprehensive Trust Management Plan (CTM) that is designed to improve trust beneficiary services, ownership information, management of trust fund assets, and self-governance activities.</P>
                <P>A tribe operating under self-governance may include the following programs, services, functions, and activities or portions thereof in a funding agreement:</P>
                <P>
                    1. 
                    <E T="03">Beneficiary Processes Program</E>
                     (Individual Indian Money Accounting Technical Functions).
                </P>
                <P>
                    2. 
                    <E T="03">Appraisal Services Program.</E>
                     Tribes/consortia that currently perform these programs under a self-governance funding agreement with the BIA may negotiate a separate memorandum of understanding (MOU) with OST that outlines the roles and responsibilities for management of these programs.
                </P>
                <P>The MOU between the tribe/consortium and OST outlines the roles and responsibilities for the performance of the OST program by the tribe/consortium. If those roles and responsibilities are already fully articulated in the existing funding agreement with the BIA, an MOU is not necessary. To the extent that the parties desire specific program standards, an MOU will be negotiated between the tribe/consortium and OST, which will be binding on both parties and attached and incorporated into the BIA funding agreement.</P>
                <P>If a tribe/consortium decides to assume the operation of an OST program, the new funding for performing that program will come from OST program dollars. A tribe's newly-assumed operation of the OST program(s) will be reflected in the tribe's funding agreement.</P>
                <P>For questions regarding self-governance, contact Lee Frazier, Program Analyst, Office of External Affairs, Office of the Special Trustee for American Indians (MS 5140—MIB), 1849 C Street, NW., Washington, DC 20240-0001, phone: (202) 208-7587, fax: (202) 208-7545.</P>
                <HD SOURCE="HD1">IV. Programmatic Targets</HD>
                <P>During Fiscal Year 2012, upon request of a self-governance tribe, each non-BIA bureau will negotiate funding agreements for its eligible programs beyond those already negotiated.</P>
                <SIG>
                    <DATED>Dated: August 26, 2011.</DATED>
                    <NAME>Ken Salazar,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23683 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4310-W8-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF THE INTERIOR</AGENCY>
                <SUBAGY>Bureau of Land Management</SUBAGY>
                <DEPDOC>[L51010000.FX0000.LVRWB09B3350]</DEPDOC>
                <SUBJECT>Notice of Intent To Prepare an Environmental Impact Statement for the Proposed enXco Desert Harvest Solar Farm Project, Riverside County, CA and Possible Land Use Plan Amendment</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Bureau of Land Management, Interior.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of Intent.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        In compliance with the 
                        <E T="03">National Environmental Policy Act of 1969,</E>
                         as amended (NEPA), and the 
                        <E T="03">Federal Land Policy and Management Act of 1976,</E>
                         as amended (FLPMA), the Bureau of Land Management (BLM) Palm Springs South Coast Field Office, Palm Springs, California, intends to prepare an Environmental Impact Statement (EIS), which may include an amendment to the California Desert Conservation Area (CDCA) Plan (1980 as amended), related to enXco's right-of-way (ROW) application for the Desert Harvest Solar Farm Project (Desert Harvest Project), a 150-megawatt (MW) photovoltaic (PV) solar electricity generation project. By this notice the BLM is announcing the beginning of the scoping process to solicit public comments and identify issues related to the EIS.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        This notice initiates the public scoping process for the EIS and possible plan amendment. Comments on issues may be submitted in writing until October 17, 2011. The date(s) and location(s) of any scoping meetings will be announced at least 15 days in advance through the local news media, newspapers and the BLM Web site at: 
                        <E T="03">http://www.blm.gov/ca/st/en/fo/palmsprings/Solar_Projects.html.</E>
                         In order to be included in the Draft EIS, all comments must be received prior to the close of the scoping period or 15 days after the last public meeting, whichever is later. We will provide additional opportunities for public participation upon publication of the Draft EIS.
                    </P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Written comments related to the EIS and possible plan amendment may be submitted by the following methods:</P>
                </ADD>
                <FP SOURCE="FP1-2">
                    • Web site: 
                    <E T="03">http://www.blm.gov/ca/st/en.html</E>
                </FP>
                <FP SOURCE="FP1-2">
                    • E-mail: 
                    <E T="03">CAdesertharvest@blm.gov</E>
                </FP>
                <FP SOURCE="FP1-2">• Fax: (951) 697-5299</FP>
                <FP SOURCE="FP1-2">• Mail: Lynnette Elser, Planning and Environmental Coordinator, BLM California Desert District Office, 22835 Calle San Juan de Los Lagos, Moreno Valley, California 92553</FP>
                <FP>Documents pertinent to these proposals may be examined at the BLM Palm Springs South Coast Field Office, 1201 Bird Center Drive, Palm Springs, California 92262 or at the BLM California Desert District Office at 22835 Calle San Juan de Los Lagos, Moreno Valley, California 92553.</FP>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        For further information and/or to have your name added to our mailing list, contact Lynnette Elser, Planning and Environmental Coordinator; telephone (951) 697-5233; address 22835 Calle San Juan de Los Lagos, Moreno Valley, CA 92553; e-mail 
                        <E T="03">lelser@blm.gov.</E>
                         Persons who use a telecommunications device for the deaf (TDD) may call the Federal Information Relay Service (FIRS) at 1-800-877-8339 to contact the above individual during normal business hours. This service is available 24 hours a day, 7 days a week, to leave a message or question with the above individual. You will receive a reply during normal business hours.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    The applicant, enXco, has requested a right-of-way (ROW) authorization to construct, operate, maintain, and decommission the Desert Harvest Project. The proposed project would be located on BLM-administered lands in Riverside County about 6 miles north of the rural community of Desert Center, California. The overall site layout and generalized land uses would include a substation, an administration building, operations and maintenance facilities, a 
                    <PRTPAGE P="57074"/>
                    transmission line, and temporary construction lay down areas, with a total proposed project footprint of approximately 1,280 acres. The project's 230-kilovolt (kV) generation interconnection transmission line would either be via the First Solar Desert Sunlight 230-kV gen-tie (as a shared facility), or would be located on private and BLM-administered lands and would utilize a planned 230- to 500-kV substation (referred to as the Red Bluff Substation). The Red Bluff Substation would connect the project to the Southern California Edison regional transmission grid. If approved, project construction would begin in late 2013 and would take 9-12 months to complete.
                </P>
                <P>The BLM segregated the public lands located within the Desert Harvest Project's application area from appropriation under the public land and mining laws, but not the mineral leasing or material sales acts, for a period of 25 years for the purpose of protecting potential sites for future solar energy development pursuant to 43 CFR 2091.3-1(e) and 43 CFR 2804.25(e) (76 FR 38416, June 30, 2011).</P>
                <P>The purpose of the public scoping process is to determine relevant issues that will influence the scope of the environmental analysis, including alternatives, and guide the process for developing the Draft EIS. At present, the BLM has identified the following preliminary issues: Air quality, biological resources, recreation, cultural resources, water resources, geological resources, special management areas, land use, noise, paleontological resources, public health, socioeconomic, soils, traffic and transportation, and visual resources.</P>
                <P>Pursuant to the BLM's CDCA Plan, sites associated with power generation or transmission not identified in the CDCA Plan will be considered through the plan amendment process to determine the suitability of the site for renewable energy development. Since the proposed Desert Harvest Project site was not previously identified as suitable, authorization of the Desert Harvest Project will require amendment of the CDCA Plan. By this notice, the BLM is complying with requirements in 43 CFR 1610.2(c) to notify the public of potential amendments to CDCA Plan predicated on the findings in the EIS. If a land-use-plan amendment is necessary, the BLM will integrate the land-use planning process with the NEPA process for the Desert Harvest Project. A preliminary list of the potential planning criteria that will be used to help guide and define the scope of the plan amendment process includes:</P>
                <P>1. The plan amendments will be completed in compliance with the FLPMA, NEPA, and all other relevant Federal laws, executive orders, and BLM policies;</P>
                <P>2. Existing, valid plan decisions will not be changed and any new plan decisions will not conflict with existing plan decisions; and</P>
                <P>3. The plan amendment(s) will recognize valid existing rights.</P>
                <P>The BLM will utilize and coordinate the NEPA public participation requirements to assist the agency in satisfying the public involvement requirements under Section 106 of the National Historic Preservation Act (NHPA) (16 U.S.C. 470(f)) as provided for in 36 CFR 800.2(d)(3). Information about historic and cultural resources within the area potentially affected by the proposed Desert Harvest Project and potential CDCA Plan amendment will assist the BLM in identifying and evaluating impacts to such resources in the context of both NEPA and Section 106 of the NHPA. Native American tribal consultations will be conducted in accordance with applicable statutes, policies, and directives, and tribal concerns will be given due consideration, including impacts on Indian trust assets. Federal, State, and local agencies, along with tribes and other stakeholders that may be interested or affected by the BLM's decision on this project are invited to participate in the scoping process and, if eligible, may request or be requested by the BLM to participate as a cooperating agency.</P>
                <P>Before including your address, phone number, e-mail address, or other personal identifying information in your comment, you should be aware that your entire comment—including your personal identifying information—may be made publicly available at any time. While you can ask us in your comment to withhold your personal identifying information from public review, we cannot guarantee that we will be able to do so.</P>
                <SIG>
                    <NAME>Thomas Pogacnik,</NAME>
                    <TITLE>Deputy State Director, Natural Resources.</TITLE>
                </SIG>
                <AUTH>
                    <HD SOURCE="HED">Authority:</HD>
                    <P> 40 CFR 1501.7 and 43 CFR 1610.2</P>
                </AUTH>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23624 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4310-40-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF THE INTERIOR</AGENCY>
                <SUBAGY>National Park Service</SUBAGY>
                <SUBJECT>Transfer of Administrative Jurisdiction at or Near Great Sand Dunes National Park</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Park Service, Interior.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>As required by law, the Secretary of the Interior has transferred to the appropriate agencies jurisdiction over lands acquired for the benefit of Great Sand Dunes National Park, Baca National Wildlife Refuge, and the Rio Grande National Forest.</P>
                </SUM>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Maps, deeds, and documents related to this transfer may be reviewed at the National Park Service Land Resources Program Center, Intermountain Region, 12795 West Alameda Parkway, Lakewood, Colorado 80225-0287. The approved survey plats and field notes will be available for review at the Colorado State Office of the Bureau of Land Management, 2850 Youngfield Street, Lakewood, Colorado 80215.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>John Wessels, Director, Intermountain Region, National Park Service, P.O. Box 25287, 12795 West Alameda Parkway, Lakewood, Colorado 80225-0287.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>As authorized by section 8(a) of Public Law 106-530 (114 Stat. 2527, 2532), the Secretary of the Interior (Secretary) acquired certain lands and interests in land for the benefit of Great Sand Dunes National Park, Baca National Wildlife Refuge, and the Rio Grande National Forest. Section 8(c) of Public Law 106-530 directed the Secretary to transfer administrative jurisdiction of these lands, as appropriate, to the National Park Service for addition to and administration as part of the Great Sand Dunes National Park; to the United States Fish and Wildlife Service for addition to and administration as part of the Baca National Wildlife Refuge; and to the Secretary of Agriculture, for addition to and administration as part of the Rio Grande National Forest. The transferred lands were depicted on the map having drawing number 140/80/032 and were divided into zones as depicted on an exhibit map having drawing number 140/30,003.</P>
                <P>Under the provisions of Section 8(c) of Public Law 106-530, and effective on November 22, 2000, the following transfers were made:</P>
                <P>
                    • Administrative jurisdiction of those lands depicted on the exhibit map as Zone A to the United States Fish and Wildlife Service for addition to and 
                    <PRTPAGE P="57075"/>
                    administration as part of the Baca National Wildlife Refuge;
                </P>
                <P>• Administrative jurisdiction on those lands depicted on the exhibit map as Zone B to the Secretary of Agriculture for addition to and administration as part of the Rio Grande National Forest; and</P>
                <P>• Administrative jurisdiction on those lands depicted on the exhibit map as Zone C to the National Park Service for addition to and administration as part of the Great Sand Dunes National Park.</P>
                <P>The boundaries of all or portions of these zones are being surveyed by the Bureau of Land Management, Department of the Interior. Upon approval by the Bureau of Land Management, these surveys will supplement this notice of transfer by providing the exact locations of the boundaries separating these zones. The approved survey plats and field notes will be available for review at the Colorado State Office of the Bureau of Land Management.</P>
                <SIG>
                    <NAME>Rachel Jacobson,</NAME>
                    <TITLE>Acting Assistant Secretary for Fish and Wildlife and Parks.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23370 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4312-CL-M</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">INTERNATIONAL TRADE COMMISSION</AGENCY>
                <DEPDOC>[Investigation No. 337-TA-776]</DEPDOC>
                <SUBJECT> In the Matter of Certain Lighting Control Devices Including Dimmer Switches and Parts Thereof (IV); Notice of Commission Decision Not To Review an Initial Determination Granting a Joint Motion To Amend the Notice of Investigation</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>U.S. International Trade Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>Notice is hereby given that the U.S. International Trade Commission has determined not to review an initial determination (“ID”) (Order No. 9) of the presiding administrative Law Judge (“ALJ”) granting a joint motion to amend the notice of investigation in the above-captioned investigation.</P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Clint Gerdine, Esq., Office of the General Counsel, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436, telephone (202) 708-2310. Copies of non-confidential documents filed in connection with this investigation are or will be available for inspection during official business hours (8:45 a.m. to 5:15 p.m.) in the Office of the Secretary, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436, telephone (202) 205-2000. General information concerning the Commission may also be obtained by accessing its Internet server at 
                        <E T="03">http://www.usitc.gov</E>
                        . The public record for this investigation may be viewed on the Commission's electronic docket (EDIS) at 
                        <E T="03">http://edis.usitc.gov.</E>
                         Hearing-impaired persons are advised that information on this matter can be obtained by contacting the Commission's TDD terminal on (202) 205-1810.
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>The Commission instituted this investigation on June 15, 2011, based on a complaint filed by Lutron Electronics Co., Inc. (“Lutron”) of Coopersburg, Pennsylvania. 76 FR 35015-16. The complaint alleges violations of section 337 of the Tariff Act of 1930, as amended, 19 U.S.C. 1337, in the importation into the United States, the sale for importation, and the sale within the United States after importation of certain lighting control devices including dimmer switches and parts thereof by reason of infringement of certain claims of U.S. Patent Nos. 5,637,930 and 5,248,919. The complaint further alleges the existence of a domestic industry. The Commission's notice of investigation named several respondents including Elemental LED, LLC (“Elemental”) and Diode LED (“Diode”) of Emeryville, California.</P>
                <P>On July 21, 2011, Lutron and respondents Elemental and Diode filed a joint motion to amend the notice of investigation to consolidate the named respondents Elemental and Diode into Elemental LED, LLC d/b/a Diode LED.</P>
                <P>On August 22, 2011, the ALJ issued the subject ID granting the joint motion to amend notice of investigation. No party petitioned for review of the ID pursuant to 19 CFR 210.43(a). The Commission has determined not to review this ID.</P>
                <P>
                    The authority for the Commission's determination is contained in section 337 of the 
                    <E T="03">Tariff Act of 1930,</E>
                     as amended, 19 U.S.C. 1337, and in sections 210.14 and 210.42(h) of the Commission's Rules of Practice and Procedure, 19 CFR 210.14, 210.42(h).
                </P>
                <SIG>
                    <DATED>Issued: September 9, 2011.</DATED>
                    <P>By order of the Commission.</P>
                    <NAME>James R. Holbein,</NAME>
                    <TITLE>Secretary to the Commission.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23612 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7020-02-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">INTERNATIONAL TRADE COMMISSION</AGENCY>
                <DEPDOC>[Investigation Nos. 731-TA-624-625; Third Review]</DEPDOC>
                <SUBJECT>Helical Spring Lock Washers From China and Taiwan</SUBJECT>
                <P>Scheduling of expedited five-year reviews concerning the antidumping duty orders on helical spring lock washers from China and Taiwan.</P>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>United States International Trade Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The Commission hereby gives notice of the scheduling of expedited reviews pursuant to section 751(c)(3) of the Tariff Act of 1930 (19 U.S.C. 1675(c)(3)) (the Act) to determine whether revocation of the antidumping duty orders on helical spring lock washers from China and Taiwan would be likely to lead to continuation or recurrence of material injury within a reasonably foreseeable time. For further information concerning the conduct of these reviews and rules of general application, consult the Commission's Rules of Practice and Procedure, part 201, subparts A through E (19 CFR part 201), and part 207, subparts A, D, E, and F (19 CFR part 207).</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Effective Date:</E>
                         September 6, 2011.
                    </P>
                </DATES>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Stefania Pozzi Porter (202-205-3177), Office of Investigations, U.S. International Trade Commission, 500 E Street, SW., Washington, DC 20436. Hearing-impaired persons can obtain information on this matter by contacting the Commission's TDD terminal on 202-205-1810. Persons with mobility impairments who will need special assistance in gaining access to the Commission should contact the Office of the Secretary at 202-205-2000. General information concerning the Commission may also be obtained by accessing its internet server (
                        <E T="03">http://www.usitc.gov</E>
                        ). The public record for these reviews may be viewed on the Commission's electronic docket (EDIS) at 
                        <E T="03">http://edis.usitc.gov.</E>
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <P SOURCE="NPAR">
                    <E T="03">Background.</E>
                     On September 6, 2011, the Commission determined that the domestic interested party group response to its notice of institution (76 FR 31629, June 1, 2011) of the subject five-year reviews was adequate and that the respondent interested party group response was inadequate. The Commission did not find any other circumstances that would warrant 
                    <PRTPAGE P="57076"/>
                    conducting full reviews.
                    <SU>1</SU>
                    <FTREF/>
                     Accordingly, the Commission determined that it would conduct expedited reviews pursuant to section 751(c)(3) of the Act.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         A record of the Commission's  votes, the Commission's  statement on adequacy, and any individual Commission's  statements will be available from the Office of the Secretary and at the Commission's Web site.
                    </P>
                </FTNT>
                <P>
                    <E T="03">Staff report.</E>
                     A staff report containing information concerning the subject matter of the reviews will be placed in the nonpublic record on September 29, 2011, and made available to persons on the Administrative Protective Order service list for these reviews. A public version will be issued thereafter, pursuant to section 207.62(d)(4) of the Commission's  rules.
                </P>
                <P>
                    <E T="03">Written submissions.</E>
                     As provided in section 207.62(d) of the Commission's  rules, interested parties that are parties to the reviews and that have provided individually adequate responses to the notice of institution,
                    <SU>2</SU>
                    <FTREF/>
                     and any party other than an interested party to the reviews may file written comments with the Secretary on what determination the Commission should reach in the reviews. Comments are due on or before October 4, 2011 and may not contain new factual information. Any person that is neither a party to the five-year review nor an interested party may submit a brief written statement (which shall not contain any new factual information) pertinent to the reviews by October 4, 2011. However, should the Department of Commerce extend the time limit for its completion of the final results of its reviews, the deadline for comments (which may not contain new factual information) on Commerce's final results is three business days after the issuance of Commerce's results. If comments contain business proprietary information (BPI), they must conform with the requirements of sections 201.6, 207.3, and 207.7 of the Commission's rules. The Commission's  rules do not authorize filing of submissions with the Secretary by facsimile or electronic means, except to the extent permitted by section 201.8 of the Commission's rules, as amended, 67 FR 68036 (November 8, 2002). Even where electronic filing of a document is permitted, certain documents must also be filed in paper form, as specified in II (C) of the Commission's Handbook on Electronic Filing Procedures, 67 FR 68168, 68173 (November 8, 2002).
                </P>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         The Commission has found the responses submitted by Shakeproof Assembly Components Division of Illinois Tool Works, Inc. to be individually adequate. Comments from other interested parties will not be accepted (
                        <E T="03">see</E>
                         19 CFR 207.62(d)(2)).
                    </P>
                </FTNT>
                <P>In accordance with sections 201.16(c) and 207.3 of the rules, each document filed by a party to the review must be served on all other parties to the reviews (as identified by either the public or BPI service list), and a certificate of service must be timely filed. The Secretary will not accept a document for filing without a certificate of service.</P>
                <P>
                    <E T="03">Determination.</E>
                     The Commission has determined to exercise its authority to extend the review period by up to 90 days pursuant to 19 U.S.C. §1675(c)(5)(B).
                </P>
                <AUTH>
                    <HD SOURCE="HED">Authority:</HD>
                    <P>These reviews are being conducted under authority of title VII of the Tariff Act of 1930; this notice is published pursuant to section 207.62 of the Commission's rules.</P>
                </AUTH>
                <SIG>
                    <DATED>Issued: September 12, 2011.</DATED>
                    <P>By order of the Commission.</P>
                    <NAME>James R. Holbein,</NAME>
                    <TITLE>Secretary to the Commission.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23690 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7020-02-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF JUSTICE</AGENCY>
                <DEPDOC>[OMB Number 1122-0007]</DEPDOC>
                <SUBJECT>Extension of a Currently Approved Collection; Comments Requested Semi-Annual Progress Report for the Grantees From the Legal Assistance for Victims Grant Program</SUBJECT>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>30-Day Notice of Information Collection Under Review.</P>
                </ACT>
                <P>
                    The Department of Justice, Office on Violence Against Women (OVW) will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995. The proposed information collection is published to obtain comments from the public and affected agencies. This proposed information collection was previously published in the 
                    <E T="04">Federal Register</E>
                     Volume 76, Number 133, pages 40933-40934, on July 12, 2011, allowing for a 60-day comment period.
                </P>
                <P>The purpose of this notice is to allow for an additional 30 days for public comment until October 17, 2011. This process is conducted in accordance with 5 CFR 1320.10.</P>
                <P>
                    Written comments concerning this information collection should be sent to the Office of Information and Regulatory Affairs, Office of Management and Budget, 
                    <E T="03">Attn:</E>
                     DOJ Desk Officer. The best way to ensure your comments are received is to e-mail them to 
                    <E T="03">oira_submission@omb.eop.gov</E>
                     or fax them to 202-395-7285. All comments should reference the 8 digit OMB number for the collection or the title of the collection. If you have questions concerning the collection, please call Cathy Poston on 514-5430 or the DOJ Desk Officer at 202-395-3176.
                </P>
                <P>Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:</P>
                <P>(1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;</P>
                <P>(2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;</P>
                <P>(3) Enhance the quality, utility, and clarity of the information to be collected; and</P>
                <P>
                    (4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, 
                    <E T="03">e.g.,</E>
                     permitting electronic submission of responses.
                </P>
                <HD SOURCE="HD1">Overview of This Information Collection</HD>
                <P>
                    (1) 
                    <E T="03">Type of Information Collection:</E>
                     Extension of a currently approved collection.
                </P>
                <P>
                    (2) 
                    <E T="03">Title of the Form/Collection:</E>
                     Semi-Annual Progress Report for Grantees of the Legal Assistance for Victims Grant Program.
                </P>
                <P>
                    (3) 
                    <E T="03">Agency form number, if any, and the applicable component of the Department of Justice sponsoring the collection:</E>
                     Form Number: 1122-0007. U.S. Department of Justice, Office on Violence Against Women.
                </P>
                <P>
                    (4) 
                    <E T="03">Affected public who will be asked or required to respond, as well as a brief abstract:</E>
                     The affected public includes the approximately 200 grantees of the Legal Assistance for Victims Grant Program (LAV Program) whose eligibility is determined by statute. In 1998, Congress appropriated funding to provide civil legal assistance to domestic violence victims through a set-aside under the Grants to Combat Violence Against Women, Public Law 105-277. In the Violence Against Women Act of 2000 and again in 2005, Congress statutorily authorized the LAV Program. 42 U.S.C. 3796gg-6. The LAV Program is intended to increase the availability of legal assistance necessary to provide effective aid to victims of domestic violence, stalking, or sexual 
                    <PRTPAGE P="57077"/>
                    assault who are seeking relief in legal matters arising as a consequence of that abuse or violence. The LAV Program awards grants to law school legal clinics, legal aid or legal services programs, domestic violence victims' shelters, bar associations, sexual assault programs, private nonprofit entities, and Indian tribal governments. These grants are for providing direct legal services to victims of domestic violence, sexual assault, and stalking in matters arising from the abuse or violence and for providing enhanced training for lawyers representing these victims. The goal of the Program is to develop innovative, collaborative projects that provide quality representation to victims of domestic violence, sexual assault, and stalking.
                </P>
                <P>
                    (5) 
                    <E T="03">An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond/reply:</E>
                     It is estimated that it will take the approximately 200 respondents (LAV Program grantees) approximately one hour to complete a semi-annual progress report. The semi-annual progress report is divided into sections that pertain to the different types of activities that grantees may engage in and the different types of grantees that receive funds. An LAV Program grantee will only be required to complete the sections of the form that pertain to its own specific activities.
                </P>
                <P>
                    (6) 
                    <E T="03">An estimate of the total public burden (in hours) associated with the collection:</E>
                     The total annual hour burden to complete the data collection forms is 400 hours, that is 200 grantees completing a form twice a year with an estimated completion time for the form being one hour.
                </P>
                <P>If additional information is required contact: Jerri Murray, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Two Constitution Square, 145 N Street, NE., Room 2E-508, Washington, DC 20530.</P>
                <SIG>
                    <NAME>Jerri Murray,</NAME>
                    <TITLE>Department Clearance Officer, PRA, United States Department of Justice.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23642 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-FX-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
                <DEPDOC>[OMB Number 1122-0016]</DEPDOC>
                <SUBJECT>Agency Information Collection Activities: Extension of a Currently Approved Collection; Comments Requested Semi-Annual Progress Report for the Grantees From the Transitional Housing Assistance Grant Program</SUBJECT>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>30-Day Notice of Information Collection Under Review.</P>
                </ACT>
                <P>
                    The Department of Justice, Office on Violence Against Women (OVW) will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and approval in accordance with the Paperwork Reduction Act of 1995. The proposed information collection is published to obtain comments from the public and affected agencies. This proposed information collection was previously published in the 
                    <E T="04">Federal Register</E>
                     Volume 76, Number 133, pages 40934, on July 12, 2011, allowing for a 60-day comment period.
                </P>
                <P>The purpose of this notice is to allow for an additional 30 days for public comment until October 17, 2011. This process is conducted in accordance with 5 CFR 1320.10.</P>
                <P>
                    Written comments concerning this information collection should be sent to the Office of Information and Regulatory Affairs, Office of Management and Budget, 
                    <E T="03">Attn:</E>
                     DOJ Desk Officer. The best way to ensure your comments are received is to e-mail them to 
                    <E T="03">oira_submission@omb.eop.gov</E>
                     or fax them to 202-395-7285. All comments should reference the 8 digit OMB number for the collection or the title of the collection. If you have questions concerning the collection, please call Cathy Poston at 202-514-5430 or the DOJ Desk Officer at 202-395-3176.
                </P>
                <P>Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points:</P>
                <P>(1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;</P>
                <P>(2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used;</P>
                <P>(3) Enhance the quality, utility, and clarity of the information to be collected; and</P>
                <P>
                    (4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, 
                    <E T="03">e.g.,</E>
                     permitting electronic submission of responses.
                </P>
                <HD SOURCE="HD1">Overview of This Information Collection</HD>
                <P>
                    (1) 
                    <E T="03">Type of Information Collection:</E>
                     Extension of a currently approved collection.
                </P>
                <P>
                    (2) 
                    <E T="03">Title of the Form/Collection:</E>
                     Semi-Annual Progress Report for Grantees of the Transitional Housing Assistance Grant Program.
                </P>
                <P>
                    (3) 
                    <E T="03">Agency form number, if any, and the applicable component of the Department of Justice sponsoring the collection:</E>
                     Form Number: 1122-0016. U.S. Department of Justice, Office on Violence Against Women.
                </P>
                <P>
                    (4) 
                    <E T="03">Affected public who will be asked or required to respond, as well as a brief abstract:</E>
                     The affected public includes the approximately 120 grantees of the Transitional Housing Assistance Grant Program (Transitional Housing Program) whose eligibility is determined by statute. This discretionary grant program provides transitional housing, short-term housing assistance, and related support services for individuals who are homeless, or in need of transitional housing or other housing assistance, as a result of fleeing a situation of domestic violence, dating violence, sexual assault, or stalking, and for whom emergency shelter services or other crisis intervention services are unavailable or insufficient. Eligible applicants are States, units of local government, Indian tribal governments, and other organizations, including domestic violence and sexual assault victim services providers, domestic violence or sexual assault coalitions, other nonprofit, nongovernmental organizations, or community-based and culturally specific organizations, that have a documented history of effective work concerning domestic violence, dating violence, sexual assault, or stalking.
                </P>
                <P>
                    (5) 
                    <E T="03">An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond/reply:</E>
                     It is estimated that it will take the 120 respondents (grantees) approximately one hour to complete the semi-annual progress report. The semi-annual progress report is divided into sections that pertain to the different types of activities that grantees may engage in and the different types of grantees that receive funds. A 
                    <PRTPAGE P="57078"/>
                    Transitional Housing Program grantee will only be required to complete the sections of the form that pertain to its own specific activities.
                </P>
                <P>
                    (6) 
                    <E T="03">An estimate of the total public burden (in hours) associated with the collection:</E>
                     The total annual hour burden to complete the data collection forms is 240 hours, that is 120 grantees completing a form twice a year with an estimated completion time for the form being one hour.
                </P>
                <P>If additional information is required contact: Jerri Murray, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Two Constitution Square, 145 N Street NE., Room 2E-508, Washington, DC 20530.</P>
                <SIG>
                    <NAME>Jerri Murray,</NAME>
                    <TITLE>Department Clearance Officer, PRA, United States Department of Justice.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23643 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-FX-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
                <DEPDOC>[CPCLO Order No. 001-2011]</DEPDOC>
                <SUBJECT>Privacy Act of 1974; System of Records</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of the Pardon Attorney (OPA), Department of Justice.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of a Modification of a System of Records.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        Pursuant to the provisions of the Privacy Act of 1974 (5 U.S.C. 552a), notice is given that the Department of Justice proposes to modify a system of records notice, specifically the “Executive Clemency Case Files/Executive Clemency Tracking System,” JUSTICE/OPA-001, last published in the 
                        <E T="04">Federal Register</E>
                         on October 31, 2002 (67 FR 66417). This system notice is modified to include the following: (1) The system name has been changed to reflect OPA's new case tracking system, the Executive Clemency Records Database (ECRD), which replaces the Executive Clemency Tracking System; (2) removal and addition of, and changes to, routine uses of records maintained in the system; (3) clarification that the system contains records concerning persons who have been denied executive clemency, in addition to those who have applied for or been granted such clemency; and (4) other modifications to reflect current practices for the system of records. The entire notice is republished for the convenience of the public.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>In accordance with 5 U.S.C. 552a(e)(4) and (11), the public is given a 30-day period in which to comment. Therefore, please submit any comments by October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>The public, Office of Management and Budget (OMB), and the Congress are invited to submit any comments to the Privacy Analyst, Office of Privacy and Civil Liberties, Department of Justice, National Place Building, 1331 Pennsylvania Avenue, NW., Suite 1070, Washington, DC 20530.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Linda M. V. Bowe, Paralegal Specialist, 202.616.6070, Office of the Pardon Attorney, U.S. Department of Justice, Washington, DC 20530.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>The change in the text of the notice entitled “Executive Clemency Records Database (ECRD)/Executive Clemency Case Files” is shown below.</P>
                <P>In accordance with 5 U.S.C. 552a(r), the Department has provided a report to OMB and the Congress on the modified system of records.</P>
                <SIG>
                    <DATED>Dated: August 12, 2011.</DATED>
                    <NAME>Nancy C. Libin,</NAME>
                    <TITLE>Chief Privacy and Civil Liberties Officer, United States Department of Justice.</TITLE>
                </SIG>
                <PRIACT>
                    <HD SOURCE="HD1">JUSTICE/OPA-001</HD>
                    <HD SOURCE="HD2">System Name:</HD>
                    <P>Executive Clemency Records Database (ECRD)/Executive Clemency Case Files.</P>
                    <HD SOURCE="HD2">Security Classification:</HD>
                    <P>Unclassified.</P>
                    <HD SOURCE="HD2">System Location:</HD>
                    <P>Office of the Pardon Attorney (OPA), U.S. Department of Justice, Washington, DC 20530.</P>
                    <HD SOURCE="HD2">Categories Of Individuals Covered By The System:</HD>
                    <P>Individuals who have applied for or have been granted or denied executive clemency, and individuals who have corresponded with OPA, either directly or by referral, concerning persons who have applied for or have been granted or denied executive clemency. In addition, the categories of individuals covered by this system also include DOJ personnel, to include DOJ contractors, authorized to access and use the system.</P>
                    <HD SOURCE="HD2">Categories of Records in the System:</HD>
                    <P>
                        The system contains data, documents and correspondence, in hard copy and/or electronic format, concerning the individual case files of persons who have applied for or been granted or denied executive clemency, which may include the following: The clemency petition; character affidavits; investigatory material; court-related documents (e.g., presentence reports, judgments of conviction, and court opinions); official court-martial documents (in military cases); prison progress reports and U.S. Parole Commission notices of action; media reports (
                        <E T="03">e.g.</E>
                        , newspaper and magazine articles); and official and other correspondence (both generated and received, whether solicited or unsolicited), including correspondence received by OPA concerning an individual who has filed a clemency petition or is granted or denied clemency. Additionally, the system contains inter-agency and intra-agency reports as well as case notes, recommendations, and decisional documents generated throughout the deliberative process to assist OPA in formulating clemency recommendations to the President or otherwise performing its duties more efficiently. The system contains records regarding authorized system users, including audit log information and records relating to verification or authorization of an individual's access to the system.
                    </P>
                    <HD SOURCE="HD2">Authority for Maintenance of the System:</HD>
                    <P>The system is established and maintained in order to carry out the duties assigned by the President, pursuant to the power granted him under the United States Constitution, Article II, section 2, to the Department of Justice (DOJ) in Executive Order of the President 30-1, dated June 16, 1893; and Executive Order of the President No. 11878 (published at 40 FR 42731), as delegated by the Attorney General to OPA in 28 CFR 0.35 and 0.36 (Attorney General Order No. 1012-83, published at 48 FR 22290), and as described in 28 CFR 1.1 through 1.11 (Attorney General Order No. 1798-93, published at 58 FR 53658); and 44 U.S.C. 3101.</P>
                    <HD SOURCE="HD2">Purpose(s):</HD>
                    <P>
                        Executive clemency case files and the records contained within ECRD are maintained by the Attorney General or his designee to facilitate and document the functions of the Attorney General or his designee in receiving, investigating, and evaluating requests for executive clemency; preparing the necessary reports and recommendations from the DOJ to the President in clemency matters; serving as a liaison with clemency applicants and the public on clemency matters; and advising the President on the historical exercise of the clemency power. The system's use of computerized records facilitates an increased level of efficiency and automation with regard to the maintenance and use of information contained therein.
                        <PRTPAGE P="57079"/>
                    </P>
                    <HD SOURCE="HD2">Routine Uses of Records Maintained in the System, Including Categories of Users and Purposes of Such Uses:</HD>
                    <P>Information contained in this system may be disclosed as follows:</P>
                    <P>(a) To the President, and members of his staff, in order to assist him in the exercise of his constitutional clemency power.</P>
                    <P>(b) To any person or entity, whose comments on a particular clemency matter are solicited by OPA in connection with its investigation and review of a case, to the extent deemed by OPA to be necessary in order to enable such persons to respond to the request.</P>
                    <P>(c) To contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the federal government, when necessary to accomplish an agency function related to this system of records.</P>
                    <P>(d) To a private contractor or federal agency for the purpose of preparing bound and indexed volumes containing originals and/or photocopies of the official warrant of clemency granted each clemency recipient as a public and official record of Presidential action.</P>
                    <P>(e) Where a record, either alone or in conjunction with other information, indicates a violation or potential violation of law—criminal, civil, or regulatory in nature—the relevant records may be referred to the appropriate federal, state, local, territorial, tribal, or foreign law enforcement authority or other appropriate entity charged with the responsibility for investigating or prosecuting such violation or charged with enforcing or implementing such law.</P>
                    <P>(f) To a federal, state, local, or tribal agency, including prosecution, corrections, sentencing, parole, or probation authorities, in order to assist it in the execution of appropriate actions necessary to implement a Presidential clemency decision or in the performance of its official duties.</P>
                    <P>(g) To federal, state, local, territorial, tribal, foreign, or international licensing agencies or associations which require information concerning the suitability or eligibility of an individual for a license or permit.</P>
                    <P>(h) In an appropriate proceeding before a court, grand jury, or administrative or adjudicative body, when the DOJ determines that the records are arguably relevant to the proceeding; or in an appropriate proceeding before an administrative or adjudicative body when the adjudicator determines the records to be relevant to the proceeding.</P>
                    <P>(i) To the news media and the public, including disclosures pursuant to 28 CFR § 50.2, unless it is determined that release of the specific information in the context of a particular case would constitute an unwarranted invasion of personal privacy.</P>
                    <P>(j) To a Member of Congress or staff acting upon the Member's behalf when the Member or staff requests the information on behalf of, and at the request of, the individual who is the subject of the record.</P>
                    <P>(k) To the National Archives and Records Administration for purposes of records management inspections and accessions conducted under the authority of 44 U.S.C. 2904 and 2906.</P>
                    <P>(l) To former employees of the Department for purposes of: Responding to an official inquiry by a federal, state, local, or tribal government entity or professional licensing authority, in accordance with applicable Departmental regulations; or facilitating communications with a former employee that may be necessary for personnel-related or other official purposes where the Department requires information and/or consultation assistance from the former employee regarding a matter within that person's former area of responsibility.</P>
                    <P>(m) To appropriate agencies, entities, and persons when (1) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Department has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Department or another agency or entity) that rely upon the compromised information; and (3) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Department's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</P>
                    <P>(n) To appropriate officials and employees of a federal agency or entity when the information is relevant to a decision concerning the hiring, appointment, or retention of an employee; the assignment, detail, or deployment of an employee; the issuance, renewal, suspension, or revocation of a security clearance; the execution of a security or suitability investigation; the letting of a contract; or the issuance of a grant or benefit.</P>
                    <HD SOURCE="HD2">Disclosure to Consumer Reporting Agencies:</HD>
                    <P>None.</P>
                    <HD SOURCE="HD2">Policies and Practices for Storing, Retrieving, AcceSSING, Retaining, and Disposing of Records in the System:</HD>
                    <HD SOURCE="HD2">Storage:</HD>
                    <P>All records which are part of Executive Clemency Case Files are stored within OPA's work area in individual file folders in a secure file room or file cabinets with controlled access, and/or other appropriate GSA-approved security containers. All records which are part of ECRD are stored in electronic form in a secure client/server configuration.</P>
                    <HD SOURCE="HD2">Retrievability:</HD>
                    <P>
                        Individual case files which are part of Executive Clemency Case Files are retrieved primarily by the name of the person who applied for or was granted or denied executive clemency but also may be retrieved via any piece of uniquely identifying data (
                        <E T="03">i.e.,</E>
                         BOP register number, case file number, FBI number, or Social Security number).
                    </P>
                    <HD SOURCE="HD2">Safeguards:</HD>
                    <P>All records which are part of Executive Clemency Case Files are secured through the use of safes, locked file cabinets, and/or restricted access to the space in which they are located.</P>
                    <P>All records which are part of ECRD are safeguarded in accordance with DOJ rules and policies governing automated systems security and access; entry to the system takes place through individual login of OPA employees and other authorized DOJ personnel; mandatory training is required of all system users; and a thorough audit trail keeps track of user activity within ECRD.</P>
                    <HD SOURCE="HD2">Retention and Disposal:</HD>
                    <P>
                        All paper records are stored within OPA's work area while clemency is pending, and generally for up to two years after the date of final action. Closed case files are transferred to the Washington National Records Center in Suitland, Maryland one full year after the calendar year in which the case was closed. Except for copies of reports furnished to the President on particular clemency matters, clemency warrants and other documents reflecting the President's action in clemency cases, case files in any cases in which clemency is granted, case files in other cases designated by the Pardon Attorney as having significant public interest, and notices issued by OPA to the Office of Public Affairs of the DOJ, case files at the Washington National Records Center are destroyed no sooner than 25 years 
                        <PRTPAGE P="57080"/>
                        after the case is closed, in accordance with the Records Disposition Authority NC1-204-95-1, or successor Records Disposition Authority.
                    </P>
                    <P>All records within ECRD are maintained within the system while a clemency petition is pending and for fifteen years after the year in which the case was closed. Copies of all records pertaining to cases closed in the previous calendar year contained within the system are sent to NARA on an annual basis. OPA maintains legal custody of these records until fifteen years have elapsed, at which point the records within ECRD are destroyed and NARA becomes the legal custodian of the records. This change occurs in accordance with Records Disposition Authority DA-204-2011-0001 or successor Records Disposition Authority.</P>
                    <HD SOURCE="HD2">System Manager(s) and Address:</HD>
                    <P>Pardon Attorney, Office of the Pardon Attorney, U.S. Department of Justice, Washington, DC 20530.</P>
                    <HD SOURCE="HD2">Notification Procedure:</HD>
                    <P>
                        Address inquiries to the Pardon Attorney, Office of the Pardon Attorney, U.S. Department of Justice, Washington, DC 20530, or e-mail inquiries to 
                        <E T="03">USPardon.Attorney@usdoj.gov.</E>
                    </P>
                    <HD SOURCE="HD2">Record Access Procedures:</HD>
                    <P>The Attorney General has exempted executive clemency records from various provisions of the Privacy Act, including the access and amendment provisions, to the extent such exemptions apply pursuant to 5 U.S.C. 552a(j)(2). Where compliance would not appear to interfere with or adversely affect the purposes of the system or the law enforcement process, the applicable exemption (in whole or in part) may be waived by the OPA in its sole discretion. These requests for discretionary releases of records shall be made either in writing or via email to the system manager listed above with the envelope and letter or subject line clearly marked “Privacy Access Request.” Include in the request the general subject matter of the document. Provide full name, current address, date and place of birth, signature, all of (which must be either be notarized or submitted under penalty of perjury), and a return address or email address for transmitting the information.</P>
                    <HD SOURCE="HD2">Contesting Record Procedures:</HD>
                    <P>Same as Record Access Procedures.</P>
                    <HD SOURCE="HD2">Record Source Categories:</HD>
                    <P>Sources of information include: individual applicants for clemency, their representatives, and persons who write, confer with, or orally advise OPA concerning those applicants; investigatory reports of the Federal Bureau of Investigation, the Drug Enforcement Administration, the Internal Revenue Service, Immigration and Customs Enforcement agency of the Department of Homeland Security and other appropriate government agencies; records of the Federal Bureau of Prisons; reports of the Armed Forces; presentence reports provided by the Bureau of Prisons or the federal Probation Offices; reports of the U.S. Parole Commission; data provided by the Office of White House Counsel; comments and recommendations from current and former federal and state officials; and employees of the Department of Justice.</P>
                    <HD SOURCE="HD2">Exemptions Claimed for the System:</HD>
                    <P>
                        The Attorney General has exempted this system from subsections (c)(3), (c)(4), (d)(1), (d)(2), (d)(3), (d)(4), and (e)(5) of the Privacy Act pursuant to 5 U.S.C. 552a(j)(2). Rules have been promulgated in accordance with the requirements of 5 U.S.C. 553 (b), (c), and (e) and have been published in the 
                        <E T="04">Federal Register</E>
                        .
                    </P>
                </PRIACT>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23599 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-29-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
                <SUBAGY>Drug Enforcement Administration</SUBAGY>
                <SUBJECT>Importer of Controlled Substances; Notice of Registration</SUBJECT>
                <P>
                    By Notice dated June 7, 2011, and published in the 
                    <E T="04">Federal Register</E>
                     on June 16, 2011, 76 FR 35239, Noramco Inc., 1440 Olympic Drive, Athens, Georgia 30601, made application by letter to the Drug Enforcement Administration (DEA) to be registered as an importer of Phenylacetone (8501), a basic class of controlled substance listed in schedule II.
                </P>
                <P>The company plans to import the listed controlled substance in bulk for the manufacture of a controlled substance.</P>
                <P>No comments or objections have been received. DEA has considered the factors in 21 U.S.C. 823(a) and 952(a) and determined that the registration of Noramco Inc. to import the basic class of controlled substance is consistent with the public interest, and with United States obligations under international treaties, conventions, or protocols in effect on May 1, 1971. DEA has investigated Noramco Inc. to ensure that the company's registration is consistent with the public interest. The investigation has included inspection and testing of the company's physical security systems, verification of the company's compliance with state and local laws, and a review of the company's background and history. Therefore, pursuant to 21 U.S.C. 952(a) and 958(a), and in accordance with 21 CFR 1301.34, the above named company is granted registration as an importer of the basic class of controlled substance listed.</P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Joseph T. Rannazzisi,</NAME>
                    <TITLE> Deputy Assistant Administrator, Office of Diversion Control, Drug Enforcement Administration.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23620 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-09-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
                <SUBAGY>Drug Enforcement Administration</SUBAGY>
                <SUBJECT>Manufacturer of Controlled Substances; Notice of Application</SUBJECT>
                <P>Pursuant to § 1301.33(a), Title 21 of the Code of Federal Regulations (CFR), this is notice that on August 3, 2011, Chemic Laboratories, Inc., 480 Neponset Street, Building 7, Canton, Massachusetts 02021, made application by renewal to the Drug Enforcement Administration (DEA) to be registered as a bulk manufacturer of Cocaine (9041), a basic class of controlled substance listed in schedule II.</P>
                <P>The company plans to manufacture small quantities of the above listed controlled substance for distribution to its customers for the purpose of research.</P>
                <P>Any other such applicant, and any person who is presently registered with DEA to manufacture such substance, may file comments or objections to the issuance of the proposed registration pursuant to 21 CFR 1301.33(a).</P>
                <P>Any such written comments or objections should be addressed, in quintuplicate, to the Drug Enforcement Administration, Office of Diversion Control, Federal Register Representative (ODL), 8701 Morrissette Drive, Springfield, Virginia 22152; and must be filed no later than November 14, 2011.</P>
                <SIG>
                    <DATED>Dated: September 9, 2011.</DATED>
                    <NAME>Joseph T. Rannazzisi,</NAME>
                    <TITLE>Deputy Assistant Administrator, Office of Diversion Control, Drug Enforcement Administration.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23617 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-09-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <PRTPAGE P="57081"/>
                <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
                <SUBAGY>Federal Bureau of Investigation</SUBAGY>
                <DEPDOC>[OMB Number 1110-0008]</DEPDOC>
                <SUBJECT>Agency Information Collection Activities: Proposed Collection, Comments Requested; Extension of a Currently Approved Collection; Monthly Return of Arson Offenses Known to Law Enforcement</SUBJECT>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>60-day Notice of Information Collection Under Review.</P>
                </ACT>
                <P>The Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Division (CJIS) will be submitting the following information collection request to the Office of Management and Budget (OMB) for review and clearance in accordance with established review procedures of the Paperwork Reduction Act of 1995. The proposed information collection is published to obtain comments from the public and affected agencies.</P>
                <P>Comments are encouraged and will be accepted until November 14, 2011. This process is conducted in accordance with 5 CFR 1320.10.</P>
                <P>All comments, suggestions, or questions regarding additional information, to include obtaining a copy of the proposed information collection instrument with instructions, should be directed to Mr. Gregory E. Scarbro, Unit Chief, Federal Bureau of Investigation, CJIS Division, Module E-3, 1000 Custer Hollow Road, Clarksburg, West Virginia 26306, or facsimile to (304) 625-3566.</P>
                <P>Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Comments should address one or more of the following four points:</P>
                <P>(1) Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;</P>
                <P>(2) Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and  assumptions used;</P>
                <P>(3) Enhance the quality, utility, and clarity of the information to be collected; and</P>
                <P>
                    (4) Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, 
                    <E T="03">e.g.,</E>
                     permitting electronic submission of responses.
                </P>
                <P>Overview of this information collection:</P>
                <P>
                    (1) 
                    <E T="03">Type of information collection:</E>
                     Extension of a currently approved collection.
                </P>
                <P>
                    (2) 
                    <E T="03">The title of the form/collection:</E>
                     Monthly Return of Arson Offenses Known to Law Enforcement.
                </P>
                <P>
                    (3) 
                    <E T="03">The agency form number, if any, and the applicable component of the department sponsoring the collection:</E>
                     Form Number: 1-725;
                </P>
                <P>
                    <E T="03">Sponsor:</E>
                     Criminal Justice Information Division, Federal Bureau of Investigation, Department of Justice.
                </P>
                <P>
                    (4) 
                    <E T="03">Affected public who will be asked or required to respond, as well as a brief abstract:</E>
                     Primary: City, county, state, federal, and tribal law enforcement agencies. Brief Abstract: This collection is needed to collect information on arson incidents committed throughout the United States.
                </P>
                <P>
                    (5) 
                    <E T="03">An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond:</E>
                     There are approximately 18,108 law enforcement agency respondents that submit monthly for a total of 217,296 responses with an estimated response time of 9 minutes per response.
                </P>
                <P>
                    (6) 
                    <E T="03">An estimate of the total public burden (in hours) associated with this collection:</E>
                     There are approximately 32,594 hours, annual burden, associated with this information collection.
                </P>
                <P>If additional information is required contact: Jerri Murray, Department Clearance Officer, Policy and Planning Staff, Justice Management Division, United States Department of Justice, Two Constitution Square, 145 N Street, NE., Room 2E-508, Washington, DC 20530.</P>
                <SIG>
                    <NAME>Jerri Murray,</NAME>
                    <TITLE>Department Clearance Officer, PRA, United States Department of Justice.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23618 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-02-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF JUSTICE</AGENCY>
                <SUBAGY>Bureau of Prisons</SUBAGY>
                <SUBJECT>Annual Determination of Average Cost of Incarceration</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Bureau of Prisons, Justice.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The fee to cover the average cost of incarceration for Federal inmates in Fiscal Year 2010 was $28,284. The average annual cost to confine an inmate in a Community Corrections Center for Fiscal Year 2010 was $25,838.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Effective Date:</E>
                         September 15, 2011.
                    </P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Office of General Counsel, Federal Bureau of Prisons, 320 First St., NW., Washington, DC 20534.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Sarah Qureshi, (202) 307-2105.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>28 CFR part 505 allows for assessment and collection of a fee to cover the average cost of incarceration for Federal inmates. We calculate this fee by dividing the number representing Bureau facilities' monetary obligation (excluding activation costs) by the number of inmate-days incurred for the preceding fiscal year, and then by multiplying the quotient by 365.</P>
                <P>Under § 505.2, the Director of the Bureau of Prisons determined that, based upon fiscal year 2010 data, the fee to cover the average cost of incarceration for Federal inmates in Fiscal Year 2010 was $28,284. The average annual cost to confine an inmate in a Community Corrections Center for Fiscal Year 2010 was $25,838.</P>
                <SIG>
                    <NAME>Thomas R. Kane,</NAME>
                    <TITLE>Acting Director, Bureau of Prisons.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23689 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4410-05-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">LEGAL SERVICES CORPORATION</AGENCY>
                <SUBJECT>Sunshine Act Meeting; Board of Directors</SUBJECT>
                <PREAMHD>
                    <HD SOURCE="HED">TIME AND DATE:</HD>
                    <P>The Legal Services Corporation (“LSC” or “Corporation”) Board of Directors (“Board”) will meet telephonically on September 19, 2011 at 11 a.m., Eastern Time.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">Location:</HD>
                    <P>Legal Services Corporation, F. William McCalpin Conference Center, 3333 K Street, NW., Washington, DC 20007.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">STATUS OF MEETING:</HD>
                    <P> Open.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">PUBLIC OBSERVATION:</HD>
                    <P> Members of the public who wish to listen to the proceedings may do so by following the telephone call-in directions given below but are asked to keep their telephones muted to eliminate background noises. From time to time the Chairman may solicit comments from the public.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">CALL-IN DIRECTIONS FOR OPEN SESSION(S):</HD>
                    <P/>
                    <P>• Call toll-free number: 1-(866) 451-4981;</P>
                    <P>• When prompted, enter the following numeric pass code: 5907707348;</P>
                    <P>• When connected to the call, please “Mute” your telephone immediately.</P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">MATTERS TO BE CONSIDERED:</HD>
                    <P>
                         
                        <PRTPAGE P="57082"/>
                    </P>
                </PREAMHD>
                <HD SOURCE="HD1">Board of Directors</HD>
                <HD SOURCE="HD2">Agenda</HD>
                <HD SOURCE="HD2">Open Session</HD>
                <P>1. Approval of agenda.</P>
                <P>2. Consider and act on the recommendation of the Operations &amp; Regulations Committee regarding specific approach and statutory language change(s) to suggest to the White House and Congress for replacement of decennial census poverty data in distributing LSC field grants.</P>
                <P>3. Consider and act on the Finance Committee's recommendation to the Board a to LSC's appropriations request for FY 2013 (Resolution 2011-012).</P>
                <FP SOURCE="FP-1">—Presentation by David Richardson, LSC's Treasurer &amp; Comptroller.</FP>
                <FP SOURCE="FP-1">—Comments by John Constance, Director of LSC's Office of Government Relations &amp; Public Affairs.</FP>
                <FP SOURCE="FP-1">—Comments by Jeffrey Schanz, LSC's Inspector General.</FP>
                <P>4. Consider and act on renaming of the Board's Development Committee (Resolution 2011-013).</P>
                <P>5. Other Business.</P>
                <P>6. Consider and act on adjournment of meeting.</P>
                <PREAMHD>
                    <HD SOURCE="HED">CONTACT PERSON FOR INFORMATION:</HD>
                    <P>
                        Katherine Ward, Executive Assistant to the Corporate Secretary, at (202) 295-1500. Questions may be sent by electronic mail to 
                        <E T="03">FR_NOTICE_QUESTIONS@lsc.gov.</E>
                    </P>
                </PREAMHD>
                <PREAMHD>
                    <HD SOURCE="HED">ACCESSIBILITY:</HD>
                    <P>
                        LSC complies with the American's with Disabilities Act and Section 504 of the 1973 Rehabilitation Act. Upon request, meeting notices and materials will be made available in alternative formats to accommodate individuals with disabilities. Individuals that need other accommodations due to disability in order to attend the meeting in person or telephonically should contact Katherine Ward at (202) 295-1500 or 
                        <E T="03">FR_NOTICE_QUESTIONS@lsc.gov,</E>
                         at least 2 business days in advance of the meeting. If a request is made without advance notice, LSC will make every effort to accommodate the request but cannot guarantee that all requests can be fulfilled.
                    </P>
                </PREAMHD>
                <SIG>
                    <DATED>September 12, 2011.</DATED>
                    <NAME>Victor M. Fortuno,</NAME>
                    <TITLE>Vice President &amp; General Counsel.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23734 Filed 9-13-11; 11:15 am]</FRDOC>
            <BILCOD>BILLING CODE 7050-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">NUCLEAR REGULATORY COMMISSION</AGENCY>
                <SUBJECT>Advisory Committee on Reactor Safeguards; Meeting of the ACRS Subcommittee on Materials, Metallurgy &amp; Reactor Fuels</SUBJECT>
                <HD SOURCE="HD1"> Revision to September 21, 2011, ACRS Meeting; Federal Register Notice</HD>
                <P>
                    The 
                    <E T="04">Federal Register</E>
                     Notice for the ACRS Subcommittee Meeting on Materials, Metallurgy and Reactor Fuels is being revised to correct the meeting date to Wednesday, September 21, 2011.
                </P>
                <P>
                    The notice of this meeting was previously published in the 
                    <E T="04">Federal Register</E>
                     on Wednesday, September 8, 2011, [76 FR 55718]. All other items remain the same as previously published.
                </P>
                <P>If attending this meeting, please contact Mr. Theron Brown (Telephone 240-888-9835) to be escorted to the meeting room.</P>
                <SIG>
                    <DATED>Dated: September 8, 2011.</DATED>
                    <NAME>Cayetano Santos,</NAME>
                    <TITLE>Chief, Technical Support Branch Advisory Committee on Reactor Safeguards.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23627 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7590-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">PENSION BENEFIT GUARANTY CORPORATION</AGENCY>
                <SUBJECT>Premium Penalty Relief; Alternative Premium Funding Target Election Relief</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Pension Benefit Guaranty Corporation.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>Executive Order 13563 on Improving Regulation and Regulatory Review directs agencies to review and improve their regulatory processes. As a result of this regulatory review, and in response to comments by premium payers and pension professionals, PBGC is providing relief from certain premium penalties and in certain situations involving alternative premium funding target elections.</P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Catherine B. Klion, Manager, Regulatory and Policy Division, Legislative and Regulatory Department, 1200 K Street, NW., Washington, DC 20005-4026, 202-326-4024 or 
                        <E T="03">klion.catherine@pbgc.gov.</E>
                         (TTY and TDD users may call the Federal relay service toll-free at 1-800-877-8339 and ask to be connected to 202-326-4024).
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <P>As a result of PBGC's regulatory review under Executive Order 13563 and in response to comments by premium payers and pension professionals, PBGC is granting relief in several situations:</P>
                <P>• For 2011 and later plan years, PBGC will waive premium penalties assessed solely because payments are late by not more than seven calendar days.</P>
                <P>
                    • For 2010 and later plan years, PBGC is providing relief similar to, but more expansive, than the relief provided in Technical Update 10-2 (Variable Rate Premiums; Alternative Premium Funding Target Elections; Box 5 Relief).
                    <SU>1</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         
                        <E T="03">http://www.pbgc.gov/res/other-guidance/tu/tu10-2.html</E>
                         .
                    </P>
                </FTNT>
                <P>• For 2008 and 2009 plan years, PBGC will waive premium penalties for late premiums in connection with certain box 5 errors.</P>
                <HD SOURCE="HD1">Seven Day Rule</HD>
                <P>Under ERISA section 4007 and PBGC's regulation on Payment of Premiums (29 CFR part 4007), late payment charges—interest and late payment penalties—apply to required annual premium payments that are not timely made. Penalties (but not interest) may be waived in accordance with the premium payment regulation. PBGC's premium penalty policy is set forth in the appendix to the premium payment regulation.</P>
                <P>
                    For plan years beginning after 2010, PBGC will automatically waive premium payment penalties that are assessed solely because premium payments are late by not more than seven calendar days.
                    <SU>2</SU>
                    <FTREF/>
                     In applying this policy, PBGC will assume that each premium payment was made seven calendar days before it was actually made. All other rules will then be applied as usual. If the result of this procedure is that no penalty would arise, then any penalty assessed on the basis of the actual payment dates will be waived. Filers may seek reconsideration of late payment penalties assessed in circumstances to which the relief under this Notice does not apply.
                </P>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         The premium penalty relief described in this notice does not apply to late payment interest charges, to penalties for failure to timely file required premium information, or to penalties for late payment of termination premiums.
                    </P>
                </FTNT>
                <HD SOURCE="HD1">Alternative Premium Funding Target Elections</HD>
                <P>
                    For plan years beginning after 2007, PBGC's premium regulations allow a plan to elect to use the alternative premium funding target to calculate its variable rate premium (VRP). The regulations require that such an election be filed with PBGC before the VRP due date. A plan makes an election by 
                    <PRTPAGE P="57083"/>
                    checking box 5 in part II (Alternative Premium Funding Target Election) of the comprehensive premium filing for the first plan year to which the election applies.
                    <SU>3</SU>
                    <FTREF/>
                     If an election to use the alternative premium funding target is not in effect, the plan must calculate its VRP using the standard premium funding target.
                    <SU>4</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         Premium information must be submitted electronically. PBGC provides on its Web site, 
                        <E T="03">http://www.pbgc.gov,</E>
                         filing instructions that include an illustrative form with a line number for each data element. This Notice refers to those line numbers.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         This Notice will refer to use of the alternative premium funding target as the “alternative method” and to use of the standard premium funding target as the “standard method.”
                    </P>
                </FTNT>
                <P>For 2008 and 2009 plan years, over ninety-five percent of the plans that used the alternative method filed valid elections to do so. However, some plans that used the alternative method did not make a valid election to do so and later requested that PBGC treat them as having made a valid election. In response, on June 16, 2010, PBGC issued Technical Update 10-2, under which a plan was deemed to have made a valid election if certain conditions were met.</P>
                <P>Most plans with box 5 errors for 2008 or 2009 plan years were eligible for the Technical Update 10-2 relief or were granted similar relief upon reconsideration based on the facts and circumstances. PBGC spent considerable time reviewing requests for reconsideration to ensure that due process was followed, that plans with similar situations were treated consistently, and that discretion was exercised fairly and reasonably. To date, PBGC has denied fewer than 50 requests for reconsideration with respect to box 5 errors in 2008 or 2009 plan years.</P>
                <P>Premium payers and pension professionals requested further relief from box 5 errors, including relief for plan years starting after 2009 and relief for plans that did not qualify for the Technical Update 10-2 relief for 2008 and 2009 plan years.</P>
                <HD SOURCE="HD1">Relief for Plan Years Beginning After 2009</HD>
                <P>PBGC has taken steps to reduce box 5 errors for 2010 and later plan years. The agency has modified its online Premium Filing application (MyPAA) to provide additional “error check” or “alert” notices. PBGC assists vendors with their systems and encourages vendors to have similar error check and alert notices as MyPAA. PBGC urges all filers to check filings to avoid making errors, pay close attention to the MyPAA warnings, and print and save receipts showing that filings are actually submitted.</P>
                <P>
                    Despite these efforts, PBGC still occasionally finds box 5 errors. PBGC is providing relief similar to, but more expansive, than the relief provided in Technical Update 10-2 for plan years beginning after 2009. Specifically, relief is available where the plan used the alternative method to determine the VRP for the applicable plan year without filing a valid election to do so for the applicable plan year or a prior plan year. Similar relief is available where the plan used the standard method, but inadvertently made an election to use the alternative method for the applicable plan year (
                    <E T="03">e.g.,</E>
                     box 5 was checked because of an errant mouse click).
                </P>
                <P>In either case, PBGC bases its determination of which method was used to determine the VRP for the applicable plan year solely on the information reported in line 7d(1) of part III (Premium Information). For example, if “alternative” is checked, PBGC determines that the alternative method was used.</P>
                <P>If an election to use the alternative method is invalid solely because the filing was submitted after the due date, relief is available only if the filing is not an amendment of a timely filing in which the plan used the standard method to determine the VRP and the filing is submitted by the earlier of:</P>
                <P>• The 90th day after the filing due date.</P>
                <P>
                    • The 30th day after the date of any PBGC notification that no filing has been received.
                    <SU>5</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         PBGC generally notifies plans within 30 days of the filing due date.
                    </P>
                </FTNT>
                <P>
                    PBGC is contacting plans entitled to this relief to explain the options and actions required, if any (
                    <E T="03">e.g.,</E>
                     whether the inconsistent filing must be amended). Plans that do not qualify for this relief may seek reconsideration based on the facts and circumstances.
                </P>
                <HD SOURCE="HD1">Premium Penalty Relief for 2008 and 2009 Plan Years</HD>
                <P>In situations where a plan with a box 5 error for 2008 or 2009 plan years was not eligible for the Technical Update 10-2 relief and a request for reconsideration was denied (or not submitted), the plan was required to amend the applicable premium filing and recalculate the VRP using the standard method. In some cases, this resulted in additional premium being due. Because the additional premium was paid after the due date, late payment charges (penalties and interest) were assessed on the additional premium. In many cases, the late payment penalties were equal to 100 percent of the additional premium. In response to concerns of premium payers and pension professionals, PBGC will waive premium penalties in connection with these errors for 2008 and 2009 plan years.</P>
                <P>PBGC will also waive premium penalties for plans that used the standard method but inadvertently checked box 5 and were required to recalculate the VRP using the alternative method.</P>
                <P>PBGC will contact plans entitled to this penalty relief. If a plan entitled to this relief has already paid the late payment penalty, the penalty amount will be converted into a credit that can be used to offset future premiums. If a plan entitled to this relief has not amended the relevant filing and paid the additional premium due, PBGC will waive the penalty only if the filing is amended and the additional premium paid within 30 days of the notification.</P>
                <HD SOURCE="HD1">Contact information</HD>
                <P>
                    For questions, contact Robert Callahan of the Financial Operations Department at 202-326-4067, ext. 3258, or 
                    <E T="03">callahan.robert@pbgc.gov</E>
                     or Bill O'Neill, at 202-346-4067, ext. 6758, or 
                    <E T="03">oneill.bill@pbgc.gov</E>
                    .
                </P>
                <SIG>
                    <DATED>Issued in Washington, DC this 9th day of September, 2011.</DATED>
                    <NAME>Joshua Gotbaum,</NAME>
                    <TITLE>Director, Pension Benefit Guaranty Corporation.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23692 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7709-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">POSTAL REGULATORY COMMISSION</AGENCY>
                <DEPDOC>[Docket No. A2011-61; Order No. 842]</DEPDOC>
                <SUBJECT>Post Office Closing</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Postal Regulatory Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This document informs the public that an appeal of the closing of the Etna, New York post office has been filed. It identifies preliminary steps and provides a procedural schedule. Publication of this document will allow the Postal Service, petitioners, and others to take appropriate action.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Administrative record due (from Postal Service</E>
                        ): September 19, 2011; 
                        <E T="03">deadline for notices to intervene:</E>
                         October 3, 2011. 
                        <E T="03">See</E>
                         the Procedural Schedule in the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for other dates of interest.
                    </P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit comments electronically by accessing the “Filing 
                        <PRTPAGE P="57084"/>
                        Online” link in the banner at the top of the Commission's Web site (
                        <E T="03">http://www.prc.gov</E>
                         ) or by directly accessing the Commission's Filing Online system at 
                        <E T="03">https://www.prc.gov/prc-pages/filing-online/login.aspx</E>
                         . Commenters who cannot submit their views electronically should contact the person identified in the 
                        <E T="02">FOR FURTHER INFORMATION CONTACT</E>
                         section as the source for case-related information for advice on alternatives to electronic filing. 
                        <E T="02">FURTHER INFORMATION CONTACT</E>
                         section as the source for case-related information for advice on alternatives to electronic filing.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Stephen L. Sharfman, General Counsel, at 202-789-6820 (case-related information) or 
                        <E T="03">DocketAdmins@prc.gov</E>
                         (electronic filing assistance).
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>Notice is hereby given that, pursuant to 39 U.S.C. 404(d), on September 2, 2011, the Commission received a petition for review of the Postal Service's determination to close the Etna post office in Etna, New York. The petition was filed by Heather Marshall (Petitioner) and is postmarked August 24, 2011. The Commission hereby institutes a proceeding under 39 U.S.C. 404(d)(5) and establishes Docket No. A2011-61 to consider Petitioner's appeal. If Petitioner would like to further explain her position with supplemental information or facts, Petitioner may either file a Participant Statement on PRC Form 61 or file a brief with the Commission no later than October 7, 2011.</P>
                <P>
                    <E T="03">Categories of issues apparently raised.</E>
                     Petitioner contends that: (1) The Postal Service failed to consider whether or not it will continue to provide a maximum degree of effective and regular postal services to the community (
                    <E T="03">see</E>
                     39 U.S.C. 404(d)(2)(A)(iii)); and (2) the Postal Service failed to adequately consider the economic savings resulting from the closure (
                    <E T="03">see</E>
                     39 U.S.C. 404(d)(2)(A)(iv)).
                </P>
                <P>
                    After the Postal Service files the administrative record and the Commission reviews it, the Commission may find that there are more legal issues than those set forth above, or that the Postal Service's determination disposes of one or more of those issues. The deadline for the Postal Service to file the applicable administrative record with the Commission is September 19, 2011. 
                    <E T="03">See</E>
                     39 CFR 3001.113. In addition, the due date for any responsive pleading by the Postal Service to this Notice is September 19, 2011.
                </P>
                <P>
                    <E T="03">Availability; Web site posting.</E>
                     The Commission has posted the appeal and supporting material on its Web site at 
                    <E T="03">http://www.prc.gov.</E>
                     Additional filings in this case and participants' submissions also will be posted on the Commission's Web site, if provided in electronic format or amenable to conversion, and not subject to a valid protective order. Information on how to use the Commission's Web site is available online or by contacting the Commission's webmaster via telephone at 202-789-6873 or via electronic mail at 
                    <E T="03">prc-webmaster@prc.gov.</E>
                </P>
                <P>
                    The appeal and all related documents are also available for public inspection in the Commission's docket section. Docket section hours are 8 a.m. to 4:30 p.m., eastern time, Monday through Friday, except on Federal government holidays. Docket section personnel may be contacted via electronic mail at 
                    <E T="03">prc-dockets@prc.gov</E>
                     or via telephone at 202-789-6846.
                </P>
                <P>
                    <E T="03">Filing of documents.</E>
                     All filings of documents in this case shall be made using the Internet (Filing Online) pursuant to Commission rules 9(a) and 10(a) at the Commission's Web site, 
                    <E T="03">http://www.prc.gov</E>
                     , unless a waiver is obtained. 
                    <E T="03">See</E>
                     39 CFR 3001.9(a) and 3001.10(a). Instructions for obtaining an account to file documents online may be found on the Commission's Web site or by contacting the Commission's docket section at 
                    <E T="03">prc-dockets@prc.gov</E>
                     or via telephone at 202-789-6846.
                </P>
                <P>The Commission reserves the right to redact personal information which may infringe on an individual's privacy rights from documents filed in this proceeding.</P>
                <P>
                    <E T="03">Intervention.</E>
                     Persons, other than Petitioner and respondent, wishing to be heard in this matter are directed to file a notice of intervention. 
                    <E T="03">See</E>
                     39 CFR 3001.111(b). Notices of intervention in this case are to be filed on or before October 3, 2011. A notice of intervention shall be filed using the Internet (Filing Online) at the Commission's Web site unless a waiver is obtained for hardcopy filing. 
                    <E T="03">See</E>
                     39 CFR 3001.9(a) and 3001.10(a).
                </P>
                <P>
                    <E T="03">Further procedures.</E>
                     By statute, the Commission is required to issue its decision within 120 days from the date it receives the appeal. 
                    <E T="03">See</E>
                     39 U.S.C. 404(d)(5). A procedural schedule has been developed to accommodate this statutory deadline. In the interest of expedition, in light of the 120-day decision schedule, the Commission may request the Postal Service or other participants to submit information or memoranda of law on any appropriate issue. As required by the Commission rules, if any motions are filed, responses are due 7 days after any such motion is filed. 
                    <E T="03">See</E>
                     39 CFR 3001.21.
                </P>
                <P>
                    <E T="03">It is ordered:</E>
                </P>
                <P>1. The Postal Service shall file the applicable administrative record regarding this appeal no later than September 19, 2011.</P>
                <P>2. Any responsive pleading by the Postal Service to this notice is due no later than September 19, 2011.</P>
                <P>3. The procedural schedule listed below is hereby adopted.</P>
                <P>4. Pursuant to 39 U.S.C. 505, Malin Moench is designated officer of the Commission (Public Representative) to represent the interests of the general public.</P>
                <P>
                    5. The Secretary shall arrange for publication of this notice and order in the 
                    <E T="04">Federal Register</E>
                    .
                </P>
                <SIG>
                    <P>By the Commission.</P>
                    <NAME>Shoshana M. Grove,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
                <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="s80,r100">
                    <TTITLE>Procedural Schedule</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1"> </CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">September 2, 2011</ENT>
                        <ENT>Filing of Appeal.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">September 19, 2011</ENT>
                        <ENT>Deadline for the Postal Service to file the applicable administrative record in this appeal.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">September 19, 2011</ENT>
                        <ENT>Deadline for the Postal Service to file any responsive pleading.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 3, 2011</ENT>
                        <ENT>
                            Deadline for notices to intervene (
                            <E T="03">see</E>
                             39 CFR 3001.111(b)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 7, 2011</ENT>
                        <ENT>
                            Deadline for Petitioner's Form 61 or initial brief in support of petition (
                            <E T="03">see</E>
                             39 CFR 3001.115(a) and (b)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 27, 2011</ENT>
                        <ENT>
                            Deadline for answering brief in support of the Postal Service (
                            <E T="03">see</E>
                             39 CFR 3001.115(c)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">November 14, 2011</ENT>
                        <ENT>
                            Deadline for reply briefs in response to answering briefs (
                            <E T="03">see</E>
                             39 CFR 3001.115(d)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">November 21, 2011</ENT>
                        <ENT>
                            Deadline for motions by any party requesting oral argument; the Commission will schedule oral argument only when it is a necessary addition to the written filings (
                            <E T="03">see</E>
                             39 CFR 3001.116).
                        </ENT>
                    </ROW>
                    <ROW>
                        <PRTPAGE P="57085"/>
                        <ENT I="01">December 22, 2011</ENT>
                        <ENT>
                            Expiration of the Commission's 120-day decisional schedule (
                            <E T="03">see</E>
                             39 U.S.C. 404(d)(5)).
                        </ENT>
                    </ROW>
                </GPOTABLE>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23591 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7710-FW-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">POSTAL REGULATORY COMMISSION</AGENCY>
                <DEPDOC>[Docket No. A2011-63; Order No. 846]</DEPDOC>
                <SUBJECT>Post Office Closing</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Postal Regulatory Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This document informs the public that an appeal of the closing of the South International Falls, Minnesota post office has been filed. It identifies preliminary steps and provides a procedural schedule. Publication of this document will allow the Postal Service, petitioners, and others to take appropriate action.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Administrative record due (from Postal Service</E>
                        ): September 21, 2011; 
                        <E T="03">deadline for notices to intervene:</E>
                         October 4, 2011. 
                        <E T="03">See</E>
                         the Procedural Schedule in the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for other dates of interest.
                    </P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit comments electronically by accessing the “Filing Online” link in the banner at the top of the Commission's Web site (
                        <E T="03">http://www.prc.gov</E>
                        ) or by directly accessing the Commission's Filing Online system at 
                        <E T="03">https://www.prc.gov/prc-pages/filing-online/login.aspx.</E>
                         Commenters who cannot submit their views electronically should contact the person identified in the 
                        <E T="02">FOR FURTHER INFORMATION CONTACT</E>
                         section as the source for case-related information for advice on alternatives to electronic filing.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Stephen L. Sharfman, General Counsel, at 202-789-6820 (case-related information) or 
                        <E T="03">DocketAdmins@prc.gov</E>
                         (electronic filing assistance).
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>Notice is hereby given that, pursuant to 39 U.S.C. 404(d), on September 6, 2011, the Commission received a petition for review of the Postal Service's determination to close the South International Falls post office in South International Falls, Minnesota. The petition was filed by the Concerned Citizens of South International Falls, Minnesota (Petitioner) and is postmarked August 27, 2011. The Commission hereby institutes a proceeding under 39 U.S.C. 404(d)(5) and establishes Docket No. A2011-63 to consider Petitioner's appeal. If Petitioner would like to further explain its position with supplemental information or facts, Petitioner may either file a Participant Statement on PRC Form 61 or file a brief with the Commission no later than October 11, 2011.</P>
                <P>
                    <E T="03">Categories of issues apparently raised.</E>
                     Petitioner contends that the Postal Service failed to consider the effect of the closing on the community. 
                    <E T="03">See</E>
                     39 U.S.C. 404(d)(2)(A)(i).
                </P>
                <P>
                    After the Postal Service files the administrative record and the Commission reviews it, the Commission may find that there are more legal issues than the one set forth above, or that the Postal Service's determination disposes of one or more of those issues. The deadline for the Postal Service to file the applicable administrative record with the Commission is September 21, 2011. 
                    <E T="03">See</E>
                     39 CFR 3001.113. In addition, the due date for any responsive pleading by the Postal Service to this Notice is September 21, 2011.
                </P>
                <P>
                    <E T="03">Availability; Web site posting.</E>
                     The Commission has posted the appeal and supporting material on its Web site at 
                    <E T="03">http://www.prc.gov.</E>
                     Additional filings in this case and participants' submissions also will be posted on the Commission's Web site, if provided in electronic format or amenable to conversion, and not subject to a valid protective order. Information on how to use the Commission's Web site is available online or by contacting the Commission's webmaster via telephone at 202-789-6873 or via electronic mail at 
                    <E T="03">prc-webmaster@prc.gov.</E>
                </P>
                <P>
                    The appeal and all related documents are also available for public inspection in the Commission's docket section. Docket section hours are 8 a.m. to 4:30 p.m., eastern time, Monday through Friday, except on Federal government holidays. Docket section personnel may be contacted via electronic mail at 
                    <E T="03">prc-dockets@prc.gov</E>
                     or via telephone at 202-789-6846.
                </P>
                <P>
                    <E T="03">Filing of documents.</E>
                     All filings of documents in this case shall be made using the Internet (Filing Online) pursuant to Commission rules 9(a) and 10(a) at the Commission's Web site, 
                    <E T="03">http://www.prc.gov,</E>
                     unless a waiver is obtained. 
                    <E T="03">See</E>
                     39 CFR 3001.9(a) and 3001.10(a). Instructions for obtaining an account to file documents online may be found on the Commission's Web site or by contacting the Commission's docket section at 
                    <E T="03">prc-dockets@prc.gov</E>
                     or via telephone at 202-789-6846.
                </P>
                <P>The Commission reserves the right to redact personal information which may infringe on an individual's privacy rights from documents filed in this proceeding.</P>
                <P>
                    <E T="03">Intervention.</E>
                     Persons, other than Petitioner and respondent, wishing to be heard in this matter are directed to file a notice of intervention. 
                    <E T="03">See</E>
                     39 CFR 3001.111(b). Notices of intervention in this case are to be filed on or before October 4, 2011. A notice of intervention shall be filed using the Internet (Filing Online) at the Commission's Web site unless a waiver is obtained for hardcopy filing. 
                    <E T="03">See</E>
                     39 CFR 3001.9(a) and 3001.10(a).
                </P>
                <P>
                    <E T="03">Further procedures.</E>
                     By statute, the Commission is required to issue its decision within 120 days from the date it receives the appeal. 
                    <E T="03">See</E>
                     39 U.S.C. 404(d)(5). A procedural schedule has been developed to accommodate this statutory deadline. In the interest of expedition, in light of the 120-day decision schedule, the Commission may request the Postal Service or other participants to submit information or memoranda of law on any appropriate issue. As required by the Commission rules, if any motions are filed, responses are due 7 days after any such motion is filed. 
                    <E T="03">See</E>
                     39 CFR 3001.21.
                </P>
                <P>
                    <E T="03">It is ordered:</E>
                </P>
                <P>1. The Postal Service shall file the applicable administrative record regarding this appeal no later than September 21, 2011.</P>
                <P>2. Any responsive pleading by the Postal Service to this notice is due no later than September 21, 2011.</P>
                <P>3. The procedural schedule listed below is hereby adopted.</P>
                <P>4. Pursuant to 39 U.S.C. 505, Kenneth E. Richardson is designated officer of the Commission (Public Representative) to represent the interests of the general public.</P>
                <P>
                    5. The Secretary shall arrange for publication of this notice and order in the 
                    <E T="04">Federal Register</E>
                    .
                </P>
                <SIG>
                    <P>By the Commission.</P>
                    <NAME>Ruth Ann Abrams,</NAME>
                    <TITLE>Acting Secretary.</TITLE>
                </SIG>
                <PRTPAGE P="57086"/>
                <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="s50,r200">
                    <TTITLE>Procedural Schedule</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1"> </CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">September 6, 2011</ENT>
                        <ENT>Filing of Appeal.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">September 21, 2011</ENT>
                        <ENT>Deadline for the Postal Service to file the applicable administrative record in this appeal.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">September 21, 2011</ENT>
                        <ENT>Deadline for the Postal Service to file any responsive pleading.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 4, 2011</ENT>
                        <ENT>
                            Deadline for notices to intervene (
                            <E T="03">see</E>
                             39 CFR 3001.111(b)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 11, 2011</ENT>
                        <ENT>
                            Deadline for Petitioner's Form 61 or initial brief in support of petition (
                            <E T="03">see</E>
                             39 CFR 3001.115(a) and (b)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 31, 2011</ENT>
                        <ENT>
                            Deadline for answering brief in support of the Postal Service (
                            <E T="03">see</E>
                             39 CFR 3001.115(c)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">November 15, 2011</ENT>
                        <ENT>
                            Deadline for reply briefs in response to answering briefs (
                            <E T="03">see</E>
                             39 CFR 3001.115(d)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">November 22, 2011</ENT>
                        <ENT>
                            Deadline for motions by any party requesting oral argument; the Commission will schedule oral argument only when it is a necessary addition to the written filings (
                            <E T="03">see</E>
                             39 CFR 3001.116).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">December 26, 2011</ENT>
                        <ENT>
                            Expiration of the Commission's 120-day decisional schedule (
                            <E T="03">see</E>
                             39 U.S.C. 404(d)(5)).
                        </ENT>
                    </ROW>
                </GPOTABLE>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23674 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7710-FW-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">POSTAL REGULATORY COMMISSION</AGENCY>
                <DEPDOC>[Docket No. A2011-62; Order No. 845]</DEPDOC>
                <SUBJECT>Post Office Closing</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Postal Regulatory Commission.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This document informs the public that an appeal of the closing of the Lincoln, Iowa post office has been filed. It identifies preliminary steps and provides a procedural schedule. Publication of this document will allow the Postal Service, petitioners, and others to take appropriate action.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>
                        <E T="03">Administrative record due (from Postal Service</E>
                        ): September 21, 2011; 
                        <E T="03">deadline for notices to intervene:</E>
                         October 4, 2011. 
                        <E T="03">See</E>
                         the Procedural Schedule in the 
                        <E T="02">SUPPLEMENTARY INFORMATION</E>
                         section for other dates of interest.
                    </P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Submit comments electronically by accessing the “Filing Online” link in the banner at the top of the Commission's Web site (
                        <E T="03">http://www.prc.gov</E>
                        ) or by directly accessing the Commission's Filing Online system at 
                        <E T="03">https://www.prc.gov/prc-pages/filing-online/login.aspx.</E>
                         Commenters who cannot submit their views electronically should contact the person identified in the 
                        <E T="02">FOR FURTHER INFORMATION CONTACT</E>
                         section as the source for case-related information for advice on alternatives to electronic filing.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Stephen L. Sharfman, General Counsel, at 202-789-6820 (case-related information) or 
                        <E T="03">DocketAdmins@prc.gov</E>
                         (electronic filing assistance).
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>Notice is hereby given that, pursuant to 39 U.S.C. 404(d), on September 6, 2011, the Commission received a petition for review of the Postal Service's determination to close the Lincoln post office in Lincoln, Iowa. The petition was filed by the Citizens of Lincoln, Iowa (Petitioner) and is postmarked August 24, 2011. The Commission hereby institutes a proceeding under 39 U.S.C. 404(d)(5) and establishes Docket No. A2011-62 to consider Petitioner's appeal. If Petitioner would like to further explain its position with supplemental information or facts, Petitioner may either file a Participant Statement on PRC Form 61 or file a brief with the Commission no later than October 11, 2011.</P>
                <P>
                    <E T="03">Categories of issues apparently raised.</E>
                     Petitioner contends that: (1) The Postal Service failed to consider the effect of the closing on the community (
                    <E T="03">see</E>
                     39 U.S.C. 404(d)(2)(A)(i)); and (2) the Postal Service failed to consider whether or not it will continue to provide a maximum degree of effective and regular postal services to the community (
                    <E T="03">see</E>
                     39 U.S.C. 404(d)(2)(A)(iii)).
                </P>
                <P>
                    After the Postal Service files the administrative record and the Commission reviews it, the Commission may find that there are more legal issues than those set forth above, or that the Postal Service's determination disposes of one or more of those issues. The deadline for the Postal Service to file the applicable administrative record with the Commission is September 21, 2011. 
                    <E T="03">See</E>
                     39 CFR 3001.113. In addition, the due date for any responsive pleading by the Postal Service to this Notice is September 21, 2011.
                </P>
                <P>
                    <E T="03">Availability; Web site posting.</E>
                     The Commission has posted the appeal and supporting material on its Web site at 
                    <E T="03">http://www.prc.gov.</E>
                     Additional filings in this case and participants' submissions also will be posted on the Commission's Web site, if provided in electronic format or amenable to conversion, and not subject to a valid protective order. Information on how to use the Commission's Web site is available online or by contacting the Commission's webmaster via telephone at 202-789-6873 or via electronic mail at 
                    <E T="03">prc-webmaster@prc.gov.</E>
                </P>
                <P>
                    The appeal and all related documents are also available for public inspection in the Commission's docket section. Docket section hours are 8 a.m. to 4:30 p.m., eastern time, Monday through Friday, except on Federal government holidays. Docket section personnel may be contacted via electronic mail at 
                    <E T="03">prc-dockets@prc.gov</E>
                     or via telephone at 202-789-6846.
                </P>
                <P>
                    <E T="03">Filing of documents.</E>
                     All filings of documents in this case shall be made using the Internet (Filing Online) pursuant to Commission rules 9(a) and 10(a) at the Commission's Web site, 
                    <E T="03">http://www.prc.gov,</E>
                     unless a waiver is obtained. 
                    <E T="03">See</E>
                     39 CFR 3001.9(a) and 3001.10(a). Instructions for obtaining an account to file documents online may be found on the Commission's Web site or by contacting the Commission's docket section at 
                    <E T="03">prc-dockets@prc.gov</E>
                     or via telephone at 202-789-6846.
                </P>
                <P>The Commission reserves the right to redact personal information which may infringe on an individual's privacy rights from documents filed in this proceeding.</P>
                <P>
                    <E T="03">Intervention.</E>
                     Persons, other than Petitioner and respondent, wishing to be heard in this matter are directed to file a notice of intervention. 
                    <E T="03">See</E>
                     39 CFR 3001.111(b). Notices of intervention in this case are to be filed on or before October 4, 2011. A notice of intervention shall be filed using the Internet (Filing Online) at the Commission's Web site unless a waiver is obtained for hardcopy filing. 
                    <E T="03">See</E>
                     39 CFR 3001.9(a) and 3001.10(a).
                </P>
                <P>
                    <E T="03">Further procedures.</E>
                     By statute, the Commission is required to issue its decision within 120 days from the date it receives the appeal. 
                    <E T="03">See</E>
                     39 U.S.C. 404(d)(5). A procedural schedule has been developed to accommodate this statutory deadline. In the interest of expedition, in light of the 120-day decision schedule, the Commission may request the Postal Service or other participants to submit information or memoranda of law on any appropriate issue. As required by the Commission rules, if any motions are filed, responses are due 7 days after any such motion is filed. 
                    <E T="03">See</E>
                     39 CFR 3001.21.
                </P>
                <P>
                    <E T="03">It is ordered:</E>
                </P>
                <P>1. The Postal Service shall file the applicable administrative record regarding this appeal no later than September 21, 2011.</P>
                <P>
                    2. Any responsive pleading by the Postal Service to this notice is due no later than September 21, 2011.
                    <PRTPAGE P="57087"/>
                </P>
                <P>3. The procedural schedule listed below is hereby adopted.</P>
                <P>4. Pursuant to 39 U.S.C. 505, James Waclawski is designated officer of the Commission (Public Representative) to represent the interests of the general public.</P>
                <P>
                    5. The Secretary shall arrange for publication of this notice and order in the 
                    <E T="04">Federal Register</E>
                    .
                </P>
                <SIG>
                    <P>By the Commission.</P>
                    <NAME>Ruth Ann Abrams,</NAME>
                    <TITLE>Acting Secretary.</TITLE>
                </SIG>
                <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="s80,r100">
                    <TTITLE>Procedural Schedule</TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1"> </CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="01">September 6, 2011</ENT>
                        <ENT>Filing of Appeal.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">September 21, 2011</ENT>
                        <ENT>Deadline for the Postal Service to file the applicable administrative record in this appeal.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">September 21, 2011</ENT>
                        <ENT>Deadline for the Postal Service to file any responsive pleading.</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 4, 2011</ENT>
                        <ENT>
                            Deadline for notices to intervene (
                            <E T="03">see</E>
                             39 CFR 3001.111(b)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 11, 2011</ENT>
                        <ENT>
                            Deadline for Petitioner's Form 61 or initial brief in support of petition (
                            <E T="03">see</E>
                             39 CFR 3001.115(a) and (b)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">October 31, 2011</ENT>
                        <ENT>
                            Deadline for answering brief in support of the Postal Service (
                            <E T="03">see</E>
                             39 CFR 3001.115(c)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">November 15, 2011</ENT>
                        <ENT>
                            Deadline for reply briefs in response to answering briefs (
                            <E T="03">see</E>
                             39 CFR 3001.115(d)).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">November 22, 2011</ENT>
                        <ENT>
                            Deadline for motions by any party requesting oral argument; the Commission will schedule oral argument only when it is a necessary addition to the written filings (
                            <E T="03">see</E>
                             39 CFR 3001.116).
                        </ENT>
                    </ROW>
                    <ROW>
                        <ENT I="01">December 22, 2011</ENT>
                        <ENT>
                            Expiration of the Commission's 120-day decisional schedule (
                            <E T="03">see</E>
                             39 U.S.C. 404(d)(5)).
                        </ENT>
                    </ROW>
                </GPOTABLE>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23619 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 7710-FW-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
                <DEPDOC>[Investment Company Act Release No. 29784; File No. 812-13931]</DEPDOC>
                <SUBJECT>Stone Harbor Investment Partners LP, et al.; Notice of Application</SUBJECT>
                <DATE>September 7, 2011.</DATE>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Securities and Exchange Commission (“Commission”).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>
                        Notice of an application under section 6(c) of the 
                        <E T="03">Investment Company Act of 1940</E>
                         (“Act”) for an exemption from rule 12d1-2(a) under the Act.
                    </P>
                </ACT>
                <P>
                    <E T="03">Summary of Application:</E>
                     Applicants request an order to permit open-end management investment companies relying on rule 12d1-2 under the Act to invest in certain financial instruments.
                </P>
                <P>
                    <E T="03">Applicants:</E>
                     Stone Harbor Investment Partners LP (“Stone Harbor”) and Stone Harbor Investment Funds (the “Trust”)
                </P>
                <P>
                    <E T="03">Filing Dates:</E>
                     The application was filed on July 29, 2011, and amended on August 31, 2011, and September 7, 2011.
                </P>
                <P>
                    <E T="03">Hearing or Notification of Hearing:</E>
                     An order granting the application will be issued unless the Commission orders a hearing. Interested persons may request a hearing by writing to the Commission's Secretary and serving applicants with a copy of the request, personally or by mail. Hearing requests should be received by the Commission by 5:30 p.m. on October 3, 2011, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Hearing requests should state the nature of the writer's interest, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission's Secretary.
                </P>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090; Applicants: 31 West 52nd Street, 16th Floor, New York, NY 10019.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Deepak T. Pai, Senior Counsel, at (202) 551-6876, or Dalia Osman Blass, Branch Chief, at (202) 551-6821 (Division of Investment Management, Office of Investment Company Regulation).</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    The following is a summary of the application. The complete application may be obtained via the Commission's website by searching for the file number, or an applicant using the Company name box, at 
                    <E T="03">http://www.sec.gov/search/search.htm</E>
                     or by calling (202) 551-8090.
                </P>
                <HD SOURCE="HD1">Applicants' Representations</HD>
                <P>1. The Trust is organized as a Massachusetts business trust and is registered under the Act as an open-end management investment company. Stone Harbor, the Trust's investment adviser, is organized as a Delaware limited partnership and is a registered investment adviser under the Investment Advisers Act of 1940 (“Advisers Act”), as amended.</P>
                <P>
                    2. Applicants request the exemption to the extent necessary to permit any existing or future series of the Trust and any other registered open-end management investment company or series thereof that (i) is advised by Stone Harbor or any person controlling, controlled by or under common control with Stone Harbor (any such adviser or Stone Harbor, an “Adviser”);
                    <SU>1</SU>
                    <FTREF/>
                     (ii) is in the same group of investment companies as defined in section 12(d)(1)(G) of the Act; (iii) invests in other registered open-end management investment companies (“Underlying Funds”) in reliance on section 12(d)(1)(G) of the Act; and (iv) is also eligible to invest in securities (as defined in section 2(a)(36) of the Act) in reliance on rule 12d1-2 under the Act (each a “Fund of Funds,” and together with the Underlying Funds, the “Funds”), to also invest, to the extent consistent with its investment objectives, policies, strategies and limitations, in financial instruments that may not be securities within the meaning of section 2(a)(36) of the Act (“Other Investments”).
                    <SU>2</SU>
                    <FTREF/>
                     Applicants also request that the order exempt any entity, including any entity controlled by or under common control with an Adviser, that now or in the future acts as principal underwriter, or broker or dealer (if registered under the Securities Exchange Act of 1934, as amended), with respect to the transactions described in the application.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         Any other Adviser will also be registered under the Advisers Act.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         Every existing entity that currently intends to rely on the requested order is named as an applicant. Any entity that relies on the order in the future will do so only in accordance with the terms and the condition in the application.
                    </P>
                </FTNT>
                <P>
                    3. Consistent with its fiduciary obligations under the Act, each Fund of 
                    <PRTPAGE P="57088"/>
                    Funds' board of trustees will review the advisory fees charged by the Fund of Funds' Adviser to ensure that they are based on services provided that are in addition to, rather than duplicative of, services provided pursuant to the advisory agreement of any investment company in which the Fund of Funds may invest.
                </P>
                <HD SOURCE="HD1">Applicants' Legal Analysis</HD>
                <P>1. Section 12(d)(1)(A) of the Act provides that no registered investment company (“acquiring company”) may acquire securities of another investment company (“acquired company”) if such securities represent more than 3% of the acquired company's outstanding voting stock or more than 5% of the acquiring company's total assets, or if such securities, together with the securities of other investment companies, represent more than 10% of the acquiring company's total assets. Section 12(d)(1)(B) of the Act provides that no registered open-end investment company may sell its securities to another investment company if the sale will cause the acquiring company to own more than 3% of the acquired company's voting stock, or cause more than 10% of the acquired company's voting stock to be owned by investment companies and companies controlled by them.</P>
                <P>2. Section 12(d)(1)(G) of the Act provides, in part, that section 12(d)(1) will not apply to securities of an acquired company purchased by an acquiring company if: (i) The acquired company and acquiring company are part of the same group of investment companies; (ii) the acquiring company holds only securities of acquired companies that are part of the same group of investment companies, government securities, and short-term paper; (iii) the aggregate sales loads and distribution-related fees of the acquiring company and the acquired company are not excessive under rules adopted pursuant to section 22(b) or section 22(c) of the Act by a securities association registered under section 15A of the Securities Exchange Act of 1934 or by the Commission; and (iv) the acquired company has a policy that prohibits it from acquiring securities of registered open-end investment companies or registered unit investment trusts in reliance on section 12(d)(1)(F) or (G) of the Act.</P>
                <P>3. Rule 12d1-2 under the Act permits a registered open-end investment company or a registered unit investment trust that relies on section 12(d)(1)(G) of the Act to acquire, in addition to securities issued by another registered investment company in the same group of investment companies, government securities, and short-term paper: (i) Securities issued by an investment company that is not in the same group of investment companies, when the acquisition is in reliance on section 12(d)(1)(A) or 12(d)(1)(F) of the Act; (ii) securities (other than securities issued by an investment company); and (iii) securities issued by a money market fund, when the investment is in reliance on rule 12d1-1 under the Act. For the purposes of rule 12d1-2, “securities” means any security as defined in section 2(a)(36) of the Act.</P>
                <P>4. Section 6(c) of the Act provides that the Commission may exempt any person, security, or transaction from any provision of the Act, or from any rule under the Act, if such exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policies and provisions of the Act.</P>
                <P>5. Applicants state that the Funds of Funds will comply with rule 12d1-2 under the Act, but for the fact that the Funds of Funds may invest a portion of their assets in Other Investments. Applicants request an order under section 6(c) of the Act for an exemption from rule 12d1-2(a) to allow the Funds of Funds to invest in Other Investments while investing in Underlying Funds. Applicants assert that permitting the Funds of Funds to invest in Other Investments as described in the application would not raise any of the concerns that the requirements of section 12(d)(1) were designed to address.</P>
                <HD SOURCE="HD1">Applicants' Condition</HD>
                <P>Applicants agree that the order granting the requested relief will be subject to the following condition:</P>
                <P>Applicants will comply with all provisions of rule 12d1-2 under the Act, except for paragraph (a)(2) to the extent that it restricts any Fund of Funds from investing in Other Investments as described in the application.</P>
                <SIG>
                    <P>For the Commission, by the Division of Investment Management, under delegated authority.</P>
                    <NAME>Elizabeth M. Murphy,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23604 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8011-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
                <DEPDOC>[Release No. 34-65300; File No. SR-CHX-2011-17]</DEPDOC>
                <SUBJECT>Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Regarding the Submission by the Exchange of Clearing-Related Information for Trades Executed on the Exchange as Well as for Trades Executed Otherwise Than on the Exchange</SUBJECT>
                <DATE>September 8, 2011.</DATE>
                <HD SOURCE="HD1">I. Introduction</HD>
                <P>
                    On July 7, 2011, the Chicago Stock Exchange, Incorporated (“Exchange” or “CHX”) filed with the Securities and Exchange Commission (the “Commission”), pursuant to Section 19(b)(1) of the 
                    <E T="03">Securities Exchange Act of 1934</E>
                     (“Act”) 
                    <SU>1</SU>
                    <FTREF/>
                     and Rule 19b-4 thereunder,
                    <SU>2</SU>
                    <FTREF/>
                     a proposed rule change to add CHX Rule 6 (Submission of Clearing Information) to Article 21 (Clearance and Settlement) to set forth the terms upon which CHX will submit information for clearing and settlement and to amend Article 1, Rule 1 (Definitions) and Article 21, Rule 1 (Trade Recording with a Qualified Clearing Agency) to add, delete, and modify certain defined terms. The proposed rule change was published for comment in the 
                    <E T="04">Federal Register</E>
                     on July 26, 2011.
                    <SU>3</SU>
                    <FTREF/>
                     The Commission received one comment on the proposal.
                    <SU>4</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         15 U.S.C. 78s(b)(1).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         17 CFR 240.19b-4.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         
                        <E T="03">See Securities Exchange Act</E>
                         Release No. 64937 (July 20, 2011), 76 FR 44638 (“Notice”).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         
                        <E T="03">See</E>
                         letter from Christopher Meyer, Chief Compliance Officer, E*Trade Capital Markets, LLC, to Elizabeth M. Murphy, Secretary, Commission, dated August 16, 2011.
                    </P>
                </FTNT>
                <P>
                    Section 19(b)(2)(A) of the Act 
                    <SU>5</SU>
                    <FTREF/>
                     provides that not later than 45 days after the date of publication of a proposed rule change, or within such longer period up to 90 days as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding or as to which the self-regulatory organization consents, the Commission shall either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether the proposed rule change should be disapproved. The 45th day for this filing is September 9, 2011.
                </P>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         15 U.S.C. 78s(b)(2)(A).
                    </P>
                </FTNT>
                <P>
                    The Commission hereby extends the 45-day time period for Commission 
                    <PRTPAGE P="57089"/>
                    action on the proposed rule change. The Commission finds that it is appropriate to designate a longer period within which to take action on the proposed rule change to help ensure that the Commission has sufficient time to consider whether the proposal is consistent with the Act and, thus, whether the proposal should be approved or disapproved.
                </P>
                <P>
                    Accordingly, pursuant to Section 19(b)(2)(A)(ii)(I) of the Act 
                    <SU>6</SU>
                    <FTREF/>
                     and for the reason stated above, the Commission designates October 24, 2011, as the date by which the Commission should approve, disapprove, or institute proceedings to determine whether to disapprove File No. SR-CHX-2011-17.
                </P>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         15 U.S.C. 78s(b)(2)(A)(ii)(I).
                    </P>
                </FTNT>
                <SIG>
                    <P>
                        For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
                        <SU>7</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>7</SU>
                             17 CFR 200.30-3(a)(31).
                        </P>
                    </FTNT>
                    <NAME>Elizabeth M. Murphy,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23597 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8011-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
                <DEPDOC>[Release No. 34-65308; File No. SR-CHX-2011-21]</DEPDOC>
                <SUBJECT>Self-Regulatory Organizations; Chicago Stock Exchange, Incorporated; Order Approving a Proposed Rule Change to Amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 Thereunder Regarding the Cancellation of the Stock Leg of Stock-Option Transactions Done on the Exchange</SUBJECT>
                <DATE>September 9, 2011.</DATE>
                <HD SOURCE="HD1">I. Introduction</HD>
                <P>
                    On July 26, 2011, Chicago Stock Exchange, Incorporated (“Exchange” or “CHX”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the 
                    <E T="03">Securities Exchange Act of 1934</E>
                     (“Act”) 
                    <SU>1</SU>
                    <FTREF/>
                     and Rule 19b-4 thereunder,
                    <SU>2</SU>
                    <FTREF/>
                     a proposed rule change to amend Article 20, Rule 9 (Cancellation of Transactions) and Interpretation and Policy .01 thereunder regarding the cancellation of the stock leg of stock-option transactions done on the Exchange. The proposed rule change was published for comment in the 
                    <E T="04">Federal Register</E>
                     on August 3, 2011.
                    <SU>3</SU>
                    <FTREF/>
                     The Commission received four comment letters on the proposed rule change.
                    <SU>4</SU>
                    <FTREF/>
                     This order approves the proposed rule change.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         15 U.S.C. 78s(b)(1).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         17 CFR 240.19b-4.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         
                        <E T="03">See</E>
                         Securities Exchange Act Release No. 64985 (July 28, 2011), 76 FR 46866 (“Notice”).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         
                        <E T="03">See</E>
                         letters from Darren Story, CFA, Student Options, LLC, dated July 27, 2011 (“Story Letter”); Mike Bristow, Managing Director, Institutional Stock &amp; Options, dated July 28, 2011 (“Bristow”); Nick DiCicco, D and D Securities, dated August 23, 2011; and Stephen Floirendo, Broker, Husky Trading, dated August 23, 2011 (“Floirendo Letter”).
                    </P>
                </FTNT>
                <HD SOURCE="HD1">II. Description of the Proposed Rule Change</HD>
                <P>
                    Under its former Interpretations and Policies .01(a) to CHX Article 20, Rule 9,
                    <SU>5</SU>
                    <FTREF/>
                     a trade representing the execution of the stock leg of a stock-option order could be cancelled only if market conditions in the options exchange prevented the execution of the options leg at the price agreed upon by the parties to the options transaction. By this proposed rule change, the Exchange expands the circumstances in which the stock leg of a stock-option order executed on the CHX's facilities may be cancelled to include situations in which the options leg is executed, but subsequently is cancelled by an options exchange pursuant to its rules. A transaction may not be cancelled pursuant to the provisions of Rule 9(b) unless the original trade was identified by a special trade indicator.
                    <SU>6</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         By this proposal, CHX reorganizes its Rule 9, moving the text of Interpretation and Policy .01 into new paragraph (b), because the Exchange believes that the requirements of that Interpretation and Policy constitute an independent basis for the cancellation of transactions, rather than act as an interpretation of the general provisions of Rule 9. 
                        <E T="03">See</E>
                         Notice, 
                        <E T="03">supra</E>
                         note 3, 76 FR at 46866.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         
                        <E T="03">See</E>
                         CHX Article 20, Rule 9(b)(6). 
                        <E T="03">See also</E>
                         Notice, 
                        <E T="03">supra</E>
                         note 3, 76 FR at 46866 (“A special trade indicator will be reported by the Exchange to the Consolidated Tape in order that the parties and other market participants are aware that the transaction may be cancelled by the parties if the requirements of the rule are satisfied.”).
                    </P>
                </FTNT>
                <P>
                    Without the ability to cancel the stock leg of the stock-option trade at the request of the Participants when the transaction representing the options leg has been cancelled, the Exchange states that the parties to the transaction would be left with an unwanted stock position, which originally was taken as a component of (
                    <E T="03">e.g.,</E>
                     to hedge) the cancelled options transaction.
                    <SU>7</SU>
                    <FTREF/>
                     The Exchange asserts that the circumstance where a trade that represents the stock leg of a stock-option order is cancelled at the request of the parties involved when the transaction representing the options leg has been cancelled is substantially similar to the situation where a trade that represents the stock leg of a stock-option order is cancelled when the options leg of a stock-option order is not executed at all, and that allowing cancellation of a trade that represents the unwanted stock leg of a stock-option order when the corresponding options leg trade was cancelled would eliminate the need to liquidate the unwanted stock leg.
                    <SU>8</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>7</SU>
                         
                        <E T="03">See</E>
                         Notice, 
                        <E T="03">supra</E>
                         note 3, 76 FR at 46866.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>8</SU>
                         
                        <E T="03">See id.</E>
                    </P>
                </FTNT>
                <P>
                    The Exchange also proposes to require that any request to cancel a transaction involving a stock-option order be made by or on behalf of all Participants that are parties to the transaction, rather than by any party. The Exchange believes that requiring all Participant parties to consent to the cancellation will help prevent the possible abuse by a single party acting unilaterally. The Exchange represents that the ultimate parties to the cash equities transaction are the same parties to the equity options transaction, so any cancellation of the Exchange transaction will not have an impact on other market participants.
                    <SU>9</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>9</SU>
                         In some instances, the parties to the options transactions may not be Exchange Participants. The orders of such firms would be executed on the Exchange in the name of its clearing firm, which must be an Exchange Participant. The clearing firm would then allocate the transaction to the options firm.
                    </P>
                </FTNT>
                <P>
                    Finally, the Exchange proposes corresponding recordkeeping requirements in connection with stock-option order cancellations. CHX Rule 9(b)(3) requires the Participant acting as the broker in trades cancelled pursuant to proposed Rule 9(b)(1)(ii) to maintain records sufficient to establish that the options leg in fact was cancelled by the options exchange on which it was executed. A new requirement of CHX Rule 9(b)(4) is that the Participant acting as broker on the trade identify the reason that the trade was cancelled. The Exchange states that it will use the records to verify that the requirements imposed by the proposed rule changes have been met, and would treat the failure to properly document such cancellations as a rule violation subject to disciplinary treatment under Article 12 of the Exchange's rules.
                    <SU>10</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>10</SU>
                         
                        <E T="03">See</E>
                         Notice, 
                        <E T="03">supra</E>
                         note 3, 76 FR at 46866. The Exchange represents that it will implement surveillance procedures reasonably designed to detect possible violations of these provisions simultaneous with the approval of the proposed rule changes. 
                        <E T="03">See id.</E>
                         at note 6.
                    </P>
                </FTNT>
                <HD SOURCE="HD1">III. Discussion and Commission's Findings</HD>
                <P>
                    After careful review, the Commission finds that the proposed rule change is consistent with the requirements of Section 6 of the Act 
                    <SU>11</SU>
                    <FTREF/>
                     and the rules and regulations thereunder applicable to a national securities exchange.
                    <SU>12</SU>
                    <FTREF/>
                     In 
                    <PRTPAGE P="57090"/>
                    particular, the Commission finds that the proposed rule change is consistent with Section 6(b)(5) of the Act,
                    <SU>13</SU>
                    <FTREF/>
                     which requires, among other things, that the Exchange's rules be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest.
                </P>
                <FTNT>
                    <P>
                        <SU>11</SU>
                         15 U.S.C. 78f.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>12</SU>
                         In approving this proposed rule change, the Commission has considered the proposed rule's 
                        <PRTPAGE/>
                        impact on efficiency, competition, and capital formation. 
                        <E T="03">See</E>
                         15 U.S.C. 78c(f).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>13</SU>
                         15 U.S.C. 78f(b)(5).
                    </P>
                </FTNT>
                <P>
                    The Commission received four comment letters on the proposed rule change,
                    <SU>14</SU>
                    <FTREF/>
                     all of which supported the proposal. All of the commenters noted that permitting cancellation of the stock leg of a stock-option transaction when the options leg is cancelled, upon mutual consent, would keep erroneous stock trades off the tape. Additionally, three commenters offered that this proposal would bolster investors' confidence in the marketplace.
                    <SU>15</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>14</SU>
                         
                        <E T="03">See supra</E>
                         note 4.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>15</SU>
                         
                        <E T="03">See</E>
                         Bristow Letter, Floirendo Letter, and Story Letter, 
                        <E T="03">supra</E>
                         note 4.
                    </P>
                </FTNT>
                <P>
                    The Commission believes that the proposed rule change should promote market efficiency by permitting CHX Participants, upon mutual consent, to cancel a trade that represents the stock leg of a stock-option order when the options leg trade is cancelled, thereby saving Participants the expense of liquidating the unwanted stock leg. The Commission notes that the Exchange will not cancel any transaction pursuant to the provisions of Rule 9(b) unless the original trade was identified by a special trade indicator.
                    <SU>16</SU>
                    <FTREF/>
                     The Commission believes that the presence of the special trade indicator will improve transparency by notifying market participants of the possibility of a potential cancellation and will foster cooperation and coordination with persons engaged in facilitating such transactions. In addition, the Commission notes that the Exchange represents that the ultimate parties to the cash equities transaction are the same parties to the equities options transactions so that cancellation of an Exchange trade that represents the stock leg of a stock option order will not have an impact on other market participants.
                    <SU>17</SU>
                    <FTREF/>
                     The Commission also notes that CHX is adopting new recordkeeping obligations in connection with its expansion of stock-option order cancellations to verify that the requirements have been met. CHX has represented that it will treat the failure to properly document such cancellations as a rule violation subject to disciplinary treatment under Article 12 of the Exchange's rules. The Commission believes these procedures should protect investors and market participants by helping to ensure that the requirements have been met for stock-option cancellations.
                </P>
                <FTNT>
                    <P>
                        <SU>16</SU>
                         
                        <E T="03">See supra</E>
                         note 6.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>17</SU>
                         
                        <E T="03">See supra</E>
                         note 9 and accompanying text.
                    </P>
                </FTNT>
                <HD SOURCE="HD1">IV. Conclusion</HD>
                <P>
                    <E T="03">It is therefore ordered,</E>
                     pursuant to Section 19(b)(2) of the Act,
                    <SU>18</SU>
                    <FTREF/>
                     that the proposed rule change (SR-CHX-2011-21) be, and hereby is, approved.
                </P>
                <FTNT>
                    <P>
                        <SU>18</SU>
                         15 U.S.C. 78s(b)(2).
                    </P>
                </FTNT>
                <SIG>
                    <P>
                        For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
                        <SU>19</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>19</SU>
                             17 CFR 200.30-3(a)(12).
                        </P>
                    </FTNT>
                    <NAME>Elizabeth M. Murphy,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23607 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8011-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
                <DEPDOC>[Release No. 34-65312; File No. SR-Phlx-2011-126]</DEPDOC>
                <SUBJECT>Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Complex Orders</SUBJECT>
                <DATE>September 9, 2011.</DATE>
                <P>
                    Pursuant to Section 19(b)(1) of the 
                    <E T="03">Securities Exchange Act of 1934</E>
                     (“Act”) 
                    <SU>1</SU>
                    <FTREF/>
                    , and Rule 19b-4 thereunder,
                    <SU>2</SU>
                    <FTREF/>
                     notice is hereby given that on September 1, 2011, NASDAQ OMX PHLX LLC (“Phlx” or “Exchange”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) the proposed rule change as described in Items I, II, and III, below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         15 U.S.C. 78s(b)(1).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         17 CFR 240.19b-4.
                    </P>
                </FTNT>
                <HD SOURCE="HD1">I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change</HD>
                <P>The Exchange proposes to amend its Complex Order Fees in Section I of its Fee Schedule titled “Rebates and Fees for Adding and Removing Liquidity in Select Symbols.”</P>
                <P>While changes to the Fee Schedule pursuant to this proposal are effective upon filing, the Exchange has designated these changes to be operative on September 1, 2011.</P>
                <P>
                    The text of the proposed rule change is available on the Exchange's website at 
                    <E T="03">http://nasdaqtrader.com/micro.aspx?id=PHLXfilings,</E>
                     at the principal office of the Exchange, and at the Commission's Public Reference Room.
                </P>
                <HD SOURCE="HD1">II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <P>In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.</P>
                <HD SOURCE="HD2">A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <HD SOURCE="HD3">1. Purpose</HD>
                <P>
                    The purpose of the proposed rule change is to amend Section I, Part B of the Exchange's Fee Schedule for Complex Orders. A Complex Order is any order involving the simultaneous purchase and/or sale of two or more different options series in the same underlying security, priced at a net debit or credit based on the relative prices of the individual components, for the same account, for the purpose of executing a particular investment strategy. Furthermore, a Complex Order can also be a stock-option order, which is an order to buy or sell a stated number of units of an underlying stock or ETF coupled with the purchase or sale of options contract(s).
                    <SU>3</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         
                        <E T="03">See</E>
                         Exchange Rule 1080, Commentary .08(a)(i).
                    </P>
                </FTNT>
                <P>
                    The Exchange proposes to increase the current Customer Complex Order Rebate for Adding Liquidity in Designated Options 
                    <SU>4</SU>
                    <FTREF/>
                     from $0.26 per contract to $0.27 per contract. The Exchange also proposes to increase the current Complex Order Fee for Removing Liquidity in Designated Options for Directed Participants 
                    <SU>5</SU>
                    <FTREF/>
                     from 
                    <PRTPAGE P="57091"/>
                    $0.27 per contract to $0.28 per contract. The Exchange believes that increasing the Customer Complex Order Rebate for Adding Liquidity in the Designated Options will incentivize members to direct customer order flow to the Exchange. The Exchange also believes that increasing the Complex Order Fee for Removing Liquidity for Directed Participants will still continue to draw order flow to the Exchange as well, as that fee is within the range of fees assessed by other exchanges. The Exchange is not proposing any change to fees for Select Symbols.
                    <SU>6</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         The Designated Options are defined in Section I of the Fee Schedule and include AAPL, BAC, C, F, GLD, INTC, IWM, JPM, QQQ, SLV, SPY, and XLF.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         
                        <E T="03">See</E>
                         Exchange Rule 1080(l), “* * * The term ‘Directed Specialist, RSQT, or SQT’ means a 
                        <PRTPAGE/>
                        specialist, RSQT, or SQT that receives a Directed Order.” A Directed Participant has a higher quoting requirement as compared with a specialist, SQT or RSQT who is not acting as a Directed Participant. 
                        <E T="03">See</E>
                         Exchange Rule 1014.
                        <E T="03"/>
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         Select Symbols are defined in Section I of the Exchange's Fee Schedule.
                    </P>
                </FTNT>
                <P>While changes to the Fee Schedule pursuant to this proposal are effective upon filing, the Exchange has designated these changes to be operative on September 1, 2011.</P>
                <HD SOURCE="HD3">2. Statutory Basis</HD>
                <P>
                    The Exchange believes that its proposal to amend its Fee Schedule is consistent with Section 6(b) of the Act 
                    <SU>7</SU>
                    <FTREF/>
                     in general, and furthers the objectives of Section 6(b)(4) of the Act 
                    <SU>8</SU>
                    <FTREF/>
                     in particular, in that it is an equitable allocation of reasonable fees and other charges among Exchange members. The Exchange also believes that there is an equitable allocation of reasonable rebates among Exchange members.
                </P>
                <FTNT>
                    <P>
                        <SU>7</SU>
                         15 U.S.C. 78f(b).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>8</SU>
                         15 U.S.C. 78f(b)(4).
                    </P>
                </FTNT>
                <P>The Exchange believes that it is reasonable and equitable to only pay a Complex Order Rebate for Adding Liquidity to Customers, as compared to other market participants, and increase the Customer Complex Order Rebate for Adding Liquidity in Designated Options because this will incentivize members to direct Customer order flow to the Exchange in these Designated Options.</P>
                <P>
                    The Exchange believes that it is reasonable, equitable and not unfairly discriminatory to increase the Complex Order Fee for Removing Liquidity in Designated Options for Directed Participants because the proposed fee for options overlying the Designated Options remains competitive with fees charged by other exchanges and is reasonable and equitably allocated to those members that opt to direct orders to the Exchange rather than to a competing exchange. The proposed fee is within the range of fees assessed by other exchanges employing similar pricing schemes. For example, the International Securities Exchange, LLC (“ISE”) provides its market makers a $0.02 reduction off the taker fee for removing liquidity in its Select Symbols from the complex order book by trading with orders that are preferenced to them.
                    <SU>9</SU>
                    <FTREF/>
                     The Exchange's proposal to increase the Directed Participant's Fee for Removing Liquidity for Complex Orders from $0.27 per contract to $0.28 per contract is reasonable because the Exchange is continuing to assess Directed Participants the lowest fee as compared to other market participants and reflects the fact that these market makers have higher quoting requirements as compared to Specialists, ROTs, SQTs and RSQTs who do not receive directed orders.
                    <SU>10</SU>
                    <FTREF/>
                     In addition, the Exchange believes the proposed fee is equitable and not unfairly discriminatory in that it will apply equally to all market participants that were previously subject to this fee.
                </P>
                <FTNT>
                    <P>
                        <SU>9</SU>
                         
                        <E T="03">See</E>
                         ISE's Schedule of Fees.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>10</SU>
                         Currently, a Directed Participant is assessed a Complex Order Fee For Removing Liquidity in Designated Options of $0.27 per contract, a Specialist, Registered Options Trader (“ROT”), Streaming Quote Trader (“SQT”) and Remote Streaming Quote Trader (“RSQT”) is assessed $0.29 per contract, a Firm is assessed $0.30 per contract; a Broker-Dealer is assessed $0.35 per contract and a Professional is assessed $0.30 per contract.
                    </P>
                </FTNT>
                <P>With respect to the Customer Complex Order Rebate for Adding Liquidity the Exchange believes that it is reasonable to pay a different rebate for transacting equity options in Designated Options, and with respect to the Directed Participant Complex Order Fee for Removing Liquidity the Exchange believes that it is reasonable to assess a different Fee for Removing Liquidity in the Designated Options. The Exchange currently pays a different Customer Complex Order Rebate for Adding Liquidity and assesses a different Directed Participant Complex Order Fee for Removing Liquidity in Designated Options as compared to other Select Symbols. Trading in Designated Options is different from trading in other symbols in that they are more liquid, have higher volume and competition for executions is more intense. The Exchange believes that paying different rebates and assessing different fees for Designated Options as compared to Select Symbols will incentivize trading in Designated Options and increase liquidity in the Designated Options, which in turn will benefit all market participants. With respect to the increased Directed Participant Complex Order Fee for Removing Liquidity in Designated Options, the Exchange is increasing this fee to cover costs. Notwithstanding the increase in the fee, the Exchange believes that Directed Participants will continue to send order flow to the Exchange in Designated Options because the fee is within the range of fees assessed by other exchanges.</P>
                <P>In addition, the Exchange believes that it is equitable and not unfairly discriminatory to pay a different Customer Complex Order Rebate for Adding Liquidity for transacting equity options in certain symbols and with respect to the Directed Participant Complex Order Fee for Removing Liquidity the Exchange believes that it is equitable and not unfairly discriminatory to assess a different Fee for Removing Liquidity in certain symbols because the Exchange uniformly pays the same Customer Complex Order Rebate for Adding Liquidity for all Customer Complex Orders in all Designated Options and the Exchange uniformly assesses the same Fee for Removing Liquidity to all Directed Participants Complex Orders in all Designated Options.</P>
                <P>The Exchange operates in a highly competitive market comprised of nine U.S. options exchanges in which sophisticated and knowledgeable market participants can readily send order flow to competing exchanges if they deem fee levels at a particular exchange to be excessive. The Exchange believes that the Complex Order fees and rebates it pays/assesses must be competitive with fees and rebates in place on other exchanges. The Exchange believes that this competitive marketplace impacts the fees and rebates present on the Exchange today and influences the proposals set forth above.</P>
                <HD SOURCE="HD2">B. Self-Regulatory Organization's Statement on Burden on Competition</HD>
                <P>The Exchange does not believe that the proposed rule change will impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act.</P>
                <HD SOURCE="HD2">C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others</HD>
                <P>No written comments were either solicited or received.</P>
                <HD SOURCE="HD1">III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action</HD>
                <P>
                    The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act.
                    <SU>11</SU>
                    <FTREF/>
                     At any time within 60 days of the filing of the proposed rule change, the Commission 
                    <PRTPAGE P="57092"/>
                    summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved.
                </P>
                <FTNT>
                    <P>
                        <SU>11</SU>
                         15 U.S.C. 78s(b)(3)(A)(ii).
                    </P>
                </FTNT>
                <HD SOURCE="HD1">IV. Solicitation of Comments</HD>
                <P>Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:</P>
                <HD SOURCE="HD2">Electronic Comments</HD>
                <P>
                    • Use the Commission's Internet comment form (
                    <E T="03">http://www.sec.gov/rules/sro.shtml);</E>
                     or
                </P>
                <P>
                    • Send an e-mail to 
                    <E T="03">rule-comments@sec.gov</E>
                    . Please include File Number SR-Phlx-2011-126 on the subject line.
                </P>
                <HD SOURCE="HD2">Paper Comments</HD>
                <P>• Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.</P>
                <FP>
                    All submissions should refer to File Number SR-Phlx-2011-126. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet website (
                    <E T="03">http://www.sec.gov/rules/sro.shtml).</E>
                     Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly.
                </FP>
                <P>All submissions should refer to File Number SR-Phlx-2011-126 and should be submitted on or before October 6, 2011.</P>
                <SIG>
                    <P>
                        For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
                        <SU>12</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>12</SU>
                             17 CFR 200.30-3(a)(12).
                        </P>
                    </FTNT>
                    <NAME>Elizabeth M. Murphy,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23608 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8011-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
                <DEPDOC>[Release No. 34-65307; File No. SR-BATS-2011-034]</DEPDOC>
                <SUBJECT>Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Offer a Bulk-Quoting Interface To All Users of BATS Options</SUBJECT>
                <DATE>September 9, 2011.</DATE>
                <P>
                    Pursuant to Section 19(b)(1) of the 
                    <E T="03">Securities Exchange Act of 1934</E>
                     (the “Act”),
                    <SU>1</SU>
                    <FTREF/>
                     and Rule 19b-4 thereunder,
                    <SU>2</SU>
                    <FTREF/>
                     notice is hereby given that on September 2, 2011, BATS Exchange, Inc. (the “Exchange” or “BATS”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange has designated this proposal as a “non-controversial” proposed rule change pursuant to Section 19(b)(3)(A) of the Act 
                    <SU>3</SU>
                    <FTREF/>
                     and Rule 19b-4(f)(6)(iii) thereunder,
                    <SU>4</SU>
                    <FTREF/>
                     which renders it effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         15 U.S.C. 78s(b)(1).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         17 CFR 240.19b-4.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         15 U.S.C. 78s(b)(3)(A).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         17 CFR 240.19b-4(f)(6)(iii).
                    </P>
                </FTNT>
                <HD SOURCE="HD1">I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change</HD>
                <P>
                    The Exchange filed a proposal for the BATS Options Market (“BATS Options”) to extend the availability of a recently introduced bulk-quoting interface for BATS Options Market Makers 
                    <SU>5</SU>
                    <FTREF/>
                     to all Users 
                    <SU>6</SU>
                    <FTREF/>
                     of BATS Options.
                </P>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         As defined in BATS Rule 16.1(a)(37), an “Options Market Maker” is a member of BATS Options registered with the Exchange for the purpose of making markets in options contracts traded on the Exchange and that is vested with the rights and responsibilities specified in Chapter XXII of the Exchange's Rules.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         As defined in BATS Rule 16.1(a)(62), a “User” on BATS Options is either a member of BATS Options (“Options Member”) or a sponsored participant who is authorized to obtain access to the Exchange's system pursuant to BATS Rule 11.3 (“Sponsored Participant”).
                    </P>
                </FTNT>
                <P>
                    The text of the proposed rule change is available at the Exchange's Web site at 
                    <E T="03">http://www.batstrading.com</E>
                    , at the principal office of the Exchange, and at the Commission's Public Reference Room.
                </P>
                <HD SOURCE="HD1">II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <P>In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant parts of such statements.</P>
                <HD SOURCE="HD2">A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <HD SOURCE="HD3">1. Purpose</HD>
                <P>
                    The Exchange currently offers an order-based interface for entering orders into the BATS Options trading platform. The Exchange also recently proposed modification to its systems to permit BATS Options Market Makers to utilize a bulk-quoting interface to enter orders into BATS Options.
                    <SU>7</SU>
                    <FTREF/>
                     The Exchange proposes to modify this interface to permit all Options Users to use this interface to provide one or more quotations on BATS Options. Prior to releasing bulk-quoting for Options Market Makers, the only interface for order entry to BATS Options has been an order-based interface. Through this order-based interface, a User seeking to enter a two-sided quotation must enter both a buy and a sell order. The Exchange proposes to make the bulk-quoting interface available to all Users 
                    <PRTPAGE P="57093"/>
                    of BATS Options rather than limiting bulk-quoting to Options Market Makers.
                </P>
                <FTNT>
                    <P>
                        <SU>7</SU>
                         
                        <E T="03">See</E>
                         Securities Exchange Act Release No. 65133 (August 15, 2011), 76 FR 52032 (August 19, 2011) (SR-BATS-2011-029).
                    </P>
                </FTNT>
                <P>The proposed bulk-quoting market making interface will be used by Users to submit and update their quotations in the marketplace much like the current order-based interface is used by such Users today. The bulk-quoting interface, however, allows Users to provide both a bid and an offer in one message. In addition, the bulk-quoting interface allows Users to bundle several quote updates into one bulk message. This is a useful feature for Users that provide quotations in many different options.</P>
                <P>BATS Options does not require any Users to register as Options Market Makers in order to participate on BATS Options, nor does BATS Options limit the ability to post liquidity on both sides of the market to Options Market Makers. In fact, there are several Users that provide significant liquidity to BATS Options but are not registered as Options Market Makers. Some of these Users are registered on other options exchanges as market makers and others are not. Due to the enhanced liquidity and efficiencies the interface can provide, the Exchange believes that the bulk-quoting functionality should be available to all Users, not only Options Market Makers.</P>
                <HD SOURCE="HD3">2. Statutory Basis</HD>
                <P>
                    The Exchange believes that its proposal is consistent with Section 6(b) of the Act 
                    <SU>8</SU>
                    <FTREF/>
                     in general, and furthers the objectives of Section 6(b)(5) of the Act 
                    <SU>9</SU>
                    <FTREF/>
                     in particular, in that it is designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general to protect investors and the public interest. The Exchange believes this proposal is in keeping with those principles by protecting investors and the public interest, as well as promoting just and equitable principles of trade, by making available on an equal basis a new market making interface option for all Users of BATS Options, which will help to enhance market liquidity for investors.
                </P>
                <FTNT>
                    <P>
                        <SU>8</SU>
                         15 U.S.C. 78f(b).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>9</SU>
                         15 U.S.C. 78f(b)(5).
                    </P>
                </FTNT>
                <HD SOURCE="HD2">B. Self-Regulatory Organization's Statement on Burden on Competition</HD>
                <P>The Exchange does not believe that the proposed rule change imposes any burden on competition.</P>
                <HD SOURCE="HD2">C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others</HD>
                <P>The Exchange has neither solicited nor received written comments on the proposed rule change.</P>
                <HD SOURCE="HD1">III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action</HD>
                <P>
                    Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, if consistent with the protection of investors and the public interest, it has become effective pursuant to Section 19(b)(3)(A) of the Act 
                    <SU>10</SU>
                    <FTREF/>
                     and Rule 19b-4(f)(6) thereunder.
                    <SU>11</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>10</SU>
                         15 U.S.C. 78s(b)(3)(A).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>11</SU>
                         17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii) requires the self-regulatory organization to submit to the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement.
                    </P>
                </FTNT>
                <P>
                    The Exchange has asked the Commission to waive the 30-day operative delay so that the proposal may become operative immediately upon filing. Waiver of the 30-day operative delay would allow the Exchange to immediately offer the interface to all Users without undue delay. The Exchange notes that the proposed rule change does not require any significant system change as the functionality is already available to BATS Options Market Makers. The Commission believes that waiving the 30-day operative delay 
                    <SU>12</SU>
                    <FTREF/>
                     is consistent with the protection of investors and the public interest and designates the proposal operative upon filing.
                </P>
                <FTNT>
                    <P>
                        <SU>12</SU>
                         For purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 
                        <E T="03">See</E>
                         15 U.S.C. 78c(f).
                    </P>
                </FTNT>
                <P>At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act.</P>
                <HD SOURCE="HD1">IV. Solicitation of Comments</HD>
                <P>Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:</P>
                <HD SOURCE="HD2">Electronic Comments</HD>
                <P>
                    • Use the Commission's Internet comment form (
                    <E T="03">http://www.sec.gov/rules/sro.shtml</E>
                    ); or
                </P>
                <P>
                    • Send an e-mail to 
                    <E T="03">rule-comments@sec.gov</E>
                    . Please include File Number SR-BATS-2011-034 on the subject line.
                </P>
                <HD SOURCE="HD2">Paper Comments</HD>
                <P>• Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.</P>
                <FP>
                    All submissions should refer to File Number SR-BATS-2011-034. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (
                    <E T="03">http://www.sec.gov/rules/sro.shtml</E>
                    ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-BATS-2011-034 and should be submitted on or before October 6, 2011.
                </FP>
                <SIG>
                    <P>
                        For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
                        <SU>13</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>13</SU>
                             17 CFR 200.30-3(a)(12).
                        </P>
                    </FTNT>
                    <NAME>Elizabeth M. Murphy,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23606 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8011-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <PRTPAGE P="57094"/>
                <AGENCY TYPE="S">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
                <DEPDOC>[Release No. 34-65311; File No. SR-C2-2011-018]</DEPDOC>
                <SUBJECT>Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Opening and Complex Order Price Check Parameter Features</SUBJECT>
                <DATE>September 9, 2011.</DATE>
                <P>
                    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the “Act”) 
                    <SU>1</SU>
                    <FTREF/>
                     and Rule 19b-4 thereunder,
                    <SU>2</SU>
                    <FTREF/>
                     notice is hereby given that, on August 26, 2011, C2 Options Exchange, Incorporated (“Exchange” or “C2”) filed with the Securities and Exchange Commission (the “Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange has designated the proposal as a “non-controversial” proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act 
                    <SU>3</SU>
                    <FTREF/>
                     and Rule 19b-4(f)(6) thereunder.
                    <SU>4</SU>
                    <FTREF/>
                     The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         15 U.S.C.78s(b)(1).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         17 CFR 240.19b-4.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         15 U.S.C. 78s(b)(3)(A)(iii).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         17 CFR 240.19b-4(f)(6).
                    </P>
                </FTNT>
                <HD SOURCE="HD1">I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change</HD>
                <P>
                    The Exchange is proposing to expand the operation of an existing price check parameter feature to its opening rotation process and to include an additional price check parameter feature for its complex order process. The text of the proposed rule change is available on the Exchange's Web site (
                    <E T="03">http://www.c2exchange.com/Legal/RuleFilings.aspx</E>
                    ), at the Exchange's Office of the Secretary and at the Commission's Public Reference Room.
                </P>
                <HD SOURCE="HD1">II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <P>In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements.</P>
                <HD SOURCE="HD2">A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <HD SOURCE="HD3">1. Purpose</HD>
                <P>The Exchange has in place various price check parameter features that are designed to prevent incoming orders from automatically executing at potentially erroneous prices. These price check parameter features are designed to help maintain a fair and orderly market. The Exchange is proposing to expand the operation of an existing price check parameter feature to its opening rotation process and to include an additional price check parameter feature for its complex order process. The Exchange believes the below-described protection features will enhance the existing functionality and assist with the maintenance of fair and orderly markets by providing an automated process that helps to mitigate the potential risks associated with orders drilling through multiple price points on the opening (thereby resulting in executions at prices that are extreme and potentially erroneous) and complex orders trading at prices that are inconsistent with particular complex order strategies (thereby resulting in executions at prices that are extreme and potentially erroneous).</P>
                <P>
                    With respect to opening rotations, the Exchange is proposing to amend Rule 6.11, 
                    <E T="03">Openings (and sometimes Closings),</E>
                     to extend the application of an existing price check parameter feature to apply to the opening order exposure process. By way of background, currently the Exchange has in place a price check parameter under Rule 6.17, 
                    <E T="03">Price Check Parameters,</E>
                     which provides in relevant part that the Exchange will not automatically execute eligible orders that are marketable if the execution would follow an initial partial execution on the Exchange and would be at a subsequent price that is not within an acceptable tick distance from the initial execution (which is equivalent to the national best bid or offer (“NBBO”)). For purposes of this provision, the acceptable tick distance is determined by the Exchange on a series-by-series and premium basis for market orders and/or marketable limit orders (provided it is not less than 2 minimum increment ticks) and announced via Regulatory Circular. Also by way of background, currently as part of the opening rotation process, additional steps are automatically taken through an order exposure process to address certain opening quote, acceptable price range, market order imbalance, and NBBO conditions. At the conclusion of the order exposure process, the remaining balance of any orders are automatically executed if marketable or booked if not marketable, except that any remaining balance of opening contingency orders not executed after an exposure on the opening are automatically cancelled. Orders that are subject to this opening order exposure process are not currently subject to the price check parameter described above.
                </P>
                <P>
                    The purpose of the proposed rule change is to extend the application of the existing price check protection feature to apply to orders that are subject to the opening order exposure process, with certain modifications described below. In particular, the Exchange is proposing to amend Rule 6.11 to instead provide that, following the exposure process, the Exchange will not automatically execute or book the remaining balance of any orders not executed after an exposure on the opening that are priced or would execute at a price that is not within an acceptable tick distance from the initial exposure price. Any remaining balance of such orders will be cancelled.
                    <SU>5</SU>
                    <FTREF/>
                     The “acceptable tick distance” will be determined by the Exchange on a series-by-series and premium basis and will be the same as the acceptable tick distance established under Rule 6.17. In accordance with Rule 6.11.02, all pronouncements regarding the acceptable tick distances determined by the Exchange will be announced via Regulatory Circular. The Exchange notes that the only distinctions in the application of the existing price check parameter to the opening order exposure process are that: (i) The price from which the acceptable tick distance is measured will be the initial exposure price,
                    <SU>6</SU>
                    <FTREF/>
                     not the NBBO; and (ii) all orders that are part of the opening order exposure process will be subject to the price check parameter, not just market orders and/or marketable limit orders.
                </P>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         The Exchange notes that opening contingency orders are currently subject to the order exposure process and, under the price check parameter, would also be subject to execution at prices within the acceptable tick distance. Any remaining balance of any opening contingency order that is not executed within the acceptable tick distance will be cancelled.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         The initial exposure price varies depending on the particular conditions that exist. For certain conditions, the initial exposure price is the NBBO. For other conditions, the initial exposure price is the widest point within the acceptable opening range or the NBBO, whichever is better. 
                        <E T="03">See</E>
                         Rule 6.11(e)-(f).
                    </P>
                </FTNT>
                <P>
                    For example, the Exchange may determine that an acceptable tick 
                    <PRTPAGE P="57095"/>
                    distance for a series trading in penny increments with premiums ranging from $1.00-$2.99 is five ticks (
                    <E T="03">i.e.,</E>
                     $0.05). Thus, if the initial exposure price for a series is $1.20, any remaining balance of an order not executed via the exposure process will be cancelled to the extent the order is priced or would execute at a price that is more than $0.05 away from the initial exposure price of $1.20 (
                    <E T="03">e.g.,</E>
                     a market order to buy that would execute above $1.25 or a limit order to buy that is priced above $1.25).
                </P>
                <P>The Exchange believes that extending the existing price protection feature to include the opening exposure process will assist with the maintenance of fair and orderly markets by helping to mitigate the potential risks associated with orders drilling through multiple price points when the Exchange first opens for trading (thereby resulting in executions at prices that are extreme and potentially erroneous). Rather than automatically executing or booking orders at extreme and potentially erroneous prices, the Exchange will cancel orders that exceed the price check parameter back to order entry firms so that the orders can be further evaluated.</P>
                <P>
                    With respect to the complex order process, the Exchange is proposing to amend Rule 6.13, 
                    <E T="03">Complex Order Execution,</E>
                     to include a new price check parameter feature. Specifically, the Exchange is proposing to introduce a new price check parameter feature (the “buy-buy/sell-sell strategy parameter”) that the Exchange may determine to make available on a class-by-class basis (and announce via Regulatory Circular in accordance with Rule 6.13.01). In classes where the buy-buy/sell-sell strategy parameter feature is activated, the complex order book (“COB”) will not automatically execute an eligible complex order that is a limit order where (i) All the components of the strategy are to buy and the order is priced at zero, any net credit price, or a net debit price that is less than the number of individual option series legs in the strategy (or applicable ratio) multiplied by the applicable minimum net price increment for the complex order; or (ii) all the components of the strategy are to sell and the order is priced at zero, any net debit price, or a net credit price that is less than the number of individual option series legs in the strategy (or applicable ratio) multiplied by the applicable minimum net price increment for the complex order. Such a complex order under this feature will be rejected (and, thus, could not route to COB or the complex order RFR auction (“COA”) for processing). As proposed, in classes where the buy-buy/sell-sell strategy parameter feature is available, it will also be available for COA responses under Rule 6.13(c), complex orders and responses under Rule 6.51, 
                    <E T="03">Automated Improvement Mechanism (“AIM”),</E>
                     and 6.52, 
                    <E T="03">Solicitation Auction Mechanism</E>
                     (“SAM”), and AIM customer-to-customer immediate crosses under Rule 6.51.08 (“CTC”).
                    <SU>7</SU>
                    <FTREF/>
                     Such paired complex orders and responses under these provisions will be rejected. In this regard, if any paired order submitted by an order entry firm for AIM, SAM or CTC processing exceeds the parameters, then both the order that exceeds the parameters and the paired contra-side order will be rejected regardless of whether the contra-side order exceeds the parameters. However, to the extent that only the paired contra-side order submitted by an order entry firm for AIM or SAM processing would exceed the price check parameter, the paired contra-side order will be rejected while the original Agency Order may be rejected or, at the order entry firm's discretion, continue processing as an unpaired complex order (
                    <E T="03">e.g.,</E>
                     the original Agency Order would route to COB or COA for processing).
                </P>
                <FTNT>
                    <P>
                        <SU>7</SU>
                         AIM, SAM and CTC are mechanisms that may be used to cross two paired orders. COA is a mechanism that may be used to expose an unpaired complex order for price improvement. Orders submitted for COA, AIM or SAM or COA processing are exposed for price improvement through an auction (and thus other market participants may submit responses), whereas orders submitted for CTC processing are executed immediately without exposure.
                    </P>
                </FTNT>
                <P>
                    For example, under the new buy-buy/sell-sell strategy parameter feature, a limit order to sell 1 Mar 45 call where the individual option series trades in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.01 would be rejected if it has a net price of $0.00, any net debit price, or a net credit price that is less than $0.01 ($0.01 × (1 option leg)).
                    <SU>8</SU>
                    <FTREF/>
                     Such an order would appear to be erroneously priced because normally a person selling one series would expect to receive a net credit price of at least $0.01 (a price of at least $0.01—the minimum net price trading increment for the complex order—for the series being sold).
                </P>
                <FTNT>
                    <P>
                        <SU>8</SU>
                         If, for example, the individual option series trades in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.05, then the minimum net credit price calculation for the scenario above would be $0.05 ($0.05 × (1 options leg)).
                    </P>
                </FTNT>
                <P>
                    As another example, a limit order to sell 1 Mar 45 call and sell 1 Mar 50 call where the individual option series trade in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.01 would be rejected if it has a net price of $0.00, any net debit price, or a net credit price that is less than $0.02 ($0.01 × (2 options legs)).
                    <SU>9</SU>
                    <FTREF/>
                     Such an order would appear to be erroneously priced because normally a person selling two series would expect to receive a net credit price of at least $0.02 (a price of at least $0.01—the minimum net price increment for the complex order—for each series being sold).
                </P>
                <FTNT>
                    <P>
                        <SU>9</SU>
                         If, for example, the individual option series trades in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.05, then the minimum net credit price calculation for the scenario above would be $0.10 ($0.05 × (2 options legs)).
                    </P>
                </FTNT>
                <P>As another example, assume two paired complex orders are submitted to an AIM auction and the minimum net price increment for the complex orders is $0.01. If the original Agency Order is a market order to sell 1 Mar 45 call and sell 1 Mar 50 call (which satisfies the price check parameter because the parameter is only triggered by limit prices), but the contra-side order to buy 1 Mar 45 call and buy 1 Mar 50 call has a net price of $0.00, the AIM auction will not initiate because the contra-side order does not satisfy the price check parameter. Such a contra-side order would appear to be erroneously priced because normally a person buying two series would expect to pay a net debit price of at least $0.02 (a price of at least $0.01—the minimum net price increment for the complex order—for each series being purchased). The contra-side order would be rejected. The paired original Agency Order would either be rejected along with the contra-side order or, at the order entry firm's discretion, continue processing as an unpaired complex order.</P>
                <P>
                    The Exchange believes that this new price protection feature will assist with the maintenance of fair and orderly markets by helping to mitigate the potential risks associated with complex orders that are entered at net limit prices that are inconsistent with the particular “buy-buy” or “sell-sell” strategy (thereby resulting in execution at prices that are extreme and potentially erroneous). Rather than automatically execute, book or auction orders at prices inconsistent with the strategy, the Exchange will reject the orders back to the order entry firms.
                    <SU>10</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>10</SU>
                         The Exchange notes that the proposed buy-buy/sell-sell strategy parameter feature for limit orders is very similar to the logic behind an existing debit-to-credit/credit-to-debit strategy parameter feature and an existing vertical/butterfly strategy parameter feature under Rule 6.13.04(b) and (c), respectively. These existing price protection parameters also prevent complex orders from being automatically executed or booked at prices that would be 
                        <PRTPAGE/>
                        inconsistent with the particular complex order strategies.
                    </P>
                </FTNT>
                <PRTPAGE P="57096"/>
                <HD SOURCE="HD3">2. Statutory Basis</HD>
                <P>
                    The proposed rule change is consistent with Section 6(b) of the Act 
                    <SU>11</SU>
                    <FTREF/>
                     in general and furthers the objectives of Section 6(b)(5) of the Act 
                    <SU>12</SU>
                    <FTREF/>
                     in particular in that it should promote just and equitable principles of trade, serve to remove impediments to and perfect the mechanism of a free and open market and a national market system, and protect investors and the public interest. The Exchange believes the proposed rule change will assist in the automatic execution and processing of orders that are subject to the Exchange's opening and complex order processing. The Exchange also believes the proposed rule change will enhance the existing price check parameter functionality and assist with the maintenance of fair and orderly markets by providing an automated process that helps to mitigate the potential risks associated with orders drilling through multiple price points on the opening (thereby resulting in executions at prices that are extreme and potentially erroneous) and complex orders trading at prices that are inconsistent with particular complex order strategies (thereby resulting in executions at prices that are extreme and potentially erroneous).
                </P>
                <FTNT>
                    <P>
                        <SU>11</SU>
                         15 U.S.C. 78f(b).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>12</SU>
                         15 U.S.C. 78f(b)(5).
                    </P>
                </FTNT>
                <HD SOURCE="HD2">B. Self-Regulatory Organization's Statement on Burden on Competition</HD>
                <P>The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act.</P>
                <HD SOURCE="HD2">C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others</HD>
                <P>The Exchange neither solicited nor received comments on the proposal.</P>
                <HD SOURCE="HD1">III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action</HD>
                <P>
                    Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days after the date of the filing, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act 
                    <SU>13</SU>
                    <FTREF/>
                     and Rule 19b-4(f)(6) thereunder.
                    <SU>14</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>13</SU>
                         15 U.S.C. 78s(b)(3)(A).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>14</SU>
                         17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement.
                    </P>
                </FTNT>
                <P>
                    A proposed rule change filed under Rule 19b-4(f)(6) 
                    <SU>15</SU>
                    <FTREF/>
                     normally does not become operative prior to 30 days after the date of the filing. However, pursuant to Rule 19b-4(f)(6)(iii),
                    <SU>16</SU>
                    <FTREF/>
                     the Commission may designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has asked the Commission to waive the 30-day operative delay so that the proposal may become operative immediately upon filing. The Exchange notes that waiving the 30-day operative delay will enable the Exchange to implement these protection promptly, which will allow market participants to benefit from these protections without delay. In addition, the Exchange notes that the proposed opening price check parameter feature is an extension of the Exchange's existing price check parameter feature with certain modifications (as discussed above) and is intended to address problematic executions that have previously occurred on the open. The Exchange further notes that the proposed new complex order price check parameter feature is similar to existing price check parameter features for complex orders (as discussed above) and is designed to address problematic executions that have previously occurred with complex orders. The Exchange has informed the Commission that it is proposing these changes in response to requests the Exchange received from market participants. For these reasons, the Commission believes that waiving the 30-day operative delay is consistent with the protection of investors and the public interest, and designates the proposed rule change to be operative upon filing with the Commission.
                    <SU>17</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>15</SU>
                         17 CFR 240.19b-4(f)(6).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>16</SU>
                         17 CFR 240.19b-4(f)(6)(iii).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>17</SU>
                         For purposes only of waiving the operative delay for this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 
                        <E T="03">See</E>
                         15 U.S.C. 78c(f).
                    </P>
                </FTNT>
                <P>At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act.</P>
                <HD SOURCE="HD1">IV. Solicitation of Comments</HD>
                <P>Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:</P>
                <HD SOURCE="HD2">Electronic Comments</HD>
                <P>
                    • Use the Commission's Internet comment form (
                    <E T="03">http://www.sec.gov/rules/sro.shtml</E>
                    ); or
                </P>
                <P>
                    • Send an e-mail to 
                    <E T="03">rule-comments@sec.gov.</E>
                     Please include File Number SR-C2-2011-018 on the subject line.
                </P>
                <HD SOURCE="HD2">Paper Comments</HD>
                <P>• Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.</P>
                <FP>
                    All submissions should refer to File Number SR-C2-2011-018. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (
                    <E T="03">http://www.sec.gov/rules/sro.shtml</E>
                    ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-C2-2011-018 and should be submitted on or before October 6, 2011.
                    <FTREF/>
                </FP>
                <SIG>
                    <PRTPAGE P="57097"/>
                    <P>
                        For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
                        <SU>18</SU>
                    </P>
                    <FTNT>
                        <P>
                            <SU>18</SU>
                             17 CFR 200.30-3(a)(12).
                        </P>
                    </FTNT>
                    <NAME>Elizabeth M. Murphy,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23603 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8011-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">SECURITIES AND EXCHANGE COMMISSION</AGENCY>
                <DEPDOC>[Release No. 34-65310; File No. SR-CBOE-2011-082]</DEPDOC>
                <SUBJECT>Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Opening and Complex Order Price Check Parameter Features</SUBJECT>
                <DATE>September 9, 2011.</DATE>
                <P>
                    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the “Act”) 
                    <SU>1</SU>
                    <FTREF/>
                     and Rule 19b-4 thereunder,
                    <SU>2</SU>
                    <FTREF/>
                     notice is hereby given that, on August 26, 2011, Chicago Board Options Exchange, Incorporated (“Exchange” or “CBOE”) filed with the Securities and Exchange Commission (the “Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange has designated the proposal as a “non-controversial” proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act 
                    <SU>3</SU>
                    <FTREF/>
                     and Rule 19b-4(f)(6) thereunder.
                    <SU>4</SU>
                    <FTREF/>
                     The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
                </P>
                <FTNT>
                    <P>
                        <SU>1</SU>
                         15 U.S.C.78s(b)(1).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>2</SU>
                         17 CFR 240.19b-4.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>3</SU>
                         15 U.S.C. 78s(b)(3)(A)(iii).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>4</SU>
                         17 CFR 240.19b-4(f)(6).
                    </P>
                </FTNT>
                <HD SOURCE="HD1">I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change</HD>
                <P>
                    The Exchange is proposing to expand the operation of an existing price check parameter feature to its opening rotation process and to include an additional price check parameter feature for its complex order process. The text of the proposed rule change is available on the Exchange's Web site (
                    <E T="03">http://www.cboe.org/Legal</E>
                    ), at the Exchange's Office of the Secretary and at the Commission's Public Reference Room.
                </P>
                <HD SOURCE="HD1">II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <P>In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of those statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant parts of such statements.</P>
                <HD SOURCE="HD2">A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change</HD>
                <HD SOURCE="HD3">1. Purpose</HD>
                <P>The Exchange has in place various price check parameter features that are designed to prevent incoming orders from automatically executing at potentially erroneous prices. These price check parameter features are designed to help maintain a fair and orderly market. The Exchange is proposing to expand the operation of an existing price check parameter feature to its opening rotation process and to include an additional price check parameter feature for its complex order process. The Exchange believes the below-described protection features will enhance the existing functionality and assist with the maintenance of fair and orderly markets by providing an automated process that helps to mitigate the potential risks associated with orders drilling through multiple price points on the opening (thereby resulting in executions at prices that are extreme and potentially erroneous) and complex orders trading at prices that are inconsistent with particular complex order strategies (thereby resulting in executions at prices that are extreme and potentially erroneous).</P>
                <P>
                    With respect to opening rotations, the Exchange is proposing to amend Rule 6.2B, 
                    <E T="03">Hybrid Opening System (“HOSS”),</E>
                     to extend the application of an existing price check parameter feature to apply to the opening order exposure process. By way of background, currently the Exchange has in place a price check parameter under paragraph (b)(vi) of Rule 6.13, 
                    <E T="03">CBOE Hybrid System Automatic Execution Feature,</E>
                     which provides in relevant part that the Exchange will not automatically execute eligible orders that are marketable if the execution would follow an initial partial execution on the Exchange and would be at a subsequent price that is not within an acceptable tick distance from the initial execution (which is equivalent to the national best bid or offer (“NBBO”)). For purposes of this provision, the acceptable tick distance is determined by the Exchange on a series-by-series and premium basis for market orders and/or marketable limit orders (provided it is not less than 2 minimum increment ticks) and announced via Regulatory Circular. Also by way of background, currently certain classes utilize the Hybrid Agency Liaison (“HAL”) functionality as part of the opening rotation process. For each class that utilizes the HAL opening procedure, additional steps are automatically taken using HAL/HAL2 (Rule 6.14/6.14A) 
                    <SU>5</SU>
                    <FTREF/>
                     automated order handling functionality to address certain opening quote, acceptable price range, market order imbalance, and NBBO conditions. At the conclusion of the HAL/HAL2 exposure process, the remaining balance of any orders not executed via HAL/HAL2 on the opening are automatically executed if marketable or booked if not marketable, except that (i) For all classes, any remaining balance of opening contingency orders are automatically cancelled; and (ii) for single list classes, any remaining balance of marketable orders route as determined by the Exchange on a class-by-class basis to PAR or, at the order entry firm's discretion, to the order entry firm's booth. Orders that are subject to the HAL/HAL2 exposure process are not currently subject to the price check parameter described above.
                </P>
                <FTNT>
                    <P>
                        <SU>5</SU>
                         The Exchange notes that all classes that utilize HAL processing are currently utilizing the HAL2 version set forth in Rule 6.14A. The HAL version set forth in Rule 6.14 is no longer utilized.
                    </P>
                </FTNT>
                <P>
                    The purpose of the proposed rule change is to extend the application of the existing price check protection feature to apply to orders that are subject to the HAL/HAL2 exposure process, with certain modifications described below. In particular, the Exchange is proposing to amend the process noted in (i) and (ii) above to instead provide that, following the HAL/HAL2 exposure process, the CBOE Hybrid Trading System will not automatically execute or book the remaining balance of any orders not executed after HAL/HAL2 that are priced or would execute at a price that is not within an acceptable tick distance from the initial HAL/HAL2 price. Any remaining balance of such orders will route as determined by the Exchange on a class-by-class basis to PAR or, at the order entry firm's discretion, to the order entry firm's booth (except that any remaining balance of opening contingency orders will be cancelled).
                    <SU>6</SU>
                    <FTREF/>
                      
                    <PRTPAGE P="57098"/>
                    If an order is not eligible to route to PAR (and the order entry firm has not designed a booth), then the remaining balance will be cancelled. The “acceptable tick distance” will be determined by the Exchange on a series-by-series and premium basis and shall be no less than 2 minimum increment ticks. For classes in which HAL2 is activated, the acceptable tick distance will be the same as the acceptable tick distance established under Rule 6.13(b)(vi). In accordance with Rule 6.2B.05, all pronouncements regarding the acceptable tick distances and routing parameters determined by the Exchange will be announced to Trading Permit Holders via Regulatory Circular. The Exchange notes that the only distinctions in the application of the existing price check parameter to the opening order exposure process are that: (i) The price from which the acceptable tick distance is measured will be the initial HAL/HAL2 price,
                    <SU>7</SU>
                    <FTREF/>
                     not the NBBO; and (ii) all orders that are part of the opening order exposure process will be subject to the price check parameter, not just market orders and/or marketable limit orders.
                </P>
                <FTNT>
                    <P>
                        <SU>6</SU>
                         The Exchange notes that opening contingency orders are currently subject to the order exposure process and, under the price check parameter, would also be subject to execution at prices within the acceptable tick distance. Any remaining balance 
                        <PRTPAGE/>
                        of any opening contingency order that is not executed within the acceptable tick distance will be cancelled.
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>7</SU>
                         The initial HAL/HAL2 price varies depending on the particular conditions that exist. For certain conditions, the initial HAL/HAL2 price is the NBBO. For other conditions, the initial HAL/HAL2 price is the widest point within the acceptable opening range or the NBBO, whichever is better. 
                        <E T="03">See</E>
                         Rule 6.2B.03(a)-(b).
                    </P>
                </FTNT>
                <P>
                    For example, the Exchange may determine that an acceptable tick distance for a series trading in penny increments with premiums ranging from $1.00—$2.99 is five ticks (
                    <E T="03">i.e.,</E>
                     $0.05). Thus, if the initial HAL/HAL2 price for a series is $1.20, any remaining balance of an order not executed via HAL/HAL2 on the opening will route as determined by the Exchange to PAR or, at the order entry firm's discretion, to the order entry firm's booth to the extent the order is priced or would execute at a price that is more than $0.05 away from the initial HAL/HAL2 price of $1.20 (
                    <E T="03">e.g.,</E>
                     a market order to buy that would execute above $1.25 or a limit order to buy that is priced above $1.25).
                </P>
                <P>The Exchange believes that extending the existing price protection feature to include the opening HAL/HAL2 process will assist with the maintenance of fair and orderly markets by helping to mitigate the potential risks associated with orders drilling through multiple price points when the Exchange first opens for trading (thereby resulting in executions at prices that are extreme and potentially erroneous). Rather than automatically executing or booking orders at extreme and potentially erroneous prices, the Exchange will route orders that are not within the price check parameters to PAR or the order entry firm's booth so that the orders can be further evaluated.</P>
                <P>
                    With respect to the complex order process, the Exchange is proposing to amend Rule 6.53C, 
                    <E T="03">Complex Orders on the Hybrid System,</E>
                     to include a new price check parameter feature. Specifically, the Exchange is proposing to introduce a new price check parameter feature (the “buy-buy/sell-sell strategy parameter”) that the Exchange may determine to make available on a class-by-class basis (and announce to Trading Permit Holders via Regulatory Circular in accordance with Rule 6.53C.01). In classes where the buy-buy/sell-sell strategy parameter feature is activated, the complex order book (“COB”) will not automatically execute an eligible complex order that is a limit order where (i) All the components of the strategy are to buy and the order is priced at zero, any net credit price, or a net debit price that is less than the number of individual option series legs in the strategy (or applicable ratio) multiplied by the applicable minimum net price increment for the complex order; or (ii) all the components of the strategy are to sell and the order is priced at zero, any net debit price, or a net credit price that is less than the number of individual option series legs in the strategy (or applicable ratio) multiplied by the applicable minimum net price increment for the complex order. Such a complex order under this feature will be rejected (and, thus, could not route to COB or the complex order RFR auction (“COA”) for processing). As proposed, in classes where the buy-buy/sell-sell strategy parameter feature is available, it will also be available for Stock-Option Orders (and the minimum net price increment calculation above would only apply to the individual option series legs). In addition, in classes where the buy-buy/sell-sell strategy parameter feature is available, it will also be available for COA responses under Rule 6.53C(d), complex orders and responses under Rule 6.74A, 
                    <E T="03">Automated Improvement Mechanism (“AIM”),</E>
                     and 6.74B, 
                    <E T="03">Solicitation Auction Mechanism</E>
                     (“SAM”), AIM customer-to-customer immediate crosses under Rule 6.74A.08 (“CTC”), or qualified contingent cross orders under paragraph (u) of Rule 6.53, 
                    <E T="03">Certain Types of Orders Defined</E>
                     (“QCC”).
                    <SU>8</SU>
                    <FTREF/>
                     Such paired complex orders and responses under these provisions will be rejected. In this regard, if any paired order submitted by an order entry firm for AIM, SAM, CTC or QCC processing exceeds the parameters, then both the order that exceeds the parameters and the paired contra-side order will be rejected regardless of whether the contra-side order exceeds the parameters. However, to the extent that only the paired contra-side order submitted by an order entry firm for AIM or SAM processing would exceed the price check parameter, the paired contra-side order will be rejected while the original Agency Order may be rejected or, at the order entry firm's discretion, continue processing as an unpaired complex order (
                    <E T="03">e.g.,</E>
                     the original Agency Order would route to COB or COA for processing).
                </P>
                <FTNT>
                    <P>
                        <SU>8</SU>
                         AIM, SAM, CTC and QCC are mechanisms that may be used to cross two paired orders. COA is a mechanism that may be used to expose an unpaired complex order for price improvement. Orders submitted for COA, AIM or SAM processing are exposed for price improvement through an auction (and thus other market participants may submit responses), whereas orders submitted for CTC or QCC processing are executed immediately without exposure.
                    </P>
                </FTNT>
                <P>
                    For example, under the new buy-buy/sell-sell strategy parameter feature, a limit order to sell 1 Mar 45 call and sell 100 shares of stock where the individual option series trades in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.01 would be rejected if it has a net price of $0.00, any net debit price, or a net credit price that is less than $0.01 ($0.01 × (1 option leg)).
                    <SU>9</SU>
                    <FTREF/>
                     Such an order would appear to be erroneously priced because normally a person selling one series would expect to receive a net credit price of at least $0.01 (a price of at least $0.01—the minimum net price trading increment for the complex order—for the series being sold).
                </P>
                <FTNT>
                    <P>
                        <SU>9</SU>
                         If, for example, the individual option series trades in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.05, then the minimum net credit price calculation for the scenario above would be $0.05 ($0.05 × (1 options leg)).
                    </P>
                </FTNT>
                <P>
                    As another example, a limit order to sell 1 Mar 45 call, sell 1 Mar 50 call and sell 100 shares of stock where the individual option series trade in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.01 would be rejected if it has a net price of $0.00, any net debit price, or a net credit price that is less than $0.02 ($0.01 × (2 options legs)).
                    <SU>10</SU>
                    <FTREF/>
                     Such an order would appear to 
                    <PRTPAGE P="57099"/>
                    be erroneously priced because normally a person selling two series would expect to receive a net credit price of at least $0.10 (a price of at least $0.05—the minimum net price increment for the complex order—for each series being sold).
                </P>
                <FTNT>
                    <P>
                        <SU>10</SU>
                         If, for example, the individual option series trades in a minimum increment of $0.05 and the minimum net price increment for the complex order is $0.05, then the minimum net credit price calculation for the scenario above would be $0.10 ($0.05 × (2 options legs)).
                    </P>
                </FTNT>
                <P>As another example, assume two paired complex orders are submitted to an AIM auction and the minimum net price increment for the complex orders is $0.01. If the original Agency Order is a market order to sell 1 Mar 45 call and sell 1 Mar 50 call (which satisfies the price check parameter because the parameter is only triggered by limit prices), but the contra-side order to buy 1 Mar 45 call and buy 1 Mar 50 call has a net price of $0.00, the AIM auction will not initiate because the contra-side order does not satisfy the price check parameter. Such a contra-side order would appear to be erroneously priced because normally a person buying two series would expect to pay a net debit price of at least $0.02 (a price of at least $0.01—the minimum net price increment for the complex order—for each series being purchased). The contra-side order would be rejected. The paired original Agency Order would either be rejected along with the contra-side order or, at the order entry firm's discretion, continue processing as an unpaired complex order.</P>
                <P>
                    The Exchange believes that this new price protection feature will assist with the maintenance of fair and orderly markets by helping to mitigate the potential risks associated with complex orders that are entered at net limit prices that are inconsistent with the particular “buy-buy” or “sell-sell” strategy (thereby resulting in execution at prices that are extreme and potentially erroneous). Rather than automatically execute, book or auction orders at prices inconsistent with the strategy, the Exchange will reject the orders back to the order entry firms.
                    <SU>11</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>11</SU>
                         The Exchange notes that the proposed buy-buy/sell-sell strategy parameter feature for limit orders is very similar to the logic behind an existing debit-to-credit/credit-to-debit strategy parameter feature and an existing vertical/butterfly strategy parameter feature under Rule 6.53C.08(b) and (c), respectively. These existing price protection parameters also prevent complex orders from being automatically executed or booked at prices that would be inconsistent with the particular strategies.
                    </P>
                </FTNT>
                <HD SOURCE="HD3">2. Statutory Basis</HD>
                <P>
                    The proposed rule change is consistent with Section 6(b) of the Act 
                    <SU>12</SU>
                    <FTREF/>
                     in general and furthers the objectives of Section 6(b)(5) of the Act 
                    <SU>13</SU>
                    <FTREF/>
                     in particular in that it should promote just and equitable principles of trade, serve to remove impediments to and perfect the mechanism of a free and open market and a national market system, and protect investors and the public interest. The Exchange believes the proposed rule change will assist in the automatic execution and processing of orders that are subject to the Exchange's opening and complex order processing. The Exchange also believes the proposed rule change will enhance the existing price check parameter functionality and assist with the maintenance of fair and orderly markets by providing an automated process that helps to mitigate the potential risks associated with orders drilling through multiple price points on the opening (thereby resulting in executions at prices that are extreme and potentially erroneous) and complex orders trading at prices that are inconsistent with particular complex order strategies (thereby resulting in executions at prices that are extreme and potentially erroneous).
                </P>
                <FTNT>
                    <P>
                        <SU>12</SU>
                         15 U.S.C. 78f(b).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>13</SU>
                         15 U.S.C. 78f(b)(5).
                    </P>
                </FTNT>
                <HD SOURCE="HD2">B. Self-Regulatory Organization's Statement on Burden on Competition</HD>
                <P>CBOE does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act.</P>
                <HD SOURCE="HD2">C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others</HD>
                <P>The Exchange neither solicited nor received comments on the proposal.</P>
                <HD SOURCE="HD1">III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action</HD>
                <P>
                    Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days after the date of the filing, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act 
                    <SU>14</SU>
                    <FTREF/>
                     and Rule 19b-4(f)(6) thereunder.
                    <SU>15</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>14</SU>
                         15 U.S.C. 78s(b)(3)(A).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>15</SU>
                         17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement.
                    </P>
                </FTNT>
                <P>
                    A proposed rule change filed under Rule 19b-4(f)(6) 
                    <SU>16</SU>
                    <FTREF/>
                     normally does not become operative prior to 30 days after the date of the filing. However, pursuant to Rule 19b-4(f)(6)(iii),
                    <SU>17</SU>
                    <FTREF/>
                     the Commission may designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has asked the Commission to waive the 30-day operative delay so that the proposal may become operative immediately upon filing. The Exchange notes that waiving the 30-day operative delay will enable the Exchange to implement these protection features promptly, which will allow market participants to benefit from these protections without delay. In addition, the Exchange notes that the proposed opening price check parameter feature is an extension of the Exchange's existing price check parameter feature with certain modifications (as discussed above) and is intended to address problematic executions that have previously occurred on the open. The Exchange further notes that the proposed new complex order price check parameter feature is similar to existing price check parameter features for complex orders (as discussed above) and is designed to address problematic executions that have previously occurred with complex orders. The Exchange has informed the Commission that it is proposing these changes in response to requests the Exchange received from market participants. For these reasons, the Commission believes that waiving the 30-day operative delay is consistent with the protection of investors and the public interest, and designates the proposed rule change to be operative upon filing with the Commission.
                    <SU>18</SU>
                    <FTREF/>
                </P>
                <FTNT>
                    <P>
                        <SU>16</SU>
                         17 CFR 240.19b-4(f)(6).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>17</SU>
                         17 CFR 240.19b-4(f)(6)(iii).
                    </P>
                </FTNT>
                <FTNT>
                    <P>
                        <SU>18</SU>
                         For purposes only of waiving the operative delay for this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 
                        <E T="03">See</E>
                         15 U.S.C. 78c(f).
                    </P>
                </FTNT>
                <P>At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act.</P>
                <HD SOURCE="HD1">IV. Solicitation of Comments</HD>
                <P>
                    Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods:
                    <PRTPAGE P="57100"/>
                </P>
                <HD SOURCE="HD2">Electronic Comments</HD>
                <P>
                    • Use the Commission's Internet comment form (
                    <E T="03">http://www.sec.gov/rules/sro.shtml</E>
                    ); or
                </P>
                <P>
                    • Send an e-mail to 
                    <E T="03">rule-comments@sec.gov.</E>
                     Please include File Number SR-CBOE-2011-082 on the subject line.
                </P>
                <HD SOURCE="HD2">Paper Comments</HD>
                <P>• Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.</P>
                <FP>
                    All submissions should refer to File Number SR-CBOE-2011-082. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (
                    <E T="03">http://www.sec.gov/rules/sro.shtml</E>
                    ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-CBOE-2011-082 and should be submitted on or before October 6, 2011.
                </FP>
                <SIG>
                    <P>
                        For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.
                        <SU>19</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>19</SU>
                             17 CFR 200.30-3(a)(12).
                        </P>
                    </FTNT>
                    <NAME>Elizabeth M. Murphy,</NAME>
                    <TITLE>Secretary.</TITLE>
                </SIG>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23602 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8011-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">SMALL BUSINESS ADMINISTRATION</AGENCY>
                <DEPDOC>[Disaster Declaration #12809 and #12810]</DEPDOC>
                <SUBJECT>New Hampshire Disaster #NH-00020</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>U.S. Small Business Administration.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>This is a Notice of the Presidential declaration of a major disaster for Public Assistance Only for the State of New Hampshire (FEMA-4026-DR), dated 09/03/2011.</P>
                    <P>
                        <E T="03">Incident:</E>
                         Tropical Storm Irene.
                    </P>
                    <P>
                        <E T="03">Incident Period:</E>
                         08/26/2011 and continuing.
                    </P>
                    <P>
                        <E T="03">Effective Date:</E>
                         09/03/2011.
                    </P>
                    <P>
                        <E T="03">Physical Loan Application Deadline Date:</E>
                         11/02/2011.
                    </P>
                    <P>
                        <E T="03">Economic Injury (EIDL) Loan Application Deadline Date:</E>
                         06/05/2012.
                    </P>
                </SUM>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155.</P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416.</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>Notice is hereby given that as a result of the President's major disaster declaration on 09/03/2011, Private Non-Profit organizations that provide essential services of governmental nature may file disaster loan applications at the address listed above or other locally announced locations.</P>
                <P>The following areas have been determined to be adversely affected by the disaster:</P>
                <FP SOURCE="FP-2">
                    <E T="03">Primary Counties:</E>
                     Carroll, Coos, Grafton, Merrimack.
                </FP>
                <P>The Interest Rates are:</P>
                <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s25,8">
                    <TTITLE> </TTITLE>
                    <BOXHD>
                        <CHED H="1"> </CHED>
                        <CHED H="1">Percent</CHED>
                    </BOXHD>
                    <ROW>
                        <ENT I="22">For Physical Damage:</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Non-profit organizations with credit available elsewhere </ENT>
                        <ENT>3.250</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Non-profit organizations without credit available elsewhere </ENT>
                        <ENT>3.000</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="22">For Economic Injury:</ENT>
                    </ROW>
                    <ROW>
                        <ENT I="03">Non-profit organizations without credit available elsewhere </ENT>
                        <ENT>3.000</ENT>
                    </ROW>
                </GPOTABLE>
                <P>The number assigned to this disaster for physical damage is 128098 and for economic injury is 128108.</P>
                <EXTRACT>
                    <FP>(Catalog of Federal Domestic Assistance Numbers 59002 and 59008)</FP>
                </EXTRACT>
                <SIG>
                    <NAME>James E. Rivera,</NAME>
                    <TITLE>Associate Administrator for Disaster Assistance.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23565 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8025-01-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">TENNESSEE VALLEY AUTHORITY</AGENCY>
                <SUBJECT>Natural Resource Plan</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Tennessee Valley Authority (TVA).</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Issuance of Record of Decision.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        This notice is provided in accordance with the Council on Environmental Quality's regulations (40 CFR parts1500 to 1508) and TVA's procedures for implementing the National Environmental Policy Act. TVA has decided to adopt the preferred alternative in its final environmental impact statement (EIS) for the Natural Resource Plan (NRP). The notice of availability of the 
                        <E T="03">Final Environmental Impact Statement for the Natural Resource Plan</E>
                         was published in the 
                        <E T="04">Federal Register</E>
                         on July 15, 2011. The TVA Board of Directors accepted the NRP and authorized TVA's Chief Executive Officer to implement the preferred alternative at its August 18, 2011, meeting. This alternative, Blended Management, will guide TVA's natural resource management over the next 20 years.
                    </P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Charles P. Nicholson, NEPA Compliance Manager, Tennessee Valley Authority, 400 West Summit Hill Drive, WT 11D, Knoxville, Tennessee 37902-1499, telephone 865-632-3582 or e-mail 
                        <E T="03">cpnicholson@tva.gov</E>
                         ; Helen G. Rucker, Senior Manager, Land and Shoreline Management, Tennessee Valley Authority, 400 West Summit Hill Drive, WT 11B, Knoxville, Tennessee 37902-1499, telephone 865-632-3325 or email 
                        <E T="03">hgrucker@tva.gov</E>
                        .
                    </P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P>
                    TVA is an agency and instrumentality of the United States, established by an act of Congress in 1933, to foster the social and economic welfare of the people of the Tennessee Valley region and to promote the proper use and conservation of the region's natural resources. TVA's threefold mission is to provide affordable and reliable power, promote sustainable economic development, and act as the steward of the Valley's natural resources. The lands managed by TVA in the name of the United States of America are some of the most important resources of the 
                    <PRTPAGE P="57101"/>
                    region. These lands include approximately 293,000 acres associated with the TVA reservoir system and approximately 9,100 acres associated with TVA electrical generating facilities.
                </P>
                <P>From its inception through 1998, TVA received federal appropriations for its natural resource management activities. Since then, the Energy and Water Development Act of 1998 has required TVA to fund its “essential stewardship activities,” including natural resource management, with its revenues from the sale of power and other funds. The TVA Act requires the TVA power system to be self-supporting and operating on a nonprofit basis and directs TVA to sell power at rates as low as are feasible.</P>
                <P>The TVA Environmental Policy adopted in 2008 established six strategic objectives and associated critical success factors. Three of these strategic objectives, Water Resource Protection and Improvement, Sustainable Land Use, and Natural Resource Management, are the focus of the NRP. The goals of the NRP are to: (1) Align TVA's natural resource stewardship programs and plans with the Environmental Policy; (2) provide a strategic plan that guides TVA's resource management decisions and actions, integrates stewardship objectives for optimum public benefits while developing efficiencies for natural resources, and strikes a balance between the competing and sometimes conflicting resource uses on TVA-managed lands; (3) increase the efficiency of environmental reviews of TVA actions; (4) provide TVA staff with a reference manual to guide implementation activities; and (5) provide clarity and transparency to the public. The NRP addresses current and proposed TVA programs and activities for the management of biological, cultural, and water resources, recreation, reservoir lands planning, and public engagement.</P>
                <HD SOURCE="HD1">Alternatives Considered</HD>
                <P>Four alternatives for TVA's management of natural resources were evaluated in the NRP EIS. These alternatives consist of different combinations and levels of implementation of resource management programs and activities and approaches to planning the use of TVA reservoir lands.</P>
                <P>
                    <E T="03">Alternative A—No Action Alternative:</E>
                     Under this alternative, TVA would continue to implement the existing programs and activities and would continue to use the current reservoir land planning methods.
                </P>
                <P>
                    <E T="03">Alternative B—Custodial Management:</E>
                     Under this alternative, TVA would implement the programs and activities necessary for compliance with TVA's mission and applicable laws, regulations, executive orders, and TVA policies. In those areas in which TVA would discontinue programs or activities, existing contractual agreements relating to those programs and activities would be honored. In addition, TVA would transfer the management of some recreational facilities to other parties or would close the facilities. Relative to Alternative A, this alternative would reduce TVA's level of effort in some areas and increase it in others. TVA would continue to use the current reservoir land planning methods.
                </P>
                <P>
                    <E T="03">Alternative C—Flagship Management:</E>
                     Under this alternative, TVA would aggressively explore, pilot test, and implement existing and new programs and activities to increase its resource management to the “gold standard.” TVA's proactive management of biological, cultural, and water resources would be greatly enhanced. Recreation management activities would focus on enhancements of existing facilities while emphasizing sustainable technologies, development of trails, greenways, and access areas, and repair of heavily impacted areas. Reservoir lands planning would be based on a Comprehensive Valleywide Land Plan that sets systemwide ranges for the proportion of TVA lands allocated to various uses.
                </P>
                <P>
                    <E T="03">Alternative D—Blended Management:</E>
                     Under this alternative, TVA would emphasize key programs that are integral toward enhancing future implementation efforts while maintaining activities and projects that address safety and comply with TVA's mission and applicable laws, regulations, executive orders, and TVA policies. The level of effort in many program areas would be greater than that of Alternatives A and B, and some program and activities would be implemented at the same level as Alternative C. Reservoir lands planning would be the same as under Alternative C. Alternative D was identified as the preferred alternative in the final EIS.
                </P>
                <HD SOURCE="HD1">Public Involvement</HD>
                <P>
                    On June 15, 2009, TVA published a notice of intent to prepare an EIS and to conduct a comprehensive study of its future energy and environmental stewardship needs known as the Integrated Resource Plan (IRP; 
                    <E T="04">Federal Register</E>
                     76:39470-39472). The IRP had two major objectives—to develop a plan for meeting the energy needs of the TVA region over the next 20 years and to develop implementation plans for achieving the objectives of the Environmental Policy, including those focusing on management of natural resources. TVA accepted public comments on the scope of the IRP during a 60-day scoping period. Shortly after the public scoping period began, TVA decided it would be better to address natural resource management activities in a separate process and therefore decided to separate the IRP and NRP. TVA held an additional 30-day public scoping period for the NRP beginning October 2, 2009.
                </P>
                <P>In addition to the public scoping, TVA directly solicited input from 11 federal and state natural resource agencies. TVA also used its Regional Resource Stewardship Council throughout the development of the NRP as an advisory and review group. TVA established the Council in 1999 under the Federal Advisory Committee Act to provide advice to TVA on its stewardship activities.</P>
                <P>
                    The notice of availability of the draft NRP and EIS was published in the 
                    <E T="04">Federal Register</E>
                     by the U.S. Environmental Protection Agency (USEPA) on April 1, 2011. TVA accepted comments on the draft NRP and EIS until May 16, 2011. During the comment period, TVA held three public meetings to describe the project and accept comments. TVA received 151 comment submissions on the draft NRP and EIS. After careful consideration of and response to all substantive comments, refinement of the programs and activities and their levels of intensity in the various alternatives, and additional review by the Council, TVA issued the final NRP and EIS. The notice of availability for the final NRP and EIS was published in the 
                    <E T="04">Federal Register</E>
                     on July 15, 2011.
                </P>
                <HD SOURCE="HD1">Environmentally Preferred Alternative</HD>
                <P>Alternative C—Flagship Management is the environmentally preferred alternative. This alternative is comprised of the broadest range and highest levels of implementation of natural resource management programs and activities. Although this alternative would result in the greatest level of short-term adverse impacts caused by the various management activities, it would result in the greatest beneficial impacts and improved conditions for numerous resource areas.</P>
                <HD SOURCE="HD1">Comments on the Final EIS</HD>
                <P>
                    The U.S. Department of Interior (USDOI) and USEPA commented on the final NRP and EIS. The USDOI continued to support Alternative C—Flagship Management for providing greater opportunities for natural resource management, recovery, and 
                    <PRTPAGE P="57102"/>
                    protection. USDOI also encouraged TVA to provide greater transparency on future resource stewardship funding. USEPA continued to support Alternative C, but accepted TVA's preference for Alternative D. USEPA also requested that TVA better engage minority and low-income communities during the implementation of the NRP.
                </P>
                <HD SOURCE="HD1">Decision</HD>
                <P>On August 18, 2011, the TVA Board of Directors determined that the preferred Alternative D—Blended Management was in the best interest of TVA and approved its implementation. This decision was based on that alternative's alignment with TVA's Environmental Policy, its focus on certain key programs that establish a baseline for future enhanced implementation efforts, and the flexibility it provides for the use of partnerships, volunteers, and other sources of funding to leverage programs to their full potential while working within resource and staff constraints.</P>
                <HD SOURCE="HD1">Mitigation Measures</HD>
                <P>The natural resource management programs and activities associated with Alternative D have been designed to result in minimal adverse environmental impacts during their implementation and to result in long-term beneficial impacts. TVA will conduct site and/or activity-specific environmental reviews of its actions to implement the NRP and incorporate appropriate measures to avoid, minimize, or mitigate adverse impacts. TVA has developed a programmatic agreement (PA) for the management of historic properties affected by the NRP. This PA was signed by TVA on July 29, 2011, and by the Advisory Council on Historic Preservation on August 5, 2011. The PA requires that TVA develop and implement a Cultural Resources Management Plan within three years. This plan will address both TVA's compliance with Section 106 of the National Historic Preservation Act when implementing the various NRP activities and TVA's implementation of the cultural resource management programs and activities included in NRP Alternative D—Blended Management.</P>
                <SIG>
                    <DATED>Dated: September 6, 2011.</DATED>
                    <NAME>Anda A. Ray,</NAME>
                    <TITLE>Senior Vice President, Environment and Technology.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23610 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 8120-08-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">OFFICE OF THE UNITED STATES TRADE REPRESENTATIVE</AGENCY>
                <DEPDOC>[Docket No. USTR-2011-0011]</DEPDOC>
                <SUBJECT>Notice and Request for Comments: Two-Year Extension of Softwood Lumber Agreement</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Office of the United States Trade Representative.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice and request for public comment.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>The U.S.-Canada Softwood Lumber Agreement (“SLA” or “the Agreement”) entered into force on October 12, 2006 and is currently scheduled to expire on October 12, 2013. The SLA includes a provision for extension of the Agreement for an additional two years. The United States is considering extending the SLA through October 12, 2015. Interested persons are invited to submit comments on the possible extension of the Agreement.</P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>To ensure consideration, comments should be submitted no later than 30 days after publication of the notice.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSES:</HD>
                    <P>
                        Comments should be submitted electronically via the Internet at 
                        <E T="03">http://www.regulations.gov,</E>
                         docket number USTR-2011-0011. If you are unable to provide submissions by 
                        <E T="03">http://www.regulations.gov,</E>
                         please contact Mary Sullivan Smith at (202) 395-9404 to arrange for an alternative method of transmission.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Mary Sullivan Smith, Director for Canada, (202) 395-9404, for questions concerning procedures for filing submissions in response to this notice.</P>
                    <P>
                        <E T="03">Background:</E>
                         The entry into force of the 2006 U.S.-Canada Softwood Lumber Agreement settled litigation in U.S. and international venues and resulted in the revocation of antidumping and countervailing duty orders on softwood lumber from Canada. The SLA is designed to constrain softwood lumber exports from Canada into the United States when demand in the United States is low. In favorable market conditions, the SLA provides for unrestricted trade in softwood lumber.
                    </P>
                    <P>As part of the SLA, the United States agreed to cease the collection of antidumping and countervailing duties upon softwood lumber from Canada and to refund US$5 billion in deposits of duties. In exchange, Canada agreed, among other things, to apply export measures—export charges and volume limitations—to shipments of softwood lumber from Canada to the United States when the price of softwood products falls below a certain level. The SLA provides for arbitration to resolve disputes between the United States and Canada regarding the interpretation and implementation of the Agreement. Under the SLA, arbitration is conducted under the rules of the LCIA.</P>
                    <P>Pursuant to Article XVIII “the SLA 2006 shall remain in force for 7 years after the Effective Date and may be extended by agreement of the Parties for an additional 2 years.” Without an extension, the Agreement will expire in October 12, 2013. USTR is considering extending the SLA for two years pursuant to the President's constitutional authority to conduct the foreign relations of the United States, as delegated to the USTR from the President through Executive Orders, including Executive Order 11846 (Administration of the Trade Agreements Program). Request for Public Comment: The USTR invites comments from interested persons with respect to the possible extension of the SLA 2006.</P>
                    <P>
                        To submit comments via 
                        <E T="03">http://www.regulations.gov,</E>
                         enter docket number USTR-2011-0011 on the home page and click “Search”. The site will provide a search-results page listing all documents associated with this docket. Find a reference to this notice by selecting “Notice” under “Document Type” the search-results page, and click on the link entitled “Send a Comment” (For further information on using the 
                        <E T="03">http://www.regulations.gov</E>
                         Web site, please consult the resources provided on the Web site by clicking on “How to Use This Site” on the left side of the home page.)
                    </P>
                    <P>
                        The 
                        <E T="03">http://www.regulations.gov</E>
                         site provides the option of providing comments by filling in a “Type Comment” field, or by attaching a document. All comments should be provided in an attached document. Submissions must state clearly the position taken and describe with specificity the supporting rationale and must be written in English. After attaching the document, it is sufficient to type “See attached” in the “Type Comment” field.
                    </P>
                    <P>
                        Comments will be placed in the docket and open to public inspection except confidential business information. Comments may be viewed on the 
                        <E T="03">http://www.regulations.gov</E>
                         Web site by entering docket number USTR-2011-0011 in the search field on the home page.
                    </P>
                    <P>
                        Persons wishing to submit business confidential information must certify in writing that such information is confidential and such information must be clearly marked “Business 
                        <PRTPAGE P="57103"/>
                        Confidential” at the top and bottom of the cover page and each succeeding page. Submit any documents containing business confidential information with a file name beginning with the characters “BC”. Submit, as a separate submission, a public version of the submission with a file name beginning with the character “P”. The “BC” and “P” should be followed by the name of the person or entity submitting the comments. Electronic submissions should not attach separate cover letters; rather, information that might appear in a cover letter should be included in the comments you submit. Similarly, to the extent possible, please include any exhibits, annexes, or other attachments to a submission in the same file as the submission itself and not as separate files.
                    </P>
                    <SIG>
                        <NAME>Mary Sullivan Smith,</NAME>
                        <TITLE>Director for Canadian Affairs.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23676 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 3190-W1-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="N">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>Federal Aviation Administration</SUBAGY>
                <SUBJECT>Office of Commercial Space Transportation (AST); Notice of Availability of the Supplemental Environmental Assessment (SEA) and Finding of No Significant Impact (FONSI) for the Federal Aviation Administration (FAA)/AST To Renew Launch Site Operator License (LSO 01-005) to Spaceport Systems International (SSI) for the Continued Operation of the California Spaceport at Vandenberg Air Force Base (VAFB), CA</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>Federal Aviation Administration, Department of Transportation.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice of Availability of SEA and FONSI.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>In accordance with the National Environmental Policy Act (NEPA) of 1969, 42 United States Code 4321-4347 (as amended), Council on Environmental Quality (CEQ) NEPA implementing regulations (40 Code of Federal Regulations [CFR] parts 1500-1508), and FAA Order 1050.1E, Change 1, the FAA is announcing the availability of a SEA and FONSI for the FAA/AST to renew Launch Site Operator License (LSO-01-005) to SSI for the continued operation of the California Spaceport at VAFB, California. The SEA supplements the U.S. Air Force February 1995 EA for the California Spaceport (1995 EA) and was prepared to address the potential environmental impacts of the FAA/AST's Proposed Action to renew SSI's Launch Site Operator License for the continued operation of the California Spaceport. The Launch Site Operator License would be valid for 5 years. The 1995 EA analyzed the potential environmental impacts of construction and operation of a commercial launch facility (which is now the California Spaceport) at VAFB, California.</P>
                    <P>Activities addressed in the SEA include launches of a variety of vertically-launched launch vehicles (Minuteman and Castor 120 derivative boosters) at the California Spaceport over the 5-year term of the license. Since 1996 when FAA issued SSI its first Launch Site Operator License, SSI has supported eight commercial launches. Although the terms of the license do not specify the number of launches allowed, FAA selected a conservative value of up to 15 launches per year has been considered for the purposes of the SEA's environmental analysis. The largest launch vehicle proposed to launch from the California Spaceport is the Athena III, consisting of a two-stage Castor 120 solid-propellant rocket motor with the addition of up to six Castor IVA or Castor IVXL rocket motors strapped to the first stage.</P>
                    <P>The 1995 EA analyzed the potential environmental impacts of construction and operation of a commercial launch facility (which is now the California Spaceport) at VAFB, California. The analysis considered operation of variety of vertical launch vehicles, including the Athena III. The proposed activities at the California Spaceport remain consistent with those analyzed in the 1995 EA and are incorporated by reference in the SEA. The SEA summarizes the data and environmental analysis presented in the 1995 EA where the data and analysis remains substantially valid. In addition, the SEA provides new data and analysis where information presented in the 1995 EA is outdated.</P>
                    <P>The resource areas considered in the SEA include air quality; biological resources (fish, wildlife, and plants); noise; land use (including coastal resources); historical, architectural, archaeological, and cultural resources; Department of Transportation Section 4(f) Properties; geology and soils; hazardous materials, pollution prevention, and solid waste; health and safety; socioeconomics, environmental justice, and children's environmental health and safety; and water quality (including floodplains and wetlands). Potential cumulative impacts of the Proposed Action were also addressed in the SEA. Alternatives analyzed in the SEA included the Proposed Action and the No Action Alternative. Under the No Action Alternative, the FAA would not renew the Launch Site Operator License to SSI for continued operation of the California Spaceport at VAFB. Existing USAF activities would continue at VAFB.</P>
                    <P>After careful and thorough consideration of available data and information on existing conditions and potential impacts, the FAA has determined that there will be no significant short-term, long-term, or cumulative impacts to the environment or surrounding populations from the renewal of the Launch Site Operator License for continued operations of the California Spaceport at VAFB. The Proposed Action is consistent with existing national environmental policies and objectives as set forth in Section 101 of NEPA and other applicable environmental requirements and will not significantly affect the quality of the human environment within the meaning of NEPA. Therefore, an Environmental Impact Statement for the Proposed Action is not required and the FAA issued a FONSI.</P>
                    <P>
                        The FAA has posted the SEA and FONSI on the Internet at 
                        <E T="03">http://www.faa.gov/about/office_org/headquarters_offices/ast/.</E>
                    </P>
                </SUM>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>
                        Mr. Daniel Czelusniak, Environmental Program Lead, Office of Commercial Space Transportation, Federal Aviation Administration, 800 Independence Avenue, SW., Room 325, Washington, DC 20591, telephone (202) 267-5924; 
                        <E T="03">E-mail: daniel.czelusniak@faa.gov.</E>
                    </P>
                    <SIG>
                        <DATED>Issued in Washington, DC on: September 7, 2011.</DATED>
                        <NAME>Michael McElligott,</NAME>
                        <TITLE>Manager, Space Transportation Development Division.</TITLE>
                    </SIG>
                </FURINF>
            </PREAMB>
            <FRDOC>[FR Doc. 2011-23694 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-13-P</BILCOD>
        </NOTICE>
        <NOTICE>
            <PREAMB>
                <AGENCY TYPE="S">DEPARTMENT OF TRANSPORTATION</AGENCY>
                <SUBAGY>National Highway Traffic Safety Administration</SUBAGY>
                <SUBJECT>Reports, Forms and Recordkeeping Requirements Agency Information Collection Activity Under OMB Review</SUBJECT>
                <AGY>
                    <HD SOURCE="HED">AGENCY:</HD>
                    <P>National Highway Traffic Safety Administration, DOT.</P>
                </AGY>
                <ACT>
                    <HD SOURCE="HED">ACTION:</HD>
                    <P>Notice.</P>
                </ACT>
                <SUM>
                    <HD SOURCE="HED">SUMMARY:</HD>
                    <P>
                        In compliance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 
                        <E T="03">et seq.</E>
                        ), this notice announces that the Information Collection Request (ICR) abstracted 
                        <PRTPAGE P="57104"/>
                        below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collections and their expected burden. The 
                        <E T="04">Federal Register</E>
                         Notice with a 60-day comment period was published on June 16, 2011 (76 FR 35270). The agency received no comments.
                    </P>
                </SUM>
                <DATES>
                    <HD SOURCE="HED">DATES:</HD>
                    <P>Comments must be submitted on or before October 17, 2011.</P>
                </DATES>
                <ADD>
                    <HD SOURCE="HED">ADDRESSESS:</HD>
                    <P>Send comments, within 30 days, to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725-17th Street, NW., Washington, DC 20503, Attention NHTSA Desk Officer.</P>
                    <P>
                        <E T="03">Comments are invited on:</E>
                         Whether the proposed collection of information is necessary for the proper performance of the functions of the Department, including whether the information will have practical utility; the accuracy of the Department's estimate of the burden of the proposed information collection; ways to enhance the quality, utility and clarity of the information to be collected; and ways to minimize the burden of the collection of information on respondents, including the use of automated collection techniques or other forms of information technology. A comment to OMB is most effective if OMB receives it within 30 days of publication.
                    </P>
                </ADD>
                <FURINF>
                    <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                    <P>Ms. Deborah Mazyck at the National Highway Traffic Safety Administration, Office of International Policy, Fuel Economy and Consumer Programs, 1200 New Jersey Avenue, SE., West Building, Room W43-443, Washington, DC 20590. Ms. Mazyck's telephone number is (202-366-4139).</P>
                </FURINF>
            </PREAMB>
            <SUPLINF>
                <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                <P/>
                <HD SOURCE="HD1">National Highway Traffic Safety Administration</HD>
                <P>
                    <E T="03">Title:</E>
                     Consolidated Labeling Requirements for 49 CFR Parts 541, 565 and 567.
                </P>
                <P>
                    <E T="03">OMB Number:</E>
                     2127-0510.
                </P>
                <P>
                    <E T="03">Type of Request:</E>
                     Request for public comment on a reinstatement of a previously approved collection of information.
                </P>
                <P>
                    <E T="03">Abstract:</E>
                     For Parts 541, 565 and 567.
                </P>
                <HD SOURCE="HD2">Part 541</HD>
                <P>The Motor Vehicle Information and Cost Savings Act was amended by the Anti-Car Theft Act of 1992 (Pub. L. 102-519). The enacted Theft Act requires specified parts of high-theft vehicle to be marked with vehicle identification numbers. In a final rule published on April 6, 2004, the Federal Motor Vehicle Theft Prevention Standard was extended to include all passenger cars and multipurpose passenger vehicles with a gross vehicle weight rating of 6,000 pounds or less, and to light duty trucks with major parts that are interchangeable with a majority of the covered major parts of multipurpose passenger vehicles. Each major component part must be either labeled or affixed with the VIN and its replacement component part must be marked with the DOT symbol, the letter (R) and the manufacturers' logo. The final rule became effective September 1, 2006. Due to expansion of the Federal Motor Vehicle Theft Prevention Standard (Part 541), all passenger cars, and multipurpose passenger vehicles with a gross vehicle weight rating of 6,000 pounds or less, and light duty trucks with major parts that are interchangeable with a majority of the covered major parts of multipurpose passenger vehicles, are required to be parts marked.</P>
                <P>NHTSA estimates an hour burden of 550,339 hours and a cost burden of $108,790,000 million for Part 541.</P>
                <HD SOURCE="HD2">Parts 565 and 567</HD>
                <P>The provision of the Part 565 regulation requires vehicle manufacturers to assign a unique VIN to each new vehicle and to inform NHTSA of the code used in forming the VIN. These regulations apply to all vehicles: Passenger cars, multipurpose passenger vehicles, trucks, buses, trailers, incomplete vehicles, and motorcycles.</P>
                <P>
                    NHTSA has amended Part 565 to revise certain sections in order to extend the existing VIN system for another thirty years, and to ensure a sufficient supply of unique available VINs and manufacturer identifiers for that time period (73 FR 23367, April 30, 2008). The agency required information to be provided in a slightly different way (
                    <E T="03">e.g.,</E>
                     vehicle make being transferred from the first to the second section of the VIN), the scope of the overall reporting requirement of Part 565 will not change.
                </P>
                <P>Part 567 specifies the content and location of, and other requirements for, the certification label or tag to be affixed to motor vehicles and motor vehicle equipment. Specifically, the VIN is required to appear on the certification label. Additionally, this certificate will provide the consumer with information to assist him or her in determining which of the Federal Motor Vehicle Safety Standards are applicable to the vehicle or equipment, and its date of manufacturer.</P>
                <P>NHTSA estimates an hour burden of 247,708 hours and a cost burden of $13,348,000 for Parts 565 and 567.</P>
                <P>
                    <E T="03">Affected Public:</E>
                     Vehicle manufacturers.
                </P>
                <P>
                    <E T="03">Estimated Total Annual Burden:</E>
                     The overall total estimated annual hour burden for this collection is 798,047. The overall total estimated cost burden for this collection is $122,138,000 million.
                </P>
                <P>
                    <E T="03">Comments are invited on:</E>
                     Whether the proposed collection of information is necessary for the proper performance of the functions of the Department, including whether the information will have practical utility; the accuracy of the Department's estimate of the burden of the proposed information collection; ways to enhance the quality, utility and clarity of the information to be collected; and ways to minimize the burden of the collection of information on respondents, including the use of automated collection techniques or other forms of information technology. A comment to OMB is most effective if OMB receives it within 30 days of publication.
                </P>
                <SIG>
                    <DATED>Issued on: September 12, 2011.</DATED>
                    <NAME>Christopher J. Bonanti,</NAME>
                    <TITLE>Associate Administrator for Rulemaking.</TITLE>
                </SIG>
            </SUPLINF>
            <FRDOC>[FR Doc. 2011-23632 Filed 9-14-11; 8:45 am]</FRDOC>
            <BILCOD>BILLING CODE 4910-59-P</BILCOD>
        </NOTICE>
    </NOTICES>
    <VOL>76 </VOL>
    <NO>179 </NO>
    <DATE>Thursday, September 15, 2011 </DATE>
    <UNITNAME>Presidential Documents </UNITNAME>
    <PRESDOCS>
        <PRESDOCU>
            <EXECORD>
                  
                <TITLE3>Title 3— </TITLE3>
                <PRES>
                    The President 
                    <PRTPAGE P="56945"/>
                </PRES>
                <EXECORDR>Executive Order 13584 of September 9, 2011 </EXECORDR>
                <HD SOURCE="HED">Developing an Integrated Strategic Counterterrorism Communications Initiative and Establishing a Temporary Organization to Support Certain Government-wide Communications Activities Directed Abroad </HD>
                <FP>By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 2656 of title 22, United States Code, and section 3161 of title 5, United States Code, it is hereby ordered as follows: </FP>
                <FP>
                    <E T="04">Section 1.</E>
                      
                    <E T="03">Policy. </E>
                    The United States is committed to actively countering the actions and ideologies of al-Qa'ida, its affiliates and adherents, other terrorist organizations, and violent extremists overseas that threaten the interests and national security of the United States. These efforts take many forms, but all contain a communications element and some use of communications strategies directed to audiences outside the United States to counter the ideology and activities of such organizations. These communications strategies focus not only on the violent actions and human costs of terrorism, but also on narratives that can positively influence those who may be susceptible to radicalization and recruitment by terrorist organizations. 
                </FP>
                <FP>The purpose of this Executive Order is to reinforce, integrate, and complement public communications efforts across the executive branch that are (1) focused on countering the actions and ideology of al-Qa'ida, its affiliates and adherents, and other international terrorist organizations and violent extremists overseas, and (2) directed to audiences outside the United States.  This collaborative work among executive departments and agencies (agencies) brings together expertise, capabilities, and resources to realize efficiencies and better coordination of U.S. Government communications investments to combat terrorism and extremism. </FP>
                <FP>
                    <E T="04">Sec. 2.</E>
                      
                    <E T="03">Assigned Responsibilities to the Center for Strategic Counterterrorism Communications.</E>
                </FP>
                <P>(a) Under the direction of the Secretary of State (Secretary), the Center for Strategic Counterterrorism Communications (Center) that has been established in the Department of State by the Secretary shall coordinate, orient, and inform Government-wide public communications activities directed at audiences abroad and targeted against violent extremists and terrorist organizations, especially al-Qa'ida and its affiliates and adherents, with the goal of using communication tools to reduce radicalization by terrorists and extremist violence and terrorism that threaten the interests and national security of the United States. Consistent with section 404o of title 50, United States Code, the Center shall coordinate its analysis, evaluation, and planning functions with the National Counterterrorism Center.  The Center shall also coordinate these functions with other agencies, as appropriate. </P>
                <FP>Executive branch efforts undertaken through the Center shall draw on all agencies with relevant information or capabilities, to prepare, plan for, and conduct these communications efforts. </FP>
                <P>(b) To achieve these objectives, the Center's functions shall include: </P>
                <FP SOURCE="FP1">
                    (i) monitoring and evaluating narratives (overarching communication themes that reflect a community's identity, experiences, aspirations, and concerns) and events abroad that are relevant to the development of a 
                    <PRTPAGE P="56946"/>
                    U.S. strategic counterterrorism narrative designed to counter violent extremism and terrorism that threaten the interests and national security of the United States; 
                </FP>
                <FP SOURCE="FP1">(ii) developing and promulgating for use throughout the executive branch the U.S. strategic counterterrorism narratives and public communications strategies to counter the messaging of violent extremists and terrorist organizations, especially al-Qa'ida and its affiliates and adherents; </FP>
                <FP SOURCE="FP1">(iii) identifying current and emerging trends in extremist communications and communications by al-Qa'ida and its affiliates and adherents in order to coordinate and provide thematic guidance to U.S. Government communicators on how best to proactively promote the U.S. strategic counterterrorism narrative and policies and to respond to and rebut extremist messaging and narratives when communicating to audiences outside the United States, as informed by a wide variety of Government and non-government sources, including nongovernmental organizations, academic sources, and finished intelligence created by the intelligence community; </FP>
                <FP SOURCE="FP1">(iv) facilitating the use of a wide range of communications technologies, including digital tools, by sharing expertise among agencies, seeking expertise from external sources, and extending best practices; </FP>
                <FP SOURCE="FP1">(v) identifying and requesting relevant information from agencies, including intelligence reporting, data, and analysis; and </FP>
                <FP SOURCE="FP1">(vi) identifying shortfalls in U.S. capabilities in any areas relevant to the Center's mission and recommending necessary enhancements or changes. </FP>
                <P>(c) The Secretary shall establish a Steering Committee composed of senior representatives of agencies relevant to the Center's mission to provide advice to the Secretary on the operations and strategic orientation of the Center and to ensure adequate support for the Center. The Steering Committee shall meet not less than every 6 months.  The Steering Committee shall be chaired by the Under Secretary of State for Public Diplomacy.  The Coordinator for Counterterrorism of the Department of State shall serve as Vice Chair. The Coordinator of the Center shall serve as Executive Secretary.  The Steering Committee shall include one senior representative designated by the head of each of the following agencies:  the Department of Defense, the Department of Justice, the Department of Homeland Security, the Department of the Treasury, the National Counterterrorism Center, the Joint Chiefs of Staff, the Counterterrorism Center of the Central Intelligence Agency, the Broadcast Board of Governors, and the Agency for International Development.  Other agencies may be invited to participate in the Steering Committee at the discretion of the Chair. </P>
                <FP>
                    <E T="04">Sec. 3.</E>
                      
                    <E T="03">Establishment of a Temporary Organization.</E>
                </FP>
                <P>(a) There is established within the Department of State, in accordance with section 3161 of title 5, United States Code, a temporary organization to be known as the Counterterrorism Communications Support Office (CCSO). </P>
                <P>(b) The purpose of the CCSO shall be to perform the specific project of supporting agencies in Government-wide public communications activities targeted against violent extremism and terrorist organizations, especially al-Qa'ida and its affiliates and adherents, to audiences abroad by using communication tools designed to counter violent extremism and terrorism that threaten the interests and national security of the United States. </P>
                <P>(c) In carrying out its purpose set forth in subsection (b) of this section, the CCSO shall: </P>
                <FP SOURCE="FP1">
                    (i) support agencies in their implementation of whole-of-government public communications activities directed at audiences abroad, including by providing baseline research on characteristics of these audiences, by developing expertise and studies on aspirations, narratives, information strategies and tactics of violent extremists and terrorist organizations overseas, by designing and developing sustained campaigns on specific areas of 
                    <PRTPAGE P="56947"/>
                    interest to audiences abroad, and by developing expertise on implementing highly focused social media campaigns; and 
                </FP>
                <FP SOURCE="FP1">(ii) perform such other functions related to the specific project set forth in subsection (b) of this section as the Secretary may assign. </FP>
                <P>(d) The CCSO shall be headed by a Director selected by the Secretary, with the advice of the Steering Committee.  Its staff may include, as determined by the Secretary: (1) personnel with relevant expertise detailed on a non-reimbursable basis from other agencies; (2) senior and other technical advisers; and (3) such other personnel as the Secretary may direct to support the CCSO.  To accomplish this mission, the heads of agencies participating on the Steering Committee shall provide to the CCSO, on a non-reimbursable basis, assistance, services, and other support including but not limited to logistical and administrative support and details of personnel.  Non-reimbursable details shall be based on reasonable requests from the Secretary in light of the need for specific expertise, and after consultation with the relevant agency, to the extent permitted by law. </P>
                <P>(e) The CCSO shall terminate at the end of the maximum period permitted by section 3161(a)(1) of title 5, United States Code, unless sooner terminated by the Secretary consistent with section 3161(a)(2) of such title. </P>
                <FP>
                    <E T="04">Sec. 4.</E>
                      
                    <E T="03">General Provisions.</E>
                </FP>
                <P>(a) Nothing in this order shall be construed to impair or otherwise affect: </P>
                <FP SOURCE="FP1">(i) authority granted by law to an agency, or the head thereof; or </FP>
                <FP SOURCE="FP1">(ii) functions of the Director of the Office of Management and Budget relating to budgetary, administrative, or legislative proposals. </FP>
                <P>(b) This order shall be implemented consistent with applicable law and subject to the availability of appropriations. </P>
                <P>(c) This order is not intended to, and does not, create any right or benefit, substantive or procedural, enforceable at law or in equity by any party against the United States, its departments, agencies, or entities, its officers, employees, or agents, or any other person. </P>
                <GPH SPAN="1" DEEP="50" HTYPE="RIGHT">
                    <GID>OB#1.EPS</GID>
                </GPH>
                <PSIG>  </PSIG>
                <PLACE>THE WHITE HOUSE, </PLACE>
                <DATE>September 9, 2011. </DATE>
                <FRDOC>[FR Doc. 2011-23891</FRDOC>
                <FILED>Filed 9-14-11; 8:45 am] </FILED>
                <BILCOD>Billing code 3195-W1-P </BILCOD>
            </EXECORD>
        </PRESDOCU>
    </PRESDOCS>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Rules and Regulations</UNITNAME>
    <NEWPART>
        <PTITLE>
            <PRTPAGE P="57105"/>
            <PARTNO>Part II</PARTNO>
            <AGENCY TYPE="P">Environmental Protection Agency</AGENCY>
            <CFR>
                40 CFR Parts 85, 86, 600, 
                <E T="03">et al.</E>
            </CFR>
            <AGENCY TYPE="P">Department of Transportation</AGENCY>
            <SUBAGY>National Highway Traffic Safety Administration</SUBAGY>
            <HRULE/>
            <CFR>49 CFR Parts 523, 534, and 535</CFR>
            <TITLE>Greenhouse Gas Emissions Standards and Fuel Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles; Final Rule</TITLE>
        </PTITLE>
        <RULES>
            <RULE>
                <PREAMB>
                    <PRTPAGE P="57106"/>
                    <AGENCY TYPE="S">ENVIRONMENTAL PROTECTION AGENCY</AGENCY>
                    <CFR>40 CFR Parts 85, 86, 600, 1033, 1036, 1037, 1039, 1065, 1066, and 1068</CFR>
                    <AGENCY TYPE="O">DEPARTMENT OF TRANSPORTATION </AGENCY>
                    <SUBAGY>National Highway Traffic Safety Administration</SUBAGY>
                    <CFR>49 CFR Parts 523, 534, and 535</CFR>
                    <DEPDOC>[EPA-HQ-OAR-2010-0162; NHTSA-2010-0079; FRL-9455-1]</DEPDOC>
                    <RIN>RIN 2060-AP61; 2127-AK74</RIN>
                    <SUBJECT>Greenhouse Gas Emissions Standards and Fuel Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles</SUBJECT>
                    <AGY>
                        <HD SOURCE="HED">AGENCY:</HD>
                        <P>Environmental Protection Agency (EPA) and National Highway Traffic Safety Administration (NHTSA), DOT.</P>
                    </AGY>
                    <ACT>
                        <HD SOURCE="HED">ACTION:</HD>
                        <P>Final Rules.</P>
                    </ACT>
                    <SUM>
                        <HD SOURCE="HED">SUMMARY:</HD>
                        <P>
                            EPA and NHTSA, on behalf of the Department of Transportation, are each finalizing rules to establish a comprehensive Heavy-Duty National Program that will reduce greenhouse gas emissions and fuel consumption for on-road heavy-duty vehicles, responding to the President's directive on May 21, 2010, to take coordinated steps to produce a new generation of clean vehicles. NHTSA's final fuel consumption standards and EPA's final carbon dioxide (CO
                            <E T="52">2</E>
                            ) emissions standards are tailored to each of three regulatory categories of heavy-duty vehicles: Combination Tractors; Heavy-duty Pickup Trucks and Vans; and Vocational Vehicles. The rules include separate standards for the engines that power combination tractors and vocational vehicles. Certain rules are exclusive to the EPA program. These include EPA's final hydrofluorocarbon standards to control leakage from air conditioning systems in combination tractors, and pickup trucks and vans. These also include EPA's final nitrous oxide (N
                            <E T="52">2</E>
                            O) and methane (CH
                            <E T="52">4</E>
                            ) emissions standards that apply to all heavy-duty engines, pickup trucks and vans.
                        </P>
                        <P>EPA's final greenhouse gas emission standards 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. Commercial trailers are not regulated in this phase of the Heavy-Duty National Program.</P>
                        <P>
                            The agencies estimate that the combined standards will reduce CO
                            <E T="52">2</E>
                             emissions by approximately 270 million metric tons and save 530 million barrels of oil over the life of vehicles sold during the 2014 through 2018 model years, providing over $7 billion in net societal benefits, and $49 billion in net societal benefits when private fuel savings are considered.
                        </P>
                        <P>
                            EPA is also finalizing provisions allowing light-duty vehicle manufacturers to use CO
                            <E T="52">2</E>
                             credits to meet the light-duty vehicle N
                            <E T="52">2</E>
                            O and CH
                            <E T="52">4</E>
                             standards, technical amendments to the fuel economy provisions for light-duty vehicles, and a technical amendment to the criteria pollutant emissions requirements for certain switch locomotives.
                        </P>
                    </SUM>
                    <EFFDATE>
                        <HD SOURCE="HED">DATES:</HD>
                        <P>These final rules are effective on November 14, 2011. The incorporation by reference of certain publications listed in this regulation is approved by the Director of the Federal Register as of November 14, 2011.</P>
                    </EFFDATE>
                    <ADD>
                        <HD SOURCE="HED">ADDRESSES:</HD>
                        <P>
                            EPA and NHTSA have established dockets for this action under Docket ID No. EPA-HQ-OAR-2010-0162 and NHTSA-2010-0079, respectively. All documents in the docket are listed on the 
                            <E T="03">http://www.regulations.gov</E>
                             Web site. Although listed in the index, some information is not publicly available, 
                            <E T="03">e.g.,</E>
                             confidential business information or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on the Internet and will be publicly available only in hard copy form. Publicly available docket materials are available either electronically through 
                            <E T="03">http://www.regulations.gov</E>
                             or in hard copy at the following locations: EPA: EPA Docket Center, EPA/DC, EPA West Building, 1301 Constitution Ave., NW., Room 3334, 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. 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.
                        </P>
                    </ADD>
                    <FURINF>
                        <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                        <P>
                            NHTSA: Lily Smith, Office of Chief Counsel, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590. Telephone: (202) 366-2992. EPA: Lauren Steele, Office of Transportation and Air Quality, Assessment and Standards Division (ASD), Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; telephone number: (734) 214-4788; fax number: (734) 214-4816; e-mail address: 
                            <E T="03">steele.lauren@epa.gov,</E>
                             or contact the Office of Transportation and Air Quality at 
                            <E T="03">OTAQPUBLICWEB@epa.gov.</E>
                        </P>
                    </FURINF>
                </PREAMB>
                <SUPLINF>
                    <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                    <P> </P>
                    <HD SOURCE="HD1">A. Does this action apply to me?</HD>
                    <P>
                        This action affects companies that manufacture, sell, or import into the United States new heavy-duty engines and new Class 2b through 8 trucks, including combination tractors, school and transit buses, vocational vehicles such as utility service trucks, as well as 
                        <FR>3/4</FR>
                        -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. Regulated categories and entities include the following:
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,tp0,i1" CDEF="s50,14,r100">
                        <BOXHD>
                            <CHED H="1">Category</CHED>
                            <CHED H="1">
                                NAICS Code 
                                <SU>a</SU>
                            </CHED>
                            <CHED H="1">Examples of potentially affected entities</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Industry</ENT>
                            <ENT>
                                336111
                                <LI>336112</LI>
                            </ENT>
                            <ENT>Motor Vehicle Manufacturers, Engine and Truck Manufacturers.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>336120</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Industry</ENT>
                            <ENT>
                                541514
                                <LI>811112</LI>
                            </ENT>
                            <ENT>Commercial Importers of Vehicles and Vehicle Components.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>811198</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Industry</ENT>
                            <ENT>336111</ENT>
                            <ENT>Alternative Fuel Vehicle Converters.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>336112</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57107"/>
                            <ENT I="22"> </ENT>
                            <ENT>422720</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>454312</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>541514</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>541690</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>811198</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Industry</ENT>
                            <ENT>
                                333618
                                <LI>336510</LI>
                            </ENT>
                            <ENT>Manufacturers, remanufacturers and importers of locomotives and locomotive engines.</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="04">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             North American Industry Classification System (NAICS).
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        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 
                        <E T="02">FOR FURTHER INFORMATION CONTACT</E>
                         section.
                    </P>
                    <HD SOURCE="HD1">Table of Contents</HD>
                    <EXTRACT>
                        <FP SOURCE="FP-2">A. Does this action apply to me?</FP>
                        <FP SOURCE="FP-2">I. Overview</FP>
                        <FP SOURCE="FP1-2">A. Introduction</FP>
                        <FP SOURCE="FP1-2">B. Building Blocks of the Heavy-Duty National Program</FP>
                        <FP SOURCE="FP1-2">C. Summary of the Final EPA and NHTSA HD National Program</FP>
                        <FP SOURCE="FP1-2">D. Summary of Costs and Benefits of the HD National Program</FP>
                        <FP SOURCE="FP1-2">E. Program Flexibilities</FP>
                        <FP SOURCE="FP1-2">F. EPA and NHTSA Statutory Authorities</FP>
                        <FP SOURCE="FP1-2">G. Future HD GHG and Fuel Consumption Rulemakings</FP>
                        <FP SOURCE="FP-2">II. Final GHG and Fuel Consumption Standards for Heavy-Duty Engines and Vehicles</FP>
                        <FP SOURCE="FP1-2">A. What vehicles will be affected?</FP>
                        <FP SOURCE="FP1-2">B. Class 7 and 8 Combination Tractors</FP>
                        <FP SOURCE="FP1-2">C. Heavy-Duty Pickup Trucks and Vans</FP>
                        <FP SOURCE="FP1-2">D. Class 2b-8 Vocational Vehicles</FP>
                        <FP SOURCE="FP1-2">E. Other Standards</FP>
                        <FP SOURCE="FP-2">III. Feasibility Assessments and Conclusions</FP>
                        <FP SOURCE="FP1-2">A. Class 7-8 Combination Tractor</FP>
                        <FP SOURCE="FP1-2">B. Heavy-Duty Pickup Trucks and Vans</FP>
                        <FP SOURCE="FP1-2">C. Class 2b-8 Vocational Vehicles</FP>
                        <FP SOURCE="FP-2">IV. Final Regulatory Flexibility Provisions</FP>
                        <FP SOURCE="FP1-2">A. Averaging, Banking, and Trading Program</FP>
                        <FP SOURCE="FP1-2">B. Additional Flexibility Provisions</FP>
                        <FP SOURCE="FP-2">V. NHTSA and EPA Compliance, Certification, and Enforcement Provisions</FP>
                        <FP SOURCE="FP1-2">A. Overview</FP>
                        <FP SOURCE="FP1-2">B. Heavy-Duty Pickup Trucks and Vans</FP>
                        <FP SOURCE="FP1-2">C. Heavy-Duty Engines</FP>
                        <FP SOURCE="FP1-2">D. Class 7 and 8 Combination Tractors</FP>
                        <FP SOURCE="FP1-2">E. Class 2b-8 Vocational Vehicles</FP>
                        <FP SOURCE="FP1-2">F. General Regulatory Provisions</FP>
                        <FP SOURCE="FP1-2">G. Penalties</FP>
                        <FP SOURCE="FP-2">VI. How will this program impact fuel consumption, GHG emissions, and climate change?</FP>
                        <FP SOURCE="FP1-2">A. What methodologies did the agencies use to project GHG emissions and fuel consumption impacts?</FP>
                        <FP SOURCE="FP1-2">B. MOVES Analysis</FP>
                        <FP SOURCE="FP1-2">C. What are the projected reductions in fuel consumption and GHG emissions?</FP>
                        <FP SOURCE="FP1-2">D. Overview of Climate Change Impacts From GHG Emissions</FP>
                        <FP SOURCE="FP1-2">
                            E. Changes in Atmospheric CO
                            <E T="52">2</E>
                             Concentrations, Global Mean Temperature, Sea Level Rise, and Ocean pH Associated With the Program's GHG Emissions Reductions
                        </FP>
                        <FP SOURCE="FP-2">VII. How will this final action impact non-ghg emissions and their associated effects?</FP>
                        <FP SOURCE="FP1-2">A. Emissions Inventory Impacts</FP>
                        <FP SOURCE="FP1-2">B. Health Effects of Non-GHG Pollutants</FP>
                        <FP SOURCE="FP1-2">C. Environmental Effects of Non-GHG Pollutants</FP>
                        <FP SOURCE="FP1-2">D. Air Quality Impacts of Non-GHG Pollutants</FP>
                        <FP SOURCE="FP-2">VIII. What are the agencies' estimated cost, economic, and other impacts of the final program?</FP>
                        <FP SOURCE="FP1-2">A. Conceptual Framework for Evaluating Impacts</FP>
                        <FP SOURCE="FP1-2">B. Costs Associated With the Final Program</FP>
                        <FP SOURCE="FP1-2">C. Indirect Cost Multipliers</FP>
                        <FP SOURCE="FP1-2">D. Cost per Ton of Emissions Reductions</FP>
                        <FP SOURCE="FP1-2">E. Impacts of Reduction in Fuel Consumption</FP>
                        <FP SOURCE="FP1-2">F. Class Shifting and Fleet Turnover Impacts</FP>
                        <FP SOURCE="FP1-2">
                            G. Benefits of Reducing CO
                            <E T="52">2</E>
                             Emissions
                        </FP>
                        <FP SOURCE="FP1-2">H. Non-GHG Health and Environmental Impacts</FP>
                        <FP SOURCE="FP1-2">I. Energy Security Impacts</FP>
                        <FP SOURCE="FP1-2">J. Other Impacts</FP>
                        <FP SOURCE="FP1-2">K. The Effect of Safety Standards and Voluntary Safety Improvements on Vehicle Weight</FP>
                        <FP SOURCE="FP1-2">L. Summary of Costs and Benefits</FP>
                        <FP SOURCE="FP1-2">M. Employment Impacts</FP>
                        <FP SOURCE="FP-2">IX. Analysis of the Alternatives</FP>
                        <FP SOURCE="FP1-2">A. What are the alternatives that the agencies considered?</FP>
                        <FP SOURCE="FP1-2">B. How do these alternatives compare in overall GHG emissions reductions and fuel efficiency and cost?</FP>
                        <FP SOURCE="FP1-2">C. What is the agencies' decision regarding trailer standards?</FP>
                        <FP SOURCE="FP-2">X. Public Participation</FP>
                        <FP SOURCE="FP-2">XI. NHTSA's Record of Decision</FP>
                        <FP SOURCE="FP1-2">A. The Agency's Decision</FP>
                        <FP SOURCE="FP1-2">B. Alternatives Considered by NHTSA in Reaching Its Decision, Including the Environmentally Preferable Alternative</FP>
                        <FP SOURCE="FP1-2">C. Factors Balanced by NHTSA in Making Its Decision</FP>
                        <FP SOURCE="FP1-2">D. How the Factors and Considerations Balanced by NHTSA Entered Into Its Decision</FP>
                        <FP SOURCE="FP1-2">E. The Agency's Preferences Among Alternatives Based on Relevant Factors, Including Economic and Technical Considerations and Agency Statutory Missions</FP>
                        <FP SOURCE="FP1-2">F. Mitigation</FP>
                        <FP SOURCE="FP-2">XII. Statutory and Executive Order Reviews</FP>
                        <FP SOURCE="FP-2">XIII. Statutory Provisions and Legal Authority</FP>
                        <FP SOURCE="FP1-2">A. EPA</FP>
                        <FP SOURCE="FP1-2">B. NHTSA</FP>
                    </EXTRACT>
                    <HD SOURCE="HD1">I. Overview</HD>
                    <HD SOURCE="HD2">A. Introduction</HD>
                    <P>EPA and NHTSA (“the agencies”) are announcing a first-ever program to reduce greenhouse gas (GHG) emissions and fuel consumption in the heavy-duty highway vehicle sector. This broad 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. These are the second joint rules issued by the agencies, following on the April 1, 2010 standards to sharply reduce GHG emissions and fuel consumption from MY 2012-2016 passenger cars and light trucks (published on May 7, 2010 at 75 FR 25324).</P>
                    <P>
                        In a May 21, 2010 memorandum to the Administrators of EPA and NHTSA (and the Secretaries of Transportation and Energy), the President stated that “America has the opportunity to lead the world in the development of a new generation of clean cars and trucks through innovative technologies and manufacturing that will spur economic growth and create high-quality domestic jobs, enhance our energy security, and improve our environment.” 
                        <E T="51">1 2</E>
                        <FTREF/>
                         In the 
                        <PRTPAGE P="57108"/>
                        May 2010 memorandum, the President specifically requested the Administrators of EPA and NHTSA to “immediately begin work on a joint rulemaking under the Clean Air Act (CAA) and the Energy Independence and Security Act of 2007 (EISA) to establish fuel efficiency and greenhouse gas emissions standards for commercial medium-and heavy-duty on-highway vehicles and work trucks beginning with the 2014 model year (MY).” In this final rulemaking, each agency is addressing this Memorandum by adopting rules under its respective authority that together comprise a coordinated and comprehensive HD National Program designed to address the urgent and closely intertwined challenges of reduction of dependence on oil, achievement of energy security, and amelioration of global climate change.
                    </P>
                    <FTNT>
                        <P>
                            <SU>1</SU>
                             Improving Energy Security, American Competitiveness and Job Creation, and Environmental Protection Through a Transformation of Our Nation's Fleet of Cars And Trucks,” Issued May 21, 2010, published at 75 FR 29399, May 26, 2010.
                        </P>
                        <P>
                            <SU>2</SU>
                             The May 2010 Presidential Memorandum also directed EPA and NHTSA, in close coordination with the California Air Resources Board, to build on the National Program for 2012-2016 MY light-duty vehicles by developing and proposing coordinated light-duty vehicle standards for MY 2017-2025. The agencies have taken an initial step in this process, releasing a Joint Notice of Intent and 
                            <PRTPAGE/>
                            Initial Joint Technical Assessment Report in September 2010 (75 FR 62739), and a Supplemental Notice of Intent (75 FR 76337). The agencies plan to issue a full light-duty vehicle proposal to extend the National Program to MY 2017-2025 in September 2011.
                        </P>
                    </FTNT>
                    <P>At the same time, the final program will enhance American competitiveness and job creation, benefit consumers and businesses by reducing costs for transporting goods, and spur growth in the clean energy sector.</P>
                    <P>The HD National Program the agencies are finalizing today reflects a collaborative effort between the agencies, a range of public interest nongovernmental organizations (NGOs), the state of California and the regulated industry. At the time of the President's announcement, a number of major HD truck and engine manufacturers representing the vast majority of this industry, and the California Air Resources Board (California ARB), sent letters to EPA and NHTSA supporting the creation of a HD National Program based on a common set of principles. In the letters, the stakeholders committed to working with the agencies and with other stakeholders toward a program consistent with common principles, including:</P>
                    <P>Increased use of existing technologies to achieve significant GHG emissions and fuel consumption reductions;</P>
                    <P>A program that starts in 2014 and is fully phased in by 2018;</P>
                    <P>A program that works towards harmonization of methods for determining a vehicle's GHG and fuel efficiency, recognizing the global nature of the issues and the industry;</P>
                    <P>Standards that recognize the commercial needs of the trucking industry; and</P>
                    <P>Incentives leading to the early introduction of advanced technologies.</P>
                    <P>The final rules adopted today reflect these principles. The final HD National Program also builds on many years of heavy-duty engine and vehicle technology development to achieve what the agencies believe is the greatest degree of fuel consumption and GHG emission reduction appropriate, technologically and economically feasible, and cost-effective for model years 2014-2018. In addition to taking aggressive steps that are reasonably possible now, based on the technological opportunities and pathways that present themselves during these model years, the agencies and industry will also continue learning about emerging opportunities for this complex sector to further reduce fuel consumption and GHG emission through future regulatory steps.</P>
                    <P>Similarly, the agencies will participate in efforts to improve our ability to accurately characterize the actual in-use fuel consumption and emissions of this complex sector. As technologies progress in the coming years and as the agencies improve the regulatory tools to evaluate real world vehicle performance, we expect that we will develop a second phase of regulations to reinforce these initial rules and achieve further reductions in GHG emissions and fuel consumption reduction for the mid- and longer-term time frame (beyond 2018). The agencies are committed to working with all interested stakeholders in this effort and to the extent possible working towards alignment with similar programs being developed in Canada, Mexico, Europe, China, and Japan. In doing so, we will continue to evaluate many of the structural and technical decisions we are making in today's final action in the context of new technologies and the new regulatory tools that we expect to realize in the future.</P>
                    <P>
                        The regulatory program we are finalizing today is largely unchanged from the proposal the agencies made on November 30, 2010 (
                        <E T="03">See</E>
                         75 FR 741512). The structure of the program and the stringency of the standards are essentially the same as proposed. We have made a number of changes to the testing requirements and reporting requirements to provide greater regulatory certainty and better align the NHTSA and EPA portions of the program. In response to comments, we have also made some changes to the averaging, banking and trading (ABT) provisions of the program that will make implementation of this final program more flexible for manufacturers. We have added provisions to further encourage the development of advanced technologies and to provide a more straightforward mechanism to certify engines and vehicles using innovative technologies. Finally in response to comments, we have made some technical changes to our emissions compliance model that results in different numeric standards for both combination tractors and vocational vehicles to more accurately characterize emissions while maintaining the same overall stringency and therefore expected costs and benefits of the program.
                    </P>
                    <P>
                        Heavy-duty vehicles move much of the nation's freight and carry out numerous other tasks, including utility work, concrete delivery, fire response, refuse collection, and many more. Heavy-duty vehicles are primarily powered by diesel engines, although about 37 percent of these vehicles are powered by gasoline engines.
                        <SU>3</SU>
                        <FTREF/>
                         Heavy-duty trucks 
                        <SU>4</SU>
                        <FTREF/>
                         have long been an important part of the goods movement infrastructure in this country and have experienced significant growth over the last decade related to increased imports and exports of finished goods and increased shipping of finished goods to homes through Internet purchases.
                    </P>
                    <FTNT>
                        <P>
                            <SU>3</SU>
                             References in this preamble to “gasoline” engines (and the vehicles powered by them) generally include other Otto-cycle engines as well, such as those fueled by ethanol and natural gas, except in contexts that are clearly gasoline-specific.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>4</SU>
                             In this rulemaking, EPA and NHTSA use the term “truck” in a general way, referring to all categories of regulated heavy-duty highway vehicles (including buses). As such, the term is generally interchangeable with “heavy-duty vehicle.”
                        </P>
                    </FTNT>
                    <P>The heavy-duty sector is extremely diverse in several respects, including types of manufacturing companies involved, the range of sizes of trucks and engines they produce, the types of work the trucks are designed to perform, and the regulatory history of different subcategories of vehicles and engines. The current heavy-duty fleet encompasses vehicles from the “18-wheeler” combination tractors one sees on the highway to school and transit buses, to vocational vehicles such as utility service trucks, as well as the largest pickup trucks and vans.</P>
                    <P>
                        For purposes of this preamble, the term “heavy-duty” or “HD” is used to apply to all highway vehicles and engines that are not within the range of light-duty vehicles, light-duty trucks, and medium-duty passenger vehicles (MDPV) covered by the GHG and Corporate Average Fuel Economy (CAFE) standards issued for MY 2012-2016.
                        <SU>5</SU>
                        <FTREF/>
                         It also does not include 
                        <PRTPAGE P="57109"/>
                        motorcycles. Thus, in this rulemaking, unless specified otherwise, the heavy-duty category incorporates all vehicles with a gross vehicle weight rating above 8,500 pounds, and the engines that power them, except for MDPVs.
                        <SU>6</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>5</SU>
                             Light-Duty Vehicle Greenhouse Gas Emission Standards and Corporate Average Fuel Economy Standards; Final Rule 75 FR 25323, May 7, 2010.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>6</SU>
                             The CAA defines heavy-duty as a truck, bus or other motor vehicles with a gross vehicle weight rating exceeding 6,000 pounds (CAA section 202(b)(3)). The term HD as used in this action refers to a subset of these vehicles and engines.
                        </P>
                    </FTNT>
                    <P>
                        The agencies proposed to cover all segments of the heavy-duty category above, except with respect to recreational vehicles (RVs or motor homes). We note that the Energy Independence and Security Act of 2007 requires NHTSA to set standards for “commercial medium- and heavy-duty on-highway vehicles and work trucks.” 
                        <SU>7</SU>
                        <FTREF/>
                         The standards that EPA is finalizing today cover recreational on-highway vehicles, while NHTSA proposed not to include recreational vehicles based on an interpretation of the term “commercial medium- and heavy-duty on-highway commercial” vehicles. NHTSA stated in the NPRM that recreational vehicles are non-commercial, and therefore outside of the term and the scope of its rule.
                    </P>
                    <FTNT>
                        <P>
                            <SU>7</SU>
                             49 U.S.C. 32902(k)(2). “Commercial medium- and heavy-duty on-highway vehicles” are defined as on-highway vehicles with a gross vehicle weight rating of 10,000 pounds or more, while “work trucks” are defined as vehicles rated between 8,500 and 10,000 pounds gross vehicle weight that are not MDPVs. 
                            <E T="03">See</E>
                             49 U.S.C. 32901(a)(7) and (a)(19).
                        </P>
                    </FTNT>
                    <P>
                        Oshkosh Corporation commented that this interpretation did not match the statutory definition of the term in EISA, which defines “commercial medium- and heavy-duty on-highway vehicle” by weight only,
                        <SU>8</SU>
                        <FTREF/>
                         and that therefore the agency's interpretation of the term should be explicitly broadened to include all vehicles, and more than only vehicles that are not engaged in interstate commerce as defined by the Federal Motor Carrier Safety Administration in 49 CFR part 202. Alternatively, Oshkosh suggested that if NHTSA followed the definition provided in EISA, which makes no direct reference to the concept of “commercial,” there would be no logical reason to exclude RVs based on that definition.
                    </P>
                    <FTNT>
                        <P>
                            <SU>8</SU>
                             
                            <E T="03">See</E>
                             49 U.S.C. 32902(k)(2), Note 7 above.
                        </P>
                    </FTNT>
                    <P>
                        NHTSA has considered Oshkosh's comment and reconsidered its interpretation that effectively read words into the statutory definition. Given the very wide variety of vehicles contained in the HD fleet, reading those words into the definition and thereby excluding certain types of vehicles could create illogical results, 
                        <E T="03">i.e.,</E>
                         treating similar vehicles differently. Therefore, NHTSA will adhere to the statutory definition contained in EISA for this rulemaking. However, as RVs were not included by NHTSA in the proposed regulation in the NPRM, they are not within the scope and must be excluded in NHTSA's portion of the final program. Accordingly, NHTSA will address this issue in the next rulemaking. However, as noted, RVs are subject to the CO
                        <E T="52">2</E>
                         standards for vocational vehicles.
                    </P>
                    <P>
                        Setting fuel consumption standards for the heavy-duty sector, pursuant to NHTSA's EISA authority, will also improve our energy and national security by reducing our dependence on foreign oil, which has been a national objective since the first oil price shocks in the 1970s. Net petroleum imports now account for approximately 49-51 percent of U.S. petroleum consumption. World crude oil production is highly concentrated, exacerbating the risks of supply disruptions and price shocks as the recent unrest in North Africa and the Persian Gulf highlights. Recently, oil prices have been over $100 per barrel, gasoline and diesel fuel prices in excess of $4 per gallon, causing financial hardship for many families and businesses. The export of U.S. assets in exchange for oil imports continues to be an important component of the historically unprecedented U.S. trade deficits. Transportation accounts for about 72 percent of U.S. petroleum consumption. Heavy-duty vehicles account for about 17 percent of transportation oil use, which means that they alone account for about 12 percent of all U.S. oil consumption.
                        <SU>9</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>9</SU>
                             In 2009 Source: EIA Annual Energy Outlook 2010 released May 11, 2010.
                        </P>
                    </FTNT>
                    <P>
                        Setting GHG emissions standards for the heavy-duty sector will help to ameliorate climate change. The EPA Administrator found after a thorough examination of the scientific evidence on the causes and impact of current and future climate change, and careful review of public comments, that the science compellingly supports a positive finding that atmospheric concentrations of six greenhouse gases taken in combination result in air pollution which may reasonably be anticipated to endanger both public health and welfare and that the combined emissions of these greenhouse gases from new motor vehicles and engines contributes to the greenhouse gas air pollution that endangers public health and welfare. In her finding, the Administrator carefully studied and relied heavily upon the major findings and conclusions from the recent assessments of the U.S. Climate Change Science Program and the U.N. Intergovernmental Panel on Climate Change. 74 FR 66496, December 15, 2009. As summarized in the Technical Support Document for EPA's Endangerment and Cause or Contribute Findings under section 202(a) of the Clean Air Act, anthropogenic emissions of GHGs are very likely (a 90 to 99 percent probability) the cause of most of the observed global warming over the last 50 years.
                        <SU>10</SU>
                        <FTREF/>
                         Primary GHGs of concern are carbon dioxide (CO
                        <E T="52">2</E>
                        ), methane (CH
                        <E T="52">4</E>
                        ), nitrous oxide (N
                        <E T="52">2</E>
                        O), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), and sulfur hexafluoride (SF
                        <E T="52">6</E>
                        ). Mobile sources emitted 31 percent of all U.S. GHGs in 2007 (transportation sources, which do not include certain off-highway sources, account for 28 percent) and have been the fastest-growing source of U.S. GHGs since 1990.
                        <SU>11</SU>
                        <FTREF/>
                         Mobile sources addressed in EPA's endangerment and contribution findings under CAA section 202(a)—light-duty vehicles, heavy-duty trucks, buses, and motorcycles—accounted for 23 percent of all U.S. GHG emissions in 2007.
                        <SU>12</SU>
                        <FTREF/>
                         Heavy-duty vehicles emit CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , N
                        <E T="52">2</E>
                        O, and HFCs and are responsible for nearly 19 percent of all mobile source GHGs (nearly 6 percent of all U.S. GHGs) and about 25 percent of section 202(a) mobile source GHGs. For heavy-duty vehicles in 2007, CO
                        <E T="52">2</E>
                         emissions represented more than 99 percent of all GHG emissions (including HFCs).
                        <SU>13</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>10</SU>
                             U.S. EPA. (2009). “Technical Support Document for Endangerment and Cause or Contribute Findings for Greenhouse Gases Under Section 202(a) of the Clean Air Act” Washington, DC, available at Docket: EPA-HQ-OAR-2009-0171-11645, and at 
                            <E T="03">http://epa.gov/climatechange/endangerment.html.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>11</SU>
                             U.S. Environmental Protection Agency. 2009. Inventory of U.S. Greenhouse Gas Emissions and Sinks: 1990-2007. EPA 430-R-09-004. Available at 
                            <E T="03">http://epa.gov/climatechange/emissions/downloads09/GHG2007entire_report-508.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>12</SU>
                             
                            <E T="03">See</E>
                             Endangerment TSD, Note 10, above, at pp. 180-194.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>13</SU>
                             U.S. Environmental Protection Agency. 2009. Inventory of U.S. Greenhouse Gas Emissions and Sinks: 
                            <E T="03">See</E>
                             Note 11, above.
                        </P>
                    </FTNT>
                    <P>
                        In developing this HD National program, the agencies have worked with a large and diverse group of stakeholders representing truck and engine manufacturers, trucking fleets, environmental organizations, and states including the State of California.
                        <SU>14</SU>
                        <FTREF/>
                         Further, it is our expectation based on our ongoing work with the State of California that the California ARB will 
                        <PRTPAGE P="57110"/>
                        be able to adopt regulations equivalent in practice to those of this HD National Program, just as it has done for past EPA regulation of heavy-duty trucks and engines. NHTSA and EPA have been working with California ARB to enable that outcome.
                    </P>
                    <FTNT>
                        <P>
                            <SU>14</SU>
                             Pursuant to DOT Order 2100.2, NHTSA has docketed a memorandum recording those meetings that it attended and documents submitted by stakeholders which formed a basis for this action and which can be made publicly available in its docket for this rulemaking. DOT Order 2100.2 is available at 
                            <E T="03">http://www.reg-group.com/library/DOT2100-2.PDF.</E>
                        </P>
                    </FTNT>
                    <P>In light of the industry's diversity, and consistent with the recommendations of the National Academy of Sciences (NAS) as discussed further below, the agencies are adopting a HD National Program that recognizes the different sizes and work requirements of this wide range of heavy-duty vehicles and their engines. NHTSA's final fuel consumption standards and EPA's final GHG standards apply to manufacturers of the following types of heavy-duty vehicles and their engines; the final provisions for each of these are described in more detail below in this section:</P>
                    <P>• Heavy-duty Pickup Trucks and Vans.</P>
                    <P>• Combination Tractors.</P>
                    <P>• Vocational Vehicles.</P>
                    <P>
                        As in the light-duty 2012-2016 MY vehicle rule, EPA's and NHTSA's final standards for the heavy-duty sector are largely harmonized with one another due to the close and direct relationship between improving the fuel efficiency of these vehicles and reducing their CO
                        <E T="52">2</E>
                         tailpipe emissions. For all vehicles that consume carbon-based fuels, the amount of CO
                        <E T="52">2</E>
                         exhaust emissions is essentially constant per gallon for a given type of fuel that is consumed. The more efficient a heavy-duty truck is in completing its work, the lower its environmental impact will be, because the less fuel consumed to move cargo a given distance, the less CO
                        <E T="52">2</E>
                         that truck emits directly into the air. The technologies available for improving fuel efficiency, and therefore for reducing both CO
                        <E T="52">2</E>
                         emissions and fuel consumption, are one and the same.
                        <SU>15</SU>
                        <FTREF/>
                         Because of this close technical relationship, NHTSA and EPA have been able to rely on jointly-developed assumptions, analyses, and analytical conclusions to support the standards and other provisions that NHTSA and EPA are adopting under our separate legal authorities.
                    </P>
                    <FTNT>
                        <P>
                            <SU>15</SU>
                             However, as discussed below, in addition to addressing CO
                            <E T="52">2</E>
                            , the EPA's final standards also include provisions to address other GHGs (nitrous oxide, methane, and air conditioning refrigerant emissions). 
                            <E T="03">See</E>
                             Section II.
                        </P>
                    </FTNT>
                    <P>This program is based on standards for direct exhaust emissions from engines and vehicles. In characterizing the overall emissions impacts, benefits and costs of the program, analyses of air pollutant emissions from upstream sources have been conducted. In this action, the agencies use the term upstream to include emissions from the production and distribution of fuel. A summary of the analysis of upstream emissions can be found in Section VI.C of this preamble, and further details are available in Chapter 5 of the RIA.</P>
                    <P>The timelines for the implementation of the final NHTSA and EPA standards are also closely coordinated. EPA's final GHG emission standards will begin in model year 2014. In order to provide for the four full model years of regulatory lead time required by EISA, as discussed in Section 0 below, NHTSA's final fuel consumption standards will be voluntary in model years 2014 and 2015, becoming mandatory in model year 2016, except for diesel engine standards which will be voluntary in model years 2014, 2015 and 2016, becoming mandatory in model year 2017. Both agencies are also allowing for early compliance in model year 2013. A detailed discussion of how the final standards are consistent with each agency's respective statutory requirements and authorities is found later in this preamble.</P>
                    <P>Allison Transmission stated that sufficient time must be taken before issuing the final rules in order to ensure that the standards are supportable. As explained in Sections II and III below, as well as in the RIA, the agencies believe there is sufficient lead time to meet all of the standards adopted in today's rules. For those areas for which the agencies have determined that insufficient time is available to develop appropriate standards, such as for trailers, the agencies are not including regulations as part of this initial program.</P>
                    <P>NHTSA received several comments related to the timing of the implementation of its fuel consumption standards. The Engine Manufacturers Association (EMA), the National Automobile Dealers Association (NADA), The Volvo Group (Volvo), and Navistar argued that the timing of NHTSA's standards violated the lead time requirement of 49 U.S.C. 32902(k)(3)(A), which states that standards under the new medium- and heavy-duty program shall have “not less than 4 full model years of regulatory lead-time.” The commenters seemed to interpret the voluntary program as the imposition of regulation upon industry. NADA described NHTSA's standards during the voluntary period as “mandates.”</P>
                    <P>
                        NHTSA has reviewed this issue and believes that the regulatory schedule is consistent with the lead time requirement of Section 32902(k)(3). To clarify, NHTSA will not be imposing a mandatory regulatory program until 2016, and none of the voluntary standards will be “mandates.” As described in later sections, the voluntary standards would only apply to a manufacturer if it makes the voluntary and affirmative choice to opt-in to the program. 
                        <SU>16</SU>
                        <FTREF/>
                         Mandatory NHTSA standards will first come into effect in 2016, giving industry four full years of lead time with the NHTSA fuel consumption standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>16</SU>
                             Prior to or at the same time that a manufacturer submits its first application for a certificate of conformity; 
                            <E T="03">See</E>
                             Section V below.
                        </P>
                    </FTNT>
                    <P>EMA, NADA, and Navistar also argued that the proposed standards would violate the stability requirement of 49 U.S.C. 32902(k)(3)(B), which states that they shall have “not less than 3 full model years of regulatory stability.” EMA stated that since there are HD emission standards taking effect in 2013, the 2014 implementation date for this rule would violate the stability requirements. NADA argued that the MY 2014-2017/2018 phase-in period was inadequate to fulfill the stability requirement.</P>
                    <P>
                        Congress has not spoken directly to the meaning of the words “regulatory stability.” NHTSA believes that the “regulatory stability” requirement exists to ensure that manufacturers will not be subject to new standards in repeated rulemakings too rapidly, given that Congress did not include a minimum duration period for the MD/HD standards.
                        <SU>17</SU>
                        <FTREF/>
                         NHTSA further believes that standards, which as set provide for increasing stringency during the period that the standards are applicable under this rule to be the maximum feasible during the regulatory period, are within the meaning of the statute. In this statutory context, NHTSA interprets the phrase “regulatory stability” in Section 32902(k)(3)(B) as requiring that the standards remain in effect for three years before they may be increased by amendment. It does not prohibit standards which contain pre-determined stringency increases.
                    </P>
                    <FTNT>
                        <P>
                            <SU>17</SU>
                             In contrast, light-duty standards must remain in place for “at least 1, but not more than 5, model years.” 23902(b)(3)(B).
                        </P>
                    </FTNT>
                    <P>
                        As laid out in Section II below, NHTSA's final standards follow different phase-in schedules based on differences between the regulatory categories. Consistent with NHTSA's statutory obligation to implement a program designed to achieve the maximum feasible fuel efficiency improvement, the standards increase in stringency based upon increasing fleet penetration rates for the available technologies. The NPRM proposed phase-in schedules aligned with EPA's, 
                        <PRTPAGE P="57111"/>
                        some of which followed pre-determined stringency increases. The NPRM also noted that NHTSA was considering alternate standards that would not change in stringency during the time frame when the regulations are effective for those standards that increased throughout the mandatory program. As described in Section II below, the final rule includes the proposed alternate standards for those standards that follow such a stringency phase-in path. Therefore, NHTSA believes that the final rule provides ample stability for each standard.
                    </P>
                    <P>Each standard, associated phase-in schedule, and alternative standard implemented by this final rule was noticed in the NPRM. Those fuel consumption standards that become mandatory in 2017 will remain in effect through at least 2019. This further ensures that the fuel consumption standards in this rule will remain in effect for at least three years, providing the statutorily-mandated three full years of regulatory stability, and ensuring that manufacturers will not be subject to new or amended standards too rapidly. (The greenhouse gas emission standards remain in effect unless and until amended in all later model years in any case.) Therefore, NHTSA believes the commenters' concern about regulatory stability is addressed in the structure of the rule.</P>
                    <P>Neither EPA nor NHTSA is adopting standards at this time for GHG emissions or fuel consumption, respectively, for heavy-duty commercial trailers or for vehicles or engines manufactured by small businesses. The agencies recognize that aerodynamic and tire rolling resistance improvements to trailers represent a significant opportunity to reduce fuel consumption and GHGs as evidenced, among other things, by the work of the EPA SmartWay program. While we are deferring action today on setting trailer standards, the agencies are committed to moving forward to create a regulatory program for trailers that would complement the current vehicle program. See Section IX for more details on the agencies' decisions regarding trailers, and Sections II and XII for more details on the agencies' decisions regarding small businesses.</P>
                    <P>The agencies have analyzed in detail the projected costs, fuel savings, and benefits of the final GHG and fuel consumption standards. Table I-1 shows estimated lifetime discounted program costs (including technological outlays), fuel savings, and benefits for all heavy-duty vehicles projected to be sold in model years 2014-2018 over these vehicles' lives. Section I.D includes additional information about this analysis.</P>
                    <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="s30,6">
                        <TTITLE>
                            Table I-1—Estimated Lifetime Discounted Costs, Fuel Savings, Benefits, and Net Benefits for 2014-2018 Model Year Heavy-Duty Vehicles 
                            <E T="51">a b</E>
                        </TTITLE>
                        <TDESC>[Billions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Lifetime Present Value 
                                    <SU>c</SU>
                                    —3% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Program Costs</ENT>
                            <ENT>$8.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>50</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Benefits</ENT>
                            <ENT>7.3</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits
                                <SU>d</SU>
                            </ENT>
                            <ENT>49</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Annualized Value 
                                    <SU>e</SU>
                                    —3% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Annualized Costs</ENT>
                            <ENT>0.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>2.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annualized Benefits</ENT>
                            <ENT>0.4</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits 
                                <SU>d</SU>
                            </ENT>
                            <ENT>2.2</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Lifetime Present Value 
                                    <SU>c</SU>
                                    —7% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Program Costs</ENT>
                            <ENT>8.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>34</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Benefits</ENT>
                            <ENT>6.7</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits 
                                <SU>d</SU>
                            </ENT>
                            <ENT>33</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Annualized Value 
                                    <SU>e</SU>
                                    —7% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Annualized Costs</ENT>
                            <ENT>0.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>2.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annualized Benefits</ENT>
                            <ENT>0.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Net Benefits 
                                <SU>d</SU>
                            </ENT>
                            <ENT>2.5</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="53">a</E>
                             The agencies estimated the benefits associated with four different values of a one ton CO
                            <E T="52">2</E>
                             reduction (model average at 2.5% discount rate, 3%, and 5%; 95th percentile at 3%), which each increase over time. For the purposes of this overview presentation of estimated costs and benefits, however, we are showing the benefits associated with the marginal value deemed to be central by the interagency working group on this topic: the model average at 3% discount rate, in 2009 dollars. Section VIII.F provides a complete list of values for the 4 estimates.
                        </TNOTE>
                        <TNOTE>
                            <E T="53">b</E>
                             Note that net present value of reduced GHG emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to Section VIII.F for more detail.
                        </TNOTE>
                        <TNOTE>
                            <E T="53">c</E>
                             Present value is the total, aggregated amount that a series of monetized costs or benefits that occur over time is worth now (in year 2009 dollar terms), discounting future values to the present.
                        </TNOTE>
                        <TNOTE>
                            <E T="53">d</E>
                             Net benefits reflect the fuel savings plus benefits minus costs.
                        </TNOTE>
                        <TNOTE>
                            <E T="53">e</E>
                             The annualized value is the constant annual value through a given time period (2012 through 2050 in this analysis) whose summed present value equals the present value from which it was derived.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD2">B. Building Blocks of the Heavy-Duty National Program</HD>
                    <P>The standards that are being adopted in this notice represent the first time that NHTSA and EPA are regulating the heavy-duty sector for fuel consumption and GHG emissions, respectively. The HD National Program is rooted in EPA's prior regulatory history, the SmartWay® Transport Partnership program, and extensive technical and engineering analyses done at the federal level. This section summarizes some of the most important of these precursors and foundations for this HD National Program.</P>
                    <HD SOURCE="HD3">(1) EPA's Traditional Heavy-Duty Regulatory Program</HD>
                    <P>
                        Since the 1980s, EPA has acted several times to address tailpipe emissions of criteria pollutants and air toxics from heavy-duty vehicles and engines. During the last 18 years, these programs have primarily addressed emissions of particulate matter (PM) and the primary ozone precursors, hydrocarbons (HC) and oxides of nitrogen (NO
                        <E T="52">X</E>
                        ). These programs have successfully achieved significant and cost-effective reductions in emissions and associated health and welfare benefits to the nation. They have been structured in ways that account for the varying circumstances of the engine and truck industries. As required by the CAA, the emission standards implemented by these programs include standards that apply at the time that the vehicle or engine is sold as well as standards that apply in actual use. As a result of these programs, new vehicles meeting current emission standards will emit 98 percent less NO
                        <E T="52">X</E>
                         and 99 percent less PM than new trucks 20 years ago. The resulting emission reductions provide significant public health and welfare benefits. The most recent EPA regulations which were fully phased-in in 2010, the monetized health and welfare benefits alone are projected to be greater than $70 billion in 2030—benefits far exceeding compliance costs and not including the unmonetized benefits resulting from reductions in air toxics and ozone precursors (66 FR 5002, January 18, 2001).
                    </P>
                    <P>
                        EPA's overall program goal has always been to achieve emissions reductions from the complete vehicles that operate on our roads. The agency has often accomplished this goal for many heavy-duty truck categories through the regulation of heavy-duty engine emissions. A key part of this success has been the development over many years of a well-established, representative, and robust set of engine 
                        <PRTPAGE P="57112"/>
                        test procedures that industry and EPA now routinely use to measure emissions and determine compliance with emission standards. These test procedures in turn serve the overall compliance program that EPA implements to help ensure that emissions reductions are being achieved. By isolating the engine from the many variables involved when the engine is installed and operated in a HD vehicle, EPA has been able to accurately address the contribution of the engine alone to overall emissions. The agencies discuss below how the final program incorporates the existing engine-based approach used for criteria pollutant regulations, as well as new vehicle-based approaches.
                    </P>
                    <HD SOURCE="HD3">(2) NHTSA's Responsibilities To Regulate Heavy-Duty Fuel Efficiency under EISA</HD>
                    <P>
                        With the passage of the EISA in December 2007, Congress laid out a framework developing the first fuel efficiency regulations for HD vehicles. As codified at 49 U.S.C. 32902(k), EISA requires NHTSA to develop a regulatory system for the fuel efficiency of commercial medium-duty and heavy-duty on-highway vehicles and work trucks in three steps: a study by NAS, a study by NHTSA,
                        <SU>18</SU>
                        <FTREF/>
                         and a rulemaking to develop the regulations themselves.
                    </P>
                    <FTNT>
                        <P>
                            <SU>18</SU>
                             Factors and Considerations for Establishing a Fuel Efficiency Regulatory Program for Commercial Medium- and Heavy-Duty Vehicles, October 2010, available at 
                            <E T="03">http://www.nhtsa.gov/staticfiles/rulemaking/pdf/cafe/NHTSA_Study_Trucks.pdf.</E>
                        </P>
                    </FTNT>
                    <P>Specifically, section 102 of EISA, codified at 49 U.S.C. 32902(k)(2), states that not later than two years after completion of the NHTSA study, DOT (by delegation, NHTSA), in consultation with the Department of Energy (DOE) and EPA, shall develop a regulation to implement a “commercial medium-duty and heavy-duty on-highway vehicle and work truck fuel efficiency improvement program designed to achieve the maximum feasible improvement.” NHTSA interprets the timing requirements as permitting a regulation to be developed earlier, rather than as requiring the agency to wait a specified period of time.</P>
                    <P>Congress specified that as part of the “HD fuel efficiency improvement program designed to achieve the maximum feasible improvement,” NHTSA must adopt and implement:</P>
                    <P>Appropriate test methods;</P>
                    <P>Measurement metrics;</P>
                    <P>
                        Fuel economy standards; 
                        <SU>19</SU>
                        <FTREF/>
                         and
                    </P>
                    <FTNT>
                        <P>
                            <SU>19</SU>
                             In the context of 49 U.S.C. 32902(k), NHTSA interprets “fuel economy standards” as referring not specifically to miles per gallon, as in the light-duty vehicle context, but instead more broadly to account as accurately as possible for MD/HD fuel efficiency. While it is a metric that NHTSA considered for setting MD/HD fuel efficiency standards, the agency recognizes that miles per gallon may not be an appropriate metric given the work that MD/HD vehicles are manufactured to do. NHTSA is thus finalizing alternative metrics as discussed further below.
                        </P>
                    </FTNT>
                    <P>Compliance and enforcement protocols.</P>
                    <P>
                        Congress emphasized that the test methods, measurement metrics, standards, and compliance and enforcement protocols must all be appropriate, cost-effective, and technologically feasible for commercial medium-duty and heavy-duty on-highway vehicles and work trucks. NHTSA notes that these criteria are different from the “four factors” of 49 U.S.C. 32902(f) 
                        <SU>20</SU>
                        <FTREF/>
                         that have long governed NHTSA's setting of fuel economy standards for passenger cars and light trucks, although many of the same issues are considered under each of these provisions.
                    </P>
                    <FTNT>
                        <P>
                            <SU>20</SU>
                             49 U.S.C. 32902(f) states that “When deciding maximum feasible average fuel economy under this section, [NHTSA] shall consider technological feasibility, economic practicability, the effect of other motor vehicle standards of the Government on fuel economy, and the need of the United States to conserve energy.”
                        </P>
                    </FTNT>
                    <P>Congress also stated that NHTSA may set separate standards for different classes of HD vehicles, which the agency interprets broadly to allow regulation of HD engines in addition to HD vehicles, and provided requirements new to 49 U.S.C. 32902 in terms of timing of regulations, stating that the standards adopted as a result of the agency's rulemaking shall provide not less than four full model years of regulatory lead time, and three full model years of regulatory stability.</P>
                    <HD SOURCE="HD3">(3) National Academy of Sciences Report on Heavy-Duty Technology</HD>
                    <P>
                        In April 2010 as mandated by Congress in EISA, the National Research Council (NRC) under NAS issued a report to NHTSA and to Congress evaluating medium-duty and heavy-duty truck fuel efficiency improvement opportunities, titled “Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-duty Vehicles.” 
                        <SU>21</SU>
                        <FTREF/>
                         This study covers the same universe of heavy-duty vehicles that is the focus of this final rulemaking—all highway vehicles that are not light-duty, MDPVs, or motorcycles. The agencies have carefully evaluated the research supporting this report and its recommendations and have incorporated them to the extent practicable in the development of this rulemaking.
                    </P>
                    <FTNT>
                        <P>
                            <SU>21</SU>
                             Committee to Assess Fuel Economy Technologies for Medium- and Heavy-Duty Vehicles; National Research Council; Transportation Research Board (2010). “Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-Duty Vehicles,” (hereafter, “NAS Report”). Washington, DC, The National Academies Press. Available electronically from the National Academies Press Website at 
                            <E T="03">http://www.nap.edu/catalog.php?record_id=12845</E>
                             (last accessed September 10, 2010).
                        </P>
                    </FTNT>
                    <P>The NAS report is far reaching in its review of the technologies that are available and which may become available in the future to reduce fuel consumption from medium and heavy-duty vehicles. In presenting the full range of technical opportunities the report includes technologies which may not be available until 2020 or even further into the future. As such, the report provides not only a valuable list of off the shelf technologies from which the agencies have drawn in developing this near-term 2014-2018 program consistent with statutory authorities and with the set of principles set forth by the President, but the report also provides a road map the agencies can use as we look to develop future regulations for this sector. A review of the technologies in the NAS report makes clear that there are not only many technologies readily available today to achieve important reductions in fuel consumption, like the ones we used in developing the 2014-2018 program, but there are also great opportunities for even larger reductions in the future through the development of advanced hybrid drive systems and sophisticated engine technologies such as Rankine waste heat recovery. The agencies will again make extensive use of this report when we move forward to develop the next phase of regulations for medium and heavy-duty vehicles.</P>
                    <P>
                        Allison Transmission commented that NHTSA (implicitly, both agencies) had improperly relied on the NAS report and failed to do sufficient independent analysis, which Allison claimed did not meet the statutory obligation to provide an adequate basis for the rule. First, an agency does not improperly delegate its authority or judgment merely by using work performed by outside parties as the factual basis for its decision making. 
                        <E T="03">See</E>
                         U
                        <E T="03">.S. Telecom Ass'n</E>
                         v. 
                        <E T="03">FCC,</E>
                         359 F.3d 554, 568 (DC Cir. 2004); 
                        <E T="03">United Steelworkers of Am.</E>
                         v. 
                        <E T="03">Marshall,</E>
                         647 F.2d 1189, 1216-17 (DC Cir. 1980). Here, although EPA and NHTSA carefully considered the NAS report, the agencies' consideration and use of the report was not uncritical and the agencies exercised reasonable independent judgment in developing the proposed and final rules. Consistent with EISA's direction, NAS submitted a report evaluating MD/HD fuel economy standards to NHTSA in March of 2010. 
                        <PRTPAGE P="57113"/>
                        Indeed, many commenters argued that the agencies should have adopted more of the NAS report recommendations. The agencies reviewed the findings and recommendations of the NAS report when developing the proposed rules, as was clearly intended by Congress, but also conducted an independent study, as described throughout the record to the proposal and summarized in Section X of the NPRM, 75 FR at 74351-56. In conducting its analysis of the NAS report, the agencies found that several key recommendations, such as the use of fuel efficiency metrics, were the best approach to implementing the new program. However, the agencies rejected other recommendations of the NAS report, for example, by proposing separate regulation of engines and vehicles and the regulation of large manufacturers.
                    </P>
                    <HD SOURCE="HD3">(4) The NHTSA and EPA Light-Duty National GHG and Fuel Economy Program</HD>
                    <P>
                        On May 7, 2010, EPA and NHTSA finalized the first-ever National Program for light-duty cars and trucks, which set GHG emissions and fuel economy standards for model years 2012-2016 (
                        <E T="03">See</E>
                         75 FR 25324). The agencies have used the light-duty National Program as a model for this final HD National Program in many respects. This is most apparent in the case of heavy-duty pickups and vans, which are very similar to the light-duty trucks addressed in the light-duty National Program both technologically as well as in terms of how they are manufactured (
                        <E T="03">i.e.,</E>
                         the same company often makes both the vehicle and the engine). For these vehicles, there are close parallels to the light-duty program in how the agencies have developed our respective final standards and compliance structures, although, as discussed below, the technologies applied to light-duty trucks are not invariably applicable to heavy-duty pickups and vans at the same penetration rates in the lead time afforded in this heavy-duty action. Another difference is that each agency adopts standards based on attributes other than vehicle footprint, as discussed below.
                    </P>
                    <P>Due to the diversity of the remaining HD vehicles, there are fewer parallels with the structure of the light-duty program. However, the agencies have maintained the same collaboration and coordination that characterized the development of the light-duty program. Most notably, as with the light-duty program, manufacturers will be able to design and build vehicles to meet a closely coordinated, harmonized national program, and avoid unnecessarily duplicative testing and compliance burdens.</P>
                    <HD SOURCE="HD3">(5) EPA's SmartWay Program</HD>
                    <P>
                        EPA's voluntary SmartWay Transport Partnership program encourages shipping and trucking companies to take actions that reduce fuel consumption and CO
                        <E T="52">2</E>
                         by working with the shipping community and the freight sector to identify low carbon strategies and technologies, and by providing technical information, financial incentives, and partner recognition to accelerate the adoption of these strategies. Through the SmartWay program, EPA has worked closely with truck manufacturers and truck fleets to develop test procedures to evaluate vehicle and component performance in reducing fuel consumption and has conducted testing and has established test programs to verify technologies that can achieve these reductions. Over the last six years, EPA has developed hands-on experience testing the largest heavy-duty trucks and evaluating improvements in tire and vehicle aerodynamic performance. In 2010, according to vehicle manufacturers, approximately five percent of new combination heavy-duty trucks will meet the SmartWay performance criteria demonstrating that they represent the pinnacle of current heavy-duty truck reductions in fuel consumption.
                    </P>
                    <P>
                        In developing this HD National Program, the agencies have drawn from the SmartWay experience, as discussed in detail both in Sections II and III below (
                        <E T="03">e.g.,</E>
                         developing test procedures to evaluate trucks and truck components) but also in the RIA (estimating performance levels from the application of the best available technologies identified in the SmartWay program). These technologies provide part of the basis for the GHG emission and fuel consumption standards in this rulemaking for certain types of new heavy-duty Class 7 and 8 combination tractors.
                    </P>
                    <P>In addition to identifying technologies, the SmartWay program includes operational approaches that truck fleet owners as well as individual drivers and their freight customers can incorporate, that the NHTSA and EPA believe will complement the final standards. These include such approaches as improved logistics and driver training, as discussed in the RIA. This approach is consistent with the one of the three alternative approaches that the NAS recommended be considered. The three approaches were raising fuel taxes, relaxing truck size and weight restrictions, and encouraging incentives to disseminate information to inform truck drivers about the relationship between driving behavior and fuel savings. Taxes and truck size and weight limits are mandated by public law; as such, these options are outside EPA's and NHTSA's authority to implement. However, complementary operational measures like driver training, which SmartWay does promote, can complement the final standards and also provide benefits for the existing truck fleet, furthering the public policy objectives of addressing energy security and climate change.</P>
                    <HD SOURCE="HD3">(6) Environment Canada</HD>
                    <P>The Government of Canada's Department of the Environment (Environment Canada) assisted EPA's development of this rulemaking by conducting emissions testing of heavy-duty vehicles at their test facilities to gather data on a range of possible test cycles, and to evaluate the impact of certain emissions reduction technologies. Environment Canada also facilitated the evaluation of heavy-duty vehicle aerodynamic properties at Canada's National Research Council wind tunnel, and during coastdown testing.</P>
                    <P>We expect the technical collaboration with Environment Canada to continue as we implement testing and compliance verification procedures for this rulemaking. We may also begin to develop a knowledge base enabling improvement upon this regulatory framework for model years beyond 2018 (for example, improvements to the means of demonstrating compliance). We also expect to continue our collaboration with Environment Canada on compliance issues.</P>
                    <P>Collaboration with Environment Canada is taking place under the Canada-U.S. Air Quality Committee.</P>
                    <HD SOURCE="HD2">C. Summary of the Final EPA and NHTSA HD National Program</HD>
                    <P>
                        When EPA first addressed emissions from heavy-duty trucks in the 1980s, it established standards for engines, based on the amount of work performed (grams of pollutant per unit of work, expressed as grams per brake horsepower-hour or g/bhp-hr).
                        <SU>22</SU>
                        <FTREF/>
                         This 
                        <PRTPAGE P="57114"/>
                        approach recognized the fact that engine characteristics are the dominant determinant of the types of emissions generated, and engine-based technologies (including exhaust aftertreatment systems) need to be the focus for addressing those emissions. Vehicle-based technologies, in contrast, have less influence on overall truck emissions of the pollutants that EPA has regulated in the past. The engine testing approach also recognized the relatively small number of distinct heavy-duty engine designs, as compared to the extremely wide range of truck designs. EPA concluded at that time that any incremental gain in conventional emission control that could be achieved through regulation of the complete vehicle would be small in comparison to the cost of addressing the many variants of complete trucks that make up the heavy-duty sector—smaller and larger vocational vehicles for dozens of purposes, various designs of combination tractors, and many others.
                    </P>
                    <FTNT>
                        <P>
                            <SU>22</SU>
                             The term “brake power” refers to engine torque and power as measured at the interface between the engine's output shaft and the dynamometer. This contrasts with “indicated power”, which is a calculated value based on the pressure dynamics in the combustion chamber, not including internal losses that occur due to friction and pumping work. Since the measurement procedure inherently measures brake torque and power, the final regulations refer simply to g/hp-hr. This is consistent with EPA's other emission control programs, which generally include standards in g/kW-hr.
                        </P>
                    </FTNT>
                    <P>Addressing GHG emissions and fuel consumption from heavy-duty trucks, however, requires a different approach. Reducing GHG emissions and fuel consumption requires increasing the inherent efficiency of the engine as well as making changes to the vehicles to reduce the amount of work demanded from the engine in order to move the truck down the road. A focus on the entire vehicle is thus required. For example, in addition to the basic emissions and fuel consumption levels of the engine, the aerodynamics of the vehicle can have a major impact on the amount of work that must be performed to transport freight at common highway speeds. For this first rulemaking, the agencies proposed a complementary engine and vehicle approach in order to achieve the maximum feasible near-term reductions.</P>
                    <P>
                        NHTSA received comments on the proposal to create complementary engine and vehicle standards. Volvo and Daimler argued that EISA limited NHTSA's authority to the regulation of completed vehicles and did not give NHTSA authority to regulate engines. 49 U.S.C. 32902(k)(2) grants NHTSA broad authority to regulate this sector, stating simply that the Secretary “shall determine in a rulemaking proceeding how to implement a commercial medium- and heavy-duty on-highway vehicle and work truck fuel efficiency improvement program designed to achieve the maximum feasible improvement,” considering appropriateness, cost-effectiveness, and technological feasibility. NHTSA does not believe that this language precludes the regulation of engines, but rather explicitly leaves the regulatory approach to the agency's expertise and discretion. 
                        <E T="03">See</E>
                         75 FR at 74173 n. 36. Considering the factors described in the NPRM and in Sections III and IV below, NHTSA continues to believe that the separate regulation of engines and vehicles is both consistent with the agency's statutory mandate to determine how to implement a regulatory program designed to achieve the maximum feasible improvement and facilitates coordination with EPA's efforts to reduce greenhouse gas emissions. The Clean Air act, of course, mandates standards for both “new motor vehicles” and “new motor vehicle engines”, so there is no issue of authority for separate engine standards under the EPA GHG program. CAA section 202(a)(1).
                    </P>
                    <P>As described elsewhere in this preamble, the final standards under the HD National Program address the complete vehicle, to the extent practicable and appropriate under the agencies' respective statutory authorities, through complementary engine and vehicle standards. The agencies continue to believe that this complementary engine and vehicle approach is the best way to achieve near term reductions from the heavy-duty sector. However, we also recognize as did the NAS committee and a wide range of industry and environmental commenters, that in order to fully capture the multi-faceted synergistic aspects of engine and vehicle design a more comprehensive complete vehicle standard may be appropriate in the future. The agencies are committed to fully exploring such a possibility and to developing the testing and modeling tools necessary to enable such a regulatory approach. We intend to work with all interested stakeholders as we move forward.</P>
                    <HD SOURCE="HD3">(1) Brief Overview of the Heavy-Duty Truck Industry</HD>
                    <P>
                        The heavy-duty truck sector spans a wide range of vehicles with often unique form and function. A primary indicator of the extreme diversity among heavy-duty trucks is the range of load-carrying capability across the industry. The heavy-duty truck sector is often subdivided by vehicle weight classifications, as defined by the vehicle's gross vehicle weight rating (GVWR), which is a measure of the combined curb (empty) weight and cargo carrying capacity of the truck.
                        <SU>23</SU>
                        <FTREF/>
                         Table I-2 below outlines the vehicle weight classifications commonly used for many years for a variety of purposes by businesses and by several federal agencies, including the Department of Transportation, the Environmental Protection Agency, the Department of Commerce, and the Internal Revenue Service.
                    </P>
                    <FTNT>
                        <P>
                            <SU>23</SU>
                             GVWR describes the maximum load that can be carried by a vehicle, including the weight of the vehicle itself. Heavy-duty vehicles also have a gross combined weight rating (GCWR), which describes the maximum load that the vehicle can haul, including the weight of a loaded trailer and the vehicle itself.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s20,13,13,13,13,13,13,13">
                        <TTITLE>Table I-2—Vehicle Weight Classification</TTITLE>
                        <BOXHD>
                            <CHED H="1">Class</CHED>
                            <CHED H="1">2b</CHED>
                            <CHED H="1">3</CHED>
                            <CHED H="1">4</CHED>
                            <CHED H="1">5</CHED>
                            <CHED H="1">6</CHED>
                            <CHED H="1">7</CHED>
                            <CHED H="1">8</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">GVWR (lb)</ENT>
                            <ENT>8,501-10,000</ENT>
                            <ENT>10,001-14,000</ENT>
                            <ENT>14,001-16,000</ENT>
                            <ENT>16,001-19,500</ENT>
                            <ENT>19,501-26,000</ENT>
                            <ENT>26,001-33,000</ENT>
                            <ENT>&gt; 33,001</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        In the framework of these vehicle weight classifications, the heavy-duty truck sector refers to Class 2b through Class 8 vehicles and the engines that power those vehicles.
                        <SU>24</SU>
                        <FTREF/>
                         Unlike light-duty vehicles, which are primarily used for transporting passengers for personal travel, heavy-duty vehicles fill much more diverse operator needs. Heavy-duty pickup trucks and vans (Classes 2b and 3) are used chiefly as work truck and vans, and as shuttle vans, as well as for personal transportation, with an average annual mileage in the range of 15,000 miles. The rest of the heavy-duty sector is used for carrying cargo and/or performing specialized tasks. “Vocational” vehicles, which may span Classes 2b through 8, vary widely in size, including smaller and larger van trucks, utility “bucket” trucks, tank 
                        <PRTPAGE P="57115"/>
                        trucks, refuse trucks, urban and over-the-road buses, fire trucks, flat-bed trucks, and dump trucks, among others. The annual mileage of these trucks is as varied as their uses, but for the most part tends to fall in between heavy-duty pickups/vans and the large combination tractors, typically from 15,000 to 150,000 miles per year, although some travel more and some less. Class 7 and 8 combination tractor-trailers—some equipped with sleeper cabs and some not—are primarily used for freight transportation. They are sold as tractors and sometimes run without a trailer in between loads, but most of the time they run with one or more trailers that can carry up to 50,000 pounds or more of payload, consuming significant quantities of fuel and producing significant amounts of GHG emissions. The combination tractor-trailers used in combination applications can travel more than 150,000 miles per year.
                    </P>
                    <FTNT>
                        <P>
                            <SU>24</SU>
                             Class 2b vehicles designed as passenger vehicles (Medium Duty Passenger Vehicles, MDPVs) are covered by the light-duty GHG and fuel economy standards and not addressed in this rulemaking.
                        </P>
                    </FTNT>
                    <P>EPA and NHTSA have designed our respective standards in careful consideration of the diversity and complexity of the heavy-duty truck industry, as discussed next.</P>
                    <HD SOURCE="HD3">(2) Summary of Final EPA GHG Emission Standards and NHTSA Fuel Consumption Standards</HD>
                    <P>As described above, NHTSA and EPA recognize the importance of addressing the entire vehicle in reducing fuel consumption and GHG emissions. At the same time, the agencies understand that the complexity of the industry means that we will need to use different approaches to achieve this goal, depending on the characteristics of each general type of truck. We are therefore dividing the industry into three discrete regulatory categories for purposes of setting our respective standards—combination tractors, heavy-duty pickups and vans, and vocational vehicles—based on the relative degree of homogeneity among trucks within each category. For each regulatory category, the agencies are adopting related but distinct program approaches reflecting the specific challenges that we see in these segments. In the following paragraphs, we discuss EPA's final GHG emission standards and NHTSA's final fuel consumption standards for the three regulatory categories of heavy-duty vehicles and their engines.</P>
                    <P>The agencies are adopting test metrics that express fuel consumption and GHG emissions relative to the most important measures of heavy-duty truck utility for each segment, consistent with the recommendation of the 2010 NAS Report that metrics should reflect and account for the work performed by various types of HD vehicles. This approach differs from NHTSA's light-duty program that uses fuel economy as the basis. The NAS committee discussed the difference between fuel economy (a measure of how far a vehicle will go on a gallon of fuel) and fuel consumption (the inverse measure, of how much fuel is consumed in driving a given distance) as potential metrics for MD/HD regulations. The committee concluded that fuel economy would not be a good metric for judging the fuel efficiency of a heavy-duty vehicle, and stated that NHTSA should instead consider fuel consumption as the metric for its standards. As a result, for heavy-duty pickup trucks and vans, EPA and NHTSA are finalizing standards on a per-mile basis (g/mile for the EPA standards, gallons/100 miles for the NHTSA standards), as explained in Section 0 below. For heavy-duty trucks, both combination and vocational, the agencies are adopting standards expressed in terms of the key measure of freight movement, tons of payload miles or, more simply, ton-miles. Hence, for EPA the final standards are in the form of the mass of emissions from carrying a ton of cargo over a distance of one mile (g/ton-mi). Similarly, the final NHTSA standards are in terms of gallons of fuel consumed over a set distance (one thousand miles), or gal/1,000 ton-mile. Finally, for engines, EPA is adopting standards in the form of grams of emissions per unit of work (g/bhp-hr), the same metric used for the heavy-duty highway engine standards for criteria pollutants today. Similarly, NHTSA is finalizing standards for heavy-duty engines in the form of gallons of fuel consumption per 100 units of work (gal/100 bhp-hr).</P>
                    <P>Section II below discusses the final EPA and NHTSA standards in greater detail.</P>
                    <HD SOURCE="HD3">(a) Class 7 and 8 Combination Tractors</HD>
                    <P>
                        Class 7 and 8 combination tractors and their engines contribute the largest portion of the total GHG emissions and fuel consumption of the heavy-duty sector, approximately 65 percent, due to their large payloads, their high annual miles traveled, and their major role in national freight transport.
                        <SU>25</SU>
                        <FTREF/>
                         These vehicles consist of a cab and engine (tractor or combination tractor) and a detachable trailer. In general, reducing GHG emissions and fuel consumption for these vehicles will involve improvements in aerodynamics and tires and reduction in idle operation, as well as engine-based efficiency improvements.
                    </P>
                    <FTNT>
                        <P>
                            <SU>25</SU>
                             The on-highway Class 7 and 8 combination tractors constitute the vast majority of this regulatory category, and form the backbone of this HD National Program. A small fraction of combination tractors are used in off-road applications and are regulated differently, as described in Section II.
                        </P>
                    </FTNT>
                    <P>In general, the heavy-duty combination tractor industry consists of tractor manufacturers (which manufacture the tractor and purchase and install the engine) and trailer manufacturers. These manufacturers are usually not the same entity. We are not aware of any manufacturer that typically assembles both the finished truck and the trailer and introduces the combination into commerce for sale to a buyer. The owners of trucks and trailers are often distinct as well. A typical truck buyer will purchase only the tractor. The trailers are usually purchased and owned by fleets and shippers. This occurs in part because trucking fleets on average maintain 3 trailers per tractor and in some cases as many as 6 or more trailers per tractor. There are also large differences in the kinds of manufacturers involved with producing tractors and trailers. For HD highway tractors and their engines, a relatively limited number of manufacturers produce the vast majority of these products. The trailer manufacturing industry is quite different, and includes a large number of companies, many of which are relatively small in size and production volume. Setting standards for the products involved—tractors and trailers—requires recognition of the large differences between these manufacturing industries, which can then warrant consideration of different regulatory approaches.</P>
                    <P>Based on these industry characteristics, EPA and NHTSA believe that the most straightforward regulatory approach for combination tractors and trailers is to establish standards for tractors separately from trailers. As discussed below in Section IX, the agencies are adopting standards for the tractors and their engines in this rulemaking, but did not propose and are not adopting standards for trailers.</P>
                    <P>
                        As with the other regulatory categories of heavy-duty vehicles, EPA and NHTSA have concluded that achieving reductions in GHG emissions and fuel consumption from combination tractors requires addressing both the cab and the engine, and EPA and NHTSA each are adopting standards that reflect this conclusion. The importance of the cab is that its design determines the amount of power that the engine must produce in moving the truck down the road. As illustrated in Figure I-1, the loads that require additional power from the engine include air resistance (aerodynamics), tire rolling resistance, 
                        <PRTPAGE P="57116"/>
                        and parasitic losses (including accessory loads and friction in the drivetrain). The importance of the engine design is that it determines the basic GHG emissions and fuel consumption performance of the engine for the variety of demands placed on the engine, regardless of the characteristics of the cab in which it is installed. The agencies intend for the final standards to result in the application of improved technologies for lower GHG emissions and fuel consumption for both the cab and the engine.
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>26</SU>
                             Adapted from Figure 4.1. Class 8 Truck Energy Audit, Technology Roadmap for the 21st Century Truck Program: A Government-Industry Research Partnership, 21CT-001, December 2000.
                        </P>
                    </FTNT>
                    <GPH SPAN="3" DEEP="205">
                        <GID>ER15SE11.000</GID>
                    </GPH>
                    <P>
                        Accordingly, for Class 7 and 8 combination tractors, the agencies are each finalizing two sets of standards. For vehicle-related emissions and fuel consumption, tractor manufacturers are required to meet vehicle-based standards. Compliance with the vehicle standard will typically be determined based on a customized vehicle simulation model, called the Greenhouse gas Emissions Model (GEM), which is consistent with the NAS Report recommendations to require compliance testing for combination tractors using vehicle simulation rather than chassis dynamometer testing. This compliance model was developed by EPA specifically for this final action. It is an accurate and cost-effective alternative to measuring emissions and fuel consumption while operating the vehicle on a chassis dynamometer. Instead of using a chassis dynamometer as an indirect way to evaluate real-world operation and performance, 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. The model also assumes the use of a representative typical engine, rather than a vehicle-specific engine, because engines are regulated separately. Using these inputs, the model will be used to quantify the overall performance of the vehicle in terms of CO
                        <E T="52">2</E>
                         emissions and fuel consumption. The model's development and design, as well as the sources for inputs, are discussed in detail in Section II below and in Chapter 4 of the RIA.
                    </P>
                    <HD SOURCE="HD3">(i) Final Standards for Class 7 and 8 Combination Tractors and Their Engines</HD>
                    <P>
                        The vehicle standards that EPA and NHTSA are adopting for Class 7 and 8 combination tractor manufacturers are based on several key attributes related to GHG emissions and fuel consumption that we believe reasonably represent the many differences in utility and performance among these vehicles. The final standards differ depending on GVWR (
                        <E T="03">i.e.,</E>
                         whether the truck is Class 7 or Class 8), the height of the roof of the cab, and whether it is a “day cab” or a “sleeper cab.” These later two attributes are important because the height of the roof, designed to correspond to the height of the trailer, significantly affects air resistance, and a sleeper cab generally corresponds to the opportunity for extended duration idle emission and fuel consumption improvements. We received a number of comments supporting this approach and no comments that provided a compelling reason to change our approach in this final action.
                    </P>
                    <P>
                        Thus, the agencies have created nine subcategories within the Class 7 and 8 combination tractor category based on the differences in expected emissions and fuel consumption associated with the key attributes of GVWR, cab type, and roof height. The agencies are setting standards beginning in 2014 model year with more stringent standards following in 2017 model year. Table I-3 presents the agencies' respective standards for combination tractor manufacturers for the 2017 model year. The standards represent an overall fuel consumption and CO
                        <E T="52">2</E>
                         emissions reduction up to 23 percent from the tractors and the engines installed in them when compared to a baseline 2010 model year tractor and engine without idle shutdown technology. The standard values shown below differ somewhat from the proposal, reflecting refinements made to the GEM in response to comments. These changes did not impact our estimates of the relative effectiveness of the various control technologies modeled in this final action nor the overall cost or benefits or cost effectiveness estimated for these final vehicle standards.
                    </P>
                    <P>
                        As proposed, the agencies are exempting certain types of tractors which operate off-road to be exempt 
                        <PRTPAGE P="57117"/>
                        from the combination tractor vehicle standards (although standards would still apply to the engines installed in these vehicles). The criteria for tractors to be considered off-road have been amended slightly from those proposed, in response to public comment. The agencies have also recognized, again in response to public comment, that some combination tractors operate in a manner essentially the same as vocational vehicles and have created a subcategory of “vocational tractors” as a result. Vocational tractors will be subject to the standards for vocational vehicles rather than the combination tractor standards. 
                        <E T="03">See</E>
                         Section II.B of this preamble.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,13.1,13.1,13.1">
                        <TTITLE>
                            Table I-3—Heavy-Duty Combination Tractor EPA Emissions Standards (G CO
                            <E T="52">2</E>
                            /Ton-Mile) and NHTSA Fuel Consumption Standards (GAL/1,000 Ton-Mile)
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Day cab</CHED>
                            <CHED H="2">Class 7</CHED>
                            <CHED H="2">Class 8</CHED>
                            <CHED H="1">Sleeper cab</CHED>
                            <CHED H="2">Class 8</CHED>
                        </BOXHD>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                <E T="02">2017 Model Year CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Grams per Ton-Mile</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Low Roof</ENT>
                            <ENT>104</ENT>
                            <ENT>80</ENT>
                            <ENT>66</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>115</ENT>
                            <ENT>86</ENT>
                            <ENT>73</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">High Roof</ENT>
                            <ENT>120</ENT>
                            <ENT>89</ENT>
                            <ENT>72</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                <E T="02">2017 Model Year Gallons of Fuel per 1,000 Ton-Mile</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Low Roof</ENT>
                            <ENT>10.2</ENT>
                            <ENT>7.8</ENT>
                            <ENT>6.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>11.3</ENT>
                            <ENT>8.4</ENT>
                            <ENT>7.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">High Roof</ENT>
                            <ENT>11.8</ENT>
                            <ENT>8.7</ENT>
                            <ENT>7.1</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        In addition, the agencies are finalizing separate performance standards for the engines manufactured for use in these trucks. EPA's engine-based CO
                        <E T="52">2</E>
                         standards and NHTSA's engine-based fuel consumption standards are implemented using EPA's existing test procedures and regulatory structure for criteria pollutant emissions from medium- and heavy-duty engines. As at proposal, the final engine standards vary depending on engine size linked to intended vehicle service class. Consistent with our proposal, the agencies are finalizing an interim alternative compression ignition engine standard for model years 2014-2016. This alternative standard is designed to provide a glide path for legacy diesel engine products that may not be able to comply with the final engine standards for model years 2014-16 given the short (approximately 2-year) lead time of this program. We believe this alternative standard is appropriate for a first-ever program when the overall baseline performance of the industry is quite varied and where the short lead time means that not every product can be brought into compliance by 2014. The alternative standard only applies through and including model year 2016.
                    </P>
                    <P>
                        Separately, EPA is adopting standards for combination tractors that apply in use. EPA is also finalizing engine-based N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards for manufacturers of the engines used in these combination tractors. EPA is finalizing separate engine-based standards for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         because the agency believes that emissions of these GHGs are technologically related solely to the engine, fuel, and emissions aftertreatment systems, and the agency is not aware of any influence of vehicle-based technologies on these emissions. NHTSA is not incorporating standards for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         because these emissions do not impact fuel consumption in a significant way. The standards that EPA is finalizing for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         are less stringent than those we proposed, reflecting new data provided to EPA in comments on the proposal showing that the current baseline level of N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions varies more than EPA had expected. EPA expects that manufacturers of current engine technologies will be able to comply with the final N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         “cap” standards with little or no technological improvements; the value of the standards will be to prevent significant increases in these emissions as alternative technologies are developed and introduced in the future. Compliance with the final EPA engine-based CO
                        <E T="52">2</E>
                         standards and the final NHTSA engine-based fuel consumption standards, as well as the final EPA N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards, will be determined using the appropriate EPA engine test procedure, as discussed in Sections II.B, II.D, and II.E below.
                    </P>
                    <P>As with the other categories of heavy-duty vehicles, EPA and NHTSA are finalizing respective standards that will apply to Class 7 and 8 tractors at the time of production (as in Table I-3, above). In addition, EPA is finalizing separate standards that will apply for a specified period of time in use. All of the standards for these vehicles, as well as details about the provisions for certification and implementation of these standards, are discussed in more detail in Sections II, III, IV, and V below and in the RIA.</P>
                    <HD SOURCE="HD3">(ii) EPA's Final Air Conditioning Leakage Standard for Class 7 and 8 Combination Tractors</HD>
                    <P>
                        In addition to the final EPA tractor- and engine-based standards for CO
                        <E T="52">2</E>
                         and engine-based standards for N
                        <E T="52">2</E>
                        O, and CH
                        <E T="52">4</E>
                         emissions, EPA is finalizing a separate standard to reduce leakage of HFC refrigerant from cabin air conditioning (A/C) systems from combination tractors, to apply to the tractor manufacturer. This standard is independent of the CO
                        <E T="52">2</E>
                         tractor standard, as discussed below in Section II.E.5. Because the current refrigerant used widely in all these systems has a very high global warming potential, EPA is concerned about leakage of refrigerant.
                        <SU>27</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>27</SU>
                             The global warming potential for HFC-134a refrigerant of 1430 used in this program is consistent with the Intergovernmental Panel on Climate Change Fourth Assessment Report.
                        </P>
                    </FTNT>
                    <P>Because the interior volume to be cooled for most tractor cabins is similar to that of light-duty vehicles, the size and design of current tractor A/C systems is also very similar. The compliance approach for Class 7 and 8 tractors is therefore similar to that in the light-duty rule in that these standards are design-based. Manufacturers will choose technologies from a menu of leak-reducing technologies sufficient to comply with the standard, as opposed to using a test to measure performance.</P>
                    <P>
                        However, the final heavy-duty A/C provisions differ in two important ways from those established in the light-duty rule. First, the light-duty provisions were established as voluntary ways to 
                        <PRTPAGE P="57118"/>
                        generate credits towards the CO
                        <E T="52">2</E>
                         g/mi standard, and EPA took into account the expected use of such credits in determining the stringency of the CO
                        <E T="52">2</E>
                         emissions standards. In the HD National Program, EPA is requiring that manufacturers actually meet a standard—as opposed to having the opportunity to earn a credit—for A/C refrigerant leakage. Thus, refrigerant leakage control is not separately accounted for in the final heavy-duty CO
                        <E T="52">2</E>
                         standards. We are taking this approach here recognizing that while the benefits of leakage control are almost identical between light-duty and heavy-duty vehicles on a per vehicle basis, these benefits on a per mile basis expressed as a percentage of overall GHG emissions are much smaller for heavy-duty vehicles due to their much higher CO
                        <E T="52">2</E>
                         emissions rates and higher annual mileage when compared to light-duty vehicles. Hence a credit-based approach as done for light-duty vehicles would provide less motivation for manufacturers to install low leakage systems even though such systems represent a highly cost effective means to control GHG emissions. The second difference relates to the expression of the leakage rate. The light-duty A/C leakage standard is expressed in terms of grams per year. For EPA's heavy-duty program, however, because of the wide variety of system designs and arrangements, a one-size-fits-all gram per year standard would not be appropriate, so EPA is adopting a standard in terms of annual mass leakage rate for A/C systems with refrigerant capacities less than or equal to 733 grams and percent of total refrigerant leakage per year for A/C systems with refrigerant capacities greater than 733 grams. The percent of total refrigerant leakage per year requires the total refrigerant capacity of the A/C system to be taken into account in determining compliance. EPA believes that this approach—a standard instead of a credit, and basing the standard on percent or mass of leakage over time—is more appropriate for heavy-duty tractors than the light-duty vehicle approach and that it will achieve the desired reductions in refrigerant leakage. Compliance with the standard will be determined through a showing by the tractor manufacturer that its A/C system incorporates a combination of low-leak technologies sufficient to meet the leakage rate of the applicable standard. The “menu” of technologies is very similar to that established in the light-duty 2012-2016 MY vehicle rule.
                        <SU>28</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>28</SU>
                             EPA has approved an alternative refrigerant, HFO-1234yf, which has a very low GWP, for use in light-duty vehicle mobile A/C systems. The final heavy-duty vehicle A/C leakage standard is designed to account for use of an alternative, low-GWP refrigerant. If in the future this refrigerant is approved for heavy-duty applications and if it becomes widespread as a substitute for HFC-134a in heavy-duty vehicle mobile A/C systems, EPA may propose to revise or eliminate the leakage standard.
                        </P>
                    </FTNT>
                    <P>
                        Finally, the agencies did not propose and are not adopting an A/C system efficiency standard in this heavy-duty rulemaking, although an efficiency credit was a part of the light-duty rule. The much larger emissions of CO
                        <E T="52">2</E>
                         from a heavy-duty tractor as compared to those from a light-duty vehicle mean that the relative amount of CO
                        <E T="52">2</E>
                         that could be reduced through A/C efficiency improvements is very small.
                    </P>
                    <P>A more detailed discussion of A/C related issues is found in Section II.E.5 of this preamble.</P>
                    <HD SOURCE="HD3">(b) Heavy-Duty Pickup Trucks and Vans (Class 2b and 3)</HD>
                    <P>Heavy-duty vehicles with GVWR between 8,501 and 10,000 lb are classified in the industry as Class 2b motor vehicles per the Federal Motor Carrier Safety Administration definition. As discussed above, Class 2b includes MDPVs that are regulated by the agencies under the light-duty vehicle rule, and the agencies are not adopting additional requirements for MDPVs in this rulemaking. Heavy-duty vehicles with GVWR between 10,001 and 14,000 lb are classified as Class 3 motor vehicles. Class 2b and Class 3 heavy-duty vehicles (referred to in these rules as “HD pickups and vans”) together emit about 15 percent of today's GHG emissions from the heavy-duty vehicle sector.  </P>
                    <P>
                        About 90 percent of HD pickups and vans are 
                        <FR>3/4</FR>
                        -ton and 1-ton pickup trucks, 12- and 15-passenger vans, and large work vans that are sold by vehicle manufacturers as complete vehicles, with no secondary manufacturer making substantial modifications prior to registration and use. These vehicle manufacturers are companies with major light-duty markets in the United States, primarily Ford, General Motors, and Chrysler. Furthermore, the technologies available to reduce fuel consumption and GHG emissions from this segment are similar to the technologies used on light-duty pickup trucks, including both engine efficiency improvements (for gasoline and diesel engines) and vehicle efficiency improvements.
                    </P>
                    <P>
                        For these reasons, EPA believes it is appropriate to adopt GHG standards for HD pickups and vans based on the whole vehicle (including the engine), expressed as grams per mile, consistent with the way these vehicles are regulated by EPA today for criteria pollutants. NHTSA believes it is appropriate to adopt corresponding gallons per 100 mile fuel consumption standards that are likewise based on the whole vehicle. This complete vehicle approach being adopted by both agencies for HD pickups and vans is consistent with the recommendations of the NAS Committee in their 2010 Report. EPA and NHTSA also believe that the structure and many of the detailed provisions of the recently finalized light-duty GHG and fuel economy program, which also involves vehicle-based standards, are appropriate for the HD pickup and van GHG and fuel consumption standards as well, and this is reflected in the standards each agency is finalizing, as detailed in Section II.C. These commonalities include a new vehicle fleet average standard for each manufacturer in each model year and the determination of these fleet average standards based on production volume-weighted targets for each model, with the targets varying based on a defined vehicle attribute. Vehicle testing will be conducted on chassis dynamometers using the drive cycles from the EPA Federal Test Procedure (Light-duty FTP or “city” test) and Highway Fuel Economy Test (HFET or “highway” test).
                        <SU>29</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>29</SU>
                             The Light-duty FTP is a vehicle driving cycle that was originally developed for certifying light-duty vehicles and subsequently applied to HD chassis testing for criteria pollutants. This contrasts with the Heavy-duty FTP, which refers to the transient engine test cycles used for certifying heavy-duty engines (with separate cycles specified for diesel and spark-ignition engines).
                        </P>
                    </FTNT>
                    <P>
                        For the light-duty GHG and fuel economy standards, the agencies factored in vehicle size by basing the emissions and fuel economy targets on vehicle footprint (the wheelbase times the average track width).
                        <SU>30</SU>
                        <FTREF/>
                         For those standards, passenger cars and light trucks with larger footprints are assigned higher GHG and lower fuel economy target levels in acknowledgement of their inherent tendency to consume more fuel and emit more GHGs per mile. For HD pickups and vans, the agencies believe that setting standards based on vehicle attributes is appropriate, but feel that a work-based metric serves as a better attribute than the footprint attribute utilized in the light-duty vehicle 
                        <PRTPAGE P="57119"/>
                        rulemaking. Work-based measures such as payload and towing capability are key among the parameters that characterize differences in the design of these vehicles, as well as differences in how the vehicles will be utilized. Buyers consider these utility-based attributes when purchasing a heavy-duty pickup or van. EPA and NHTSA are therefore finalizing standards for HD pickups and vans based on a “work factor” attribute that combines their payload and towing capabilities, with an added adjustment for 4-wheel drive vehicles. The agencies received a number of comments supporting this approach arguing, as the agencies had, that this approach was an effective way to encourage technology development and to appropriately reflect the utility of work vehicles while setting a consistent metric measure of vehicle performance.
                    </P>
                    <FTNT>
                        <P>
                            <SU>30</SU>
                             EISA requires CAFE standards for passenger cars and light trucks to be attribute-based; 
                            <E T="03">See</E>
                             49 U.S.C. 32902(b)(3)(A).
                        </P>
                    </FTNT>
                    <P>
                        As proposed, the agencies are adopting provisions such that each manufacturer's fleet average standard will be based on production volume-weighting of target standards for all vehicles that in turn are based on each vehicle's work factor. These target standards are taken from a set of curves (mathematical functions), presented in Section II.C below and in § 1037.104. EPA is also phasing in the CO
                        <E T="52">2</E>
                         standards gradually starting in the 2014 model year, at 15-20-40-60-100 percent of the model year 2018 standards stringency level in model years 2014-2015-2016-2017-2018, respectively. The phase-in takes the form of a set of target standard curves, with increasing stringency in each model year, as detailed in Section II.C. The final EPA standards for 2018 (including a separate standard to control air conditioning system leakage) represent an average per-vehicle reduction in GHGs of 17 percent for diesel vehicles and 12 percent for gasoline vehicles, compared to a common baseline, as described in Sections II.C and III.B of this preamble. The rule contains separate standards for diesel and gasoline heavy duty pickups and vans for reasons described in Section II.C below. EPA is also finalizing a compliance alternative whereby manufacturers can phase in different percentages: 15-20-67-67-67-100 percent of the model year 2019 standards stringency level in model years 2014-2015-2016-2017-2018-2019, respectively. This compliance alternative parallels and is equivalent to NHTSA's first alternative described below.
                    </P>
                    <P>NHTSA is allowing manufacturers to select one of two fuel consumption standard alternatives for model years 2016 and later. The first alternative defines individual gasoline vehicle and diesel vehicle fuel consumption target curves that will not change for model years 2016-2018, and are equivalent to EPA's 67-67-67-100 percent target curves in model years 2016-2017-2018-2019, respectively. The target curves for this alternative are presented in Section II.C. The second alternative uses target curves that are equivalent to the EPA's 40-60-100 percent target curves in model years 2016-2017-2018, respectively. Stringency for the alternatives has been selected to allow a manufacturer, through the use of the credit and deficit carry-forward provisions that the agencies are also finalizing, to rely on the same product plans to satisfy either of these two alternatives, and also EPA requirements. If a manufacturer cannot meet an applicable standard in a given model year, it may make up its shortfall by overcomplying in a subsequent year, called reconciling a credit deficit. NHTSA is also allowing manufacturers to voluntarily opt into the NHTSA HD pickup and van program in model years 2014 or 2015. For these model years, NHTSA's fuel consumption target curves are equivalent to EPA's target curves.</P>
                    <P>The agencies received a number of comments including from the Senate authors and supporters of the Ten-in-Ten Fuel Economy Act suggesting that the standards for heavy-duty pickups and vans should be made more stringent for gasoline vehicles and that the phase-in timing of the standards should be accelerated to the 2016 model year (from 2018). We also received comments arguing that the proposed standards were aggressive and could only be met given the phase-in schedules proposed by the agencies. In response to these comments, we reviewed again the technology assessments from the 2010 NAS report, our own joint light-duty 2012-2016 rulemaking, and information provided by the commenters relevant to the stringency of these standards. After reviewing all of the information, we continue to conclude that the proposed standards and associated phase-in schedules represent technically stringent but reasonable standards considering the available lead time and costs to bring the necessary technologies to market and our own assessments of the efficacy of the technologies when applied to heavy-duty pickup trucks and vans. Further detail on the feasibility of the standards and the agencies' choices among alternative standards is found in Section III.C below.</P>
                    <P>
                        The Senate authors and supporters of the Ten-in-Ten Fuel Economy Act sent a letter to the agencies encouraging the agencies to finalize a fuel economy labeling requirement for heavy-duty pickups and vans.
                        <SU>31</SU>
                        <FTREF/>
                         The agencies recognize that consumer information in the form of a fuel efficiency label can be a valuable tool to help achieve our goals, and we note that the agencies have just recently finalized a new fuel economy label for passenger cars and light trucks. 
                        <E T="03">See</E>
                         76 FR at 39478. That rulemaking effort focused solely on modifying an existing label and was a multi-year process with significant public input. As we did not propose a consumer label for heavy-duty pickups and vans in this action and have not appropriately engaged the public in developing such a label, we are not prepared to finalize a consumer-based label in this action. However, we do intend to consider this issue as we begin work on the next phase of regulations, as we recognize that a consumer label can play an important role in reducing fuel consumption and GHG emissions.
                    </P>
                    <FTNT>
                        <P>
                            <SU>31</SU>
                             
                            <E T="03">See</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>The form and stringency of the EPA and NHTSA standards curves are based on a set of vehicle, engine, and transmission technologies expected to be used to meet the recently established GHG emissions and fuel economy standards for model year 2012-2016 light-duty vehicles, with full consideration of how these technologies are likely to perform in heavy-duty vehicle testing and use. All of these technologies are already in use or have been announced for upcoming model years in some light-duty vehicle models, and some are in use in a portion of HD pickups and vans as well. The technologies include:</P>
                    <P>• Advanced 8-speed automatic transmissions.</P>
                    <P>• Aerodynamic improvements.</P>
                    <P>• Electro-hydraulic power steering.</P>
                    <P>• Engine friction reductions.</P>
                    <P>• Improved accessories.</P>
                    <P>• Low friction lubricants in powertrain components.</P>
                    <P>• Lower rolling resistance tires.</P>
                    <P>• Lightweighting.</P>
                    <P>• Gasoline direct injection.</P>
                    <P>• Diesel aftertreatment optimization.</P>
                    <P>• Air conditioning system leakage reduction (for EPA program only).</P>
                    <P>
                        See Section III.B for a detailed analysis of these and other potential technologies, including their feasibility, costs, and effectiveness when employed for reducing fuel consumption and CO
                        <E T="52">2</E>
                         emissions in HD pickups and vans.
                    </P>
                    <P>
                        A relatively small number of HD pickups and vans are sold by vehicle manufacturers as incomplete vehicles, without the primary load-carrying 
                        <PRTPAGE P="57120"/>
                        device or container attached. We are generally regulating these vehicles as Class 2b through 8 vocational vehicles but are also allowing manufacturers the option to choose to comply with heavy-duty pickup or van standards, as described in Section I.C.(2)(c). Although, as with vocational vehicles generally, we have little information on baseline aerodynamic performance and opportunities for improvement, a sizeable subset of these incomplete vehicles, often called cab-chassis vehicles, are sold by the vehicle manufacturers in configurations with many of the components that affect GHG emissions and fuel consumption identical to those on complete pickup truck or van counterparts—including engines, cabs, frames, transmissions, axles, and wheels. We are including provisions that will allow manufacturers to include these vehicles, as well as some Class 4 and 5 vehicles, to be regulated under the chassis-based HD pickup and van program (
                        <E T="03">i.e.</E>
                         subject to the standards for HD pickups and vans), rather than the vocational vehicle program. These provisions are described in Section V.B(1)(e).
                    </P>
                    <P>
                        In addition to the EPA CO
                        <E T="52">2</E>
                         emission standards and the NHTSA fuel consumption standards for HD pickups and vans, EPA is also finalizing standards for two additional GHGs, N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                        , as well as standards for air conditioning-related HFC emissions. These standards are discussed in more detail in Section II.E. Finally, EPA is finalizing standards that will apply to HD pickups and vans in use. All of the standards for these HD pickups and vans, as well as details about the provisions for certification and implementation of these standards, are discussed in Section II.C.
                    </P>
                    <HD SOURCE="HD3">(c) Class 2b-8 Vocational Vehicles</HD>
                    <P>
                        Class 2b-8 vocational vehicles consist of a wide variety of vehicle types. Some of the primary applications for vehicles in this segment include delivery, refuse, utility, dump, and cement trucks; transit, shuttle, and school buses; emergency vehicles, motor homes,
                        <SU>32</SU>
                        <FTREF/>
                         tow trucks, among others. These vehicles and their engines contribute approximately 20 percent of today's heavy-duty truck sector GHG emissions.
                    </P>
                    <FTNT>
                        <P>
                            <SU>32</SU>
                             NHTSA's final fuel consumption standards will not apply to recreational vehicles, as discussed in earlier in this preamble section.
                        </P>
                    </FTNT>
                    <P>Manufacturing of vehicles in this segment of the industry is organized in a more complex way than that of the other heavy-duty categories. Class 2b-8 vocational vehicles are often built as a chassis with an installed engine and an installed transmission. Both the engine and transmissions are typically manufactured by other manufacturers and the chassis manufacturer purchases and installs them. Many of the same companies that build Class 7 and 8 tractors are also in the Class 2b-8 chassis manufacturing market. The chassis is typically then sent to a body manufacturer, which completes the vehicle by installing the appropriate feature—such as dump bed, delivery box, or utility bucket—onto the chassis. Vehicle body manufacturers tend to be small businesses that specialize in specific types of bodies or specialized features.</P>
                    <P>EPA and NHTSA proposed that in this vocational vehicle category the proposed GHG and fuel consumption standards apply to chassis manufacturers. Chassis manufacturers play a central role in the manufacturing process. The product they produce—the chassis with engine and transmission—includes the primary technologies that affect GHG emissions and fuel consumption. They also constitute a much more limited group of manufacturers for purposes of developing and implementing a regulatory program. The agencies believe that a focus on the body manufacturers would be much less practical, since they represent a much more diverse set of manufacturers, many of whom are small businesses. Further, the part of the vehicle that they add affords very few opportunities to reduce GHG emissions and fuel consumption (given the limited role that aerodynamics plays in many types of lower speed and stop-and-go operation typically found with vocational vehicles.) Therefore, the agencies proposed that the standards in this vocational vehicle category would apply to the chassis manufacturers of all heavy-duty vehicles not otherwise covered by the HD pickup and van standards or Class 7 and 8 combination tractor standards discussed above. The agencies requested comment on the proposed focus on chassis manufacturers.</P>
                    <P>
                        Volvo and Daimler commented that the EISA does not speak to the regulation of subsystems, such as engines or incomplete vehicles, and argued that on the other hand, Section 32902(k)(2) prescribes the regulation of vehicles. Volvo further stated that precedent for the regulation of complete vehicles exists in the light-duty fuel economy rule. As noted above, NHTSA does not believe that EISA mandates a particular regulatory approach, but rather gives the agency wide latitude and explicitly leaves that determination to the agency. NHTSA also notes that its heavy-duty rule creates a new fuel efficiency program for which the light-duty program does not necessarily serve as a useful precedent for considerations of its structure. Unlike the light-duty fuel economy program, MD/HD vehicles are produced in widely diverse stages. Further, given the MD/HD market structure, where the complete vehicle manufacturers are numerous, diverse, and often small businesses, the regulation of complete vehicles would create unique difficulties for the application of appropriate and feasible technologies. These same considerations justify EPA's determination, pursuant to CAA section 202 (a), to regulate only chassis manufacturers in this first stage of GHG rules for the heavy-duty sector. NHTSA also notes that this rule does not represent the first time that the agency has regulated incomplete vehicles. Rather, incomplete vehicles have a history of regulation under the Federal Motor Vehicle Safety Standards.
                        <SU>33</SU>
                        <FTREF/>
                         For this first phase of the HD National Program, NHTSA and EPA believe that given the complexity of the manufacturing process for vocational vehicles, and given the wide range of entities that participate in that process, vehicle fuel consumption standards would be most appropriately applied to chassis manufacturers and not to body builders.
                    </P>
                    <FTNT>
                        <P>
                            <SU>33</SU>
                             
                            <E T="03">See</E>
                             49 U.S.C. 567.5 and 568.4.
                        </P>
                    </FTNT>
                    <P>
                        The agencies continue to believe that regulation of the chassis manufacturers for this vocational vehicle category will achieve the maximum feasible improvement in fuel efficiency for purposes of EISA and appropriate emissions reductions for purposes of the CAA. Therefore, consistent with our proposal the final standards in this vocational vehicle category apply to the chassis manufacturers of all heavy-duty vehicles not otherwise covered by the HD pickup and van standards or Class 7 and 8 combination tractor standards discussed above. As discussed above, EPA and NHTSA have concluded that reductions in GHG emissions and fuel consumption require addressing both the vehicle and the engine. As discussed above for Class 7 and 8 combination tractors, the agencies are each finalizing two sets of standards for Class 2b-8 vocational vehicles. For vehicle-related emissions and fuel consumption, the agencies are adopting standards for chassis manufacturers: EPA CO
                        <E T="52">2</E>
                         (g/ton-mile) standards and NHTSA fuel consumption (gal/1,000 ton-mile) standards). While the agencies believe that a freight-based metric is broadly appropriate for vocational vehicles 
                        <PRTPAGE P="57121"/>
                        because the vocational vehicle population is dominated by freight trucks and maintain that it is appropriate for the first phase of the program, the agencies may consider other metrics for future phases of a HD program. Manufacturers will use GEM, the same customized vehicle simulation model used for Class 7 and 8 tractors, to determine compliance with the vocational vehicle standards finalized in this action. The primary manufacturer-generated input into the GEM for this category of trucks will be a measure of tire rolling resistance, as discussed further below, because tire improvements are the primary means of vehicle improvement available at this time for vocational vehicles. The model also assumes the use of a typical representative, compliant engine in the simulation, resulting in an overall value for CO
                        <E T="52">2</E>
                         emissions and one for fuel consumption. This is done for the same reason as for combination tractors. As is the case for combination tractors, the manufacturers of the engines intended for vocational vehicles will be subject to separate engine-based standards.
                    </P>
                    <HD SOURCE="HD3">(i) Final Standards for Class 2b-8 Vocational Vehicles and Their Engines</HD>
                    <P>
                        Based on our analysis and research, the agencies believe that the primary opportunity for reductions in vocational vehicle GHG emissions and fuel consumption will be through improved engine technologies and improved tire rolling resistance. For engines, EPA and NHTSA are adopting separate standards for the manufacturers of engines used in Class 2b-8 vocational vehicles (the same approach as for combination tractors and engines intended for use in those tractors). EPA's final engine-based CO
                        <E T="52">2</E>
                         standards and NHTSA's final engine-based fuel consumption standards vary based on the expected weight class and usage of the truck into which the engine will be installed. Tire rolling resistance is closely related to the weight of the vehicle. Therefore, we are adopting vehicle-based standards for these trucks which vary according to one key attribute, GVWR. For this initial HD rulemaking, we are adopting standards based on the same groupings of truck weight classes used for the engine standards—light heavy-duty, medium heavy-duty, and heavy heavy-duty. These groupings are appropriate for the final vehicle-based standards because they parallel the general divisions among key engine characteristics, as discussed in Section II.
                    </P>
                    <P>The agencies are also finalizing an interim alternative compression ignition (diesel) engine standard for model years 2014-2016, again analogous to the alternative standards for compression ignition engines use in combination tractors. The need for this provision and our considerations in adopting it are the same for the engines used in vocational vehicles as for the engines used in combination tractors. As we proposed, these alternative standards will only be available through model year 2016. In addition, manufacturers that use the interim alternative diesel engine standards for model years 2014-2016 under the EPA program must use equivalent fuel consumption standards under the NHTSA program.</P>
                    <P>For the 2014 to 2016 model years, manufacturers may also choose to meet alternative engine standards that are phased-in over the model years to coincide with new EPA On-Board Diagnostic (OBD) requirements applicable for these same model years. See Sections II.B and II.D below.</P>
                    <P>
                        The agencies received a significant number of comments including from the Senate authors and supporters of the Ten-in-Ten Fuel Economy Act arguing that our proposed standards for vocational vehicles did not reflect all of the technologies identified in the 2010 NAS report. The commenters encouraged the agencies to expand the program to bring in additional reductions through the use of new transmission technologies, vehicle weight reductions and hybrid drivetrains. In general, the agencies agree with the commenters' central contention that there are additional technologies to improve the fuel efficiency of vocational vehicles. As discussed later, we are finalizing provisions to allow new technologies to be brought into the program through the innovative technology credit program. More specifically, we are including provisions to account for and credit the use of hybrid technology as a technology that can reduce emissions and fuel consumption. Hybrid technology can currently be a cost-effective technology in certain specific vocational applications, and the agencies want to recognize and promote the use of this technology. (
                        <E T="03">See</E>
                         Sections I.E and IV below.) However, we are not finalizing standards that are premised on the use of these additional technologies because we have not been able to develop the test procedures, regulatory mechanisms and baseline performance data necessary to adopt a more comprehensive approach to controlling fuel efficiency and GHG emissions from vocational vehicles. In concept, the agencies would need to know the baseline weight, aerodynamic performance, and transmission configuration for the wide range of vocational vehicles produced today. We do not have this information even for relatively small portions of this market (
                        <E T="03">e.g.</E>
                         concrete mixers) nor are we well informed regarding the potential tradeoffs to changes to vehicle utility that might exist for changes to concrete mixer designs in response to a regulation. Nor did the commenters provide any such information. Absent this information and the necessary regulatory tools, we believe the standards we are finalizing for vocational vehicles represent the most appropriate standards for this segment during the model years of the first phase of the program. We intend to address fuel consumption and GHG emissions from these vehicles in a more comprehensive manner through future regulation and look forward to working with all stakeholders on this important segment in the future.
                    </P>
                    <P>
                        The agencies are setting standards beginning in the 2014 model year and establishing more stringent standards in the 2017 model year. Table I-4 presents EPA's final CO
                        <E T="52">2</E>
                         standards and NHTSA's final fuel consumption standards for chassis manufacturers of Class 2b through Class 8 vocational vehicles for the 2017 model year. The 2017 model year standards represent a 6 to 9 percent reduction in CO
                        <E T="52">2</E>
                         emissions and fuel consumption over a 2010 model year vehicle.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,13.1,13.1,13.1">
                        <TTITLE>
                            Table I-4—Final 2017 Class 2
                            <E T="01">b</E>
                            -8 Vocational Vehicle EPA CO
                            <E T="52">2</E>
                             Standards and NHTSA Fuel Consumption Standards
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Light heavy-duty Class 2b-5</CHED>
                            <CHED H="1">Medium heavy-duty Class 6-7</CHED>
                            <CHED H="1">Heavy heavy-duty Class 8</CHED>
                        </BOXHD>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                <E T="02">EPA CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">(gram/ton-mile) Standard Effective 2017 Model Year</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Emissions
                            </ENT>
                            <ENT>373</ENT>
                            <ENT>225</ENT>
                            <ENT>222</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <PRTPAGE P="57122"/>
                            <ENT I="21">
                                <E T="02">NHTSA Fuel Consumption (gallon per 1,000 ton-mile) Standard Effective 2017 Model Year</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Fuel Consumption</ENT>
                            <ENT>36.7</ENT>
                            <ENT>22.1</ENT>
                            <ENT>21.8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                         As mentioned above for Class 7 and 8 combination tractors, EPA believes that N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions are technologically related solely to the engine, fuel, and emissions aftertreatment systems, and the agency is not aware of any influence of vehicle-based technologies on these emissions. Therefore, for Class 2b-8 vocational vehicles, EPA's final N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards cover manufacturers of the engines to be used in vocational vehicles. EPA did not propose, nor are we adopting separate vehicle-based standards for these GHGs. As for the engines used in Class 7 and 8 tractors, we are finalizing a somewhat higher N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emission standards reflecting new data submitted to the agencies during the public comment period. EPA expects that manufacturers of current engine technologies will be able to comply with the final “cap” standards with little or no technological improvements; the value of the standards is that they will prevent significant increases in these emissions as alternative technologies are developed and introduced in the future. Compliance with the final EPA engine-based CO
                        <E T="52">2</E>
                         standards and the final NHTSA fuel consumption standards, as well as the final EPA N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards, will be determined using the appropriate EPA engine test procedure, as discussed in Section II below.
                    </P>
                    <P>As with the other regulatory categories of heavy-duty vehicles, EPA and NHTSA are adopting standards that apply to Class 2b-8 vocational vehicles at the time of production, and EPA is adopting standards for a specified period of time in use. All of the standards for these trucks, as well as details about the final provisions for certification and implementation of these standards, are discussed in more detail later in this notice and in the RIA.</P>
                    <P>EPA did not propose, nor is it adopting A/C refrigerant leakage standards for Class 2b-8 vocational vehicles, primarily because of the number of entities involved in their manufacture and thus the potential for different entities besides the chassis manufacturer to be involved in the A/C system production and installation.</P>
                    <HD SOURCE="HD3">(d) What manufacturers are not covered by the final standards?</HD>
                    <P>
                        The NPRM proposed to defer temporarily greenhouse gas emissions and fuel consumption standards for any manufacturers of heavy-duty engines, manufacturers of combination tractors, and chassis manufacturers for vocational vehicles that meet the “small business” size criteria set by the Small Business Administration (SBA). 13 CFR 121.201 defines a small business by the maximum number of employees; for example, this is currently 1,000 for heavy-duty vehicle manufacturing and 750 for engine manufacturing.
                        <SU>34</SU>
                        <FTREF/>
                         The agencies stated that they would instead consider appropriate GHG and fuel consumption standards for these entities as part of a future regulatory action. This includes both U.S.-based and foreign small-volume heavy-duty manufacturers. To ensure that the agencies are aware of which companies would be exempt, the agencies proposed to require that such entities submit a declaration describing how it qualifies as a small entity under the provisions of 13 CFR 121.201 to EPA and NHTSA as prescribed in Section V below.
                    </P>
                    <FTNT>
                        <P>
                            <SU>34</SU>
                             
                            <E T="03">See</E>
                             § 1036.150 and § 1037.150
                        </P>
                    </FTNT>
                    <P>
                        EPA and NHTSA were not aware of any manufacturers of HD pickups and vans that meet these criteria. For each of the other categories and for engines, the agencies identified a small number of manufacturers that would appear to qualify as small businesses under the SBA size criterion, which were estimated to comprise a negligible percentage of the U.S. market.
                        <SU>35</SU>
                        <FTREF/>
                         Therefore, the agencies believed that deferring the standards for these companies at this time would have a negligible impact on the GHG emission reductions and fuel consumption reductions that the program would otherwise achieve. The agencies proposed to consider appropriate GHG emissions and fuel consumption standards for these entities as part of a future regulatory action.
                    </P>
                    <FTNT>
                        <P>
                            <SU>35</SU>
                             Two heavy-duty combination tractor and ten chassis manufacturers each comprising less than 0.5 percent of the total tractor and vocational market based on Polk Registration Data from 2003 through 2007, and three engine manufacturing entities based on company information included in Hoover's, comprising less than 0.1 percent of the total heavy-duty engine sales in the United States based on 2009 and 2010 EPA certification information.
                        </P>
                    </FTNT>
                    <P>The Institute for Policy Integrity (IPI) commented that the small business exemption proposed in the NPRM was based on the improper framework of whether the exemption would have a negligible impact, and did not adequately explain why the regulation of small businesses would face special compliance and administrative burdens. IPI argued that the only proper basis for this exemption would be if the agencies could explain how these burdens create costs that exceeded the benefits of regulation.</P>
                    <P>
                        NHTSA believes that developing standards that are “appropriate, cost-effective, and technologically feasible” under 49 U.S.C. 32902(k)(2) includes the authority to exclude certain manufacturers if their inclusion would work against these statutory factors. Similarly, under section 202(a) of the CAA, EPA may reasonably choose to defer regulation of industry segments based on considerations of cost, cost-effectiveness and available lead time for standards. As noted above, small businesses make up a very small percentage of the market and are estimated to have a negligible impact on the emissions and fuel consumption goals of this program. The short lead time before the CO
                        <E T="52">2</E>
                         standards take effect, the extremely small fuel savings and emissions contribution of these entities, and the potential need to develop a program that would be structured differently for them (which would require more time to determine and adopt), all led to the decision that the inclusion of small businesses would not be appropriate at this time. Therefore, the final rule exempts small businesses as proposed.
                    </P>
                    <P>
                        Volvo and EMA stated that by exempting small businesses based on the definition from SBA, the rules would create a competitive advantage for small businesses over larger entities. EMA commented that the exemption should not apply to market segments where a small business has a significant share of a particular HD market. Volvo argued that the exempted businesses could expand their product offerings or 
                        <PRTPAGE P="57123"/>
                        sell vehicles on behalf of larger entities, thereby inappropriately increasing the scope of the exclusion. The agencies anticipate that the gain a manufacturer might achieve by restructuring its practices and products to circumvent the standard (which for vocational vehicles simply means installing low rolling resistance tires) in the first few years of this program will be outweighed by the costs, particularly as small businesses anticipate their potential inclusion in the next rulemaking.
                    </P>
                    <P>Volvo also commented that the agencies should elaborate on the requirements for the exemption in greater detail. The agencies agree that this may help to clarify the process. As suggested by Volvo, the agencies will consider affiliations to other companies and evidence of spin-offs for the purpose of circumventing the standards in determining whether a business qualifies as a small entity for this exclusion. Each declaration must be submitted in writing to EPA and NHTSA as prescribed in Section V below. As the agencies gain more experience with this exemption, these clarifications may be codified in the regulatory text of a future rulemaking.</P>
                    <P>Volvo further commented that the agencies were adopting an exemption of “small businesses” in order to avoid doing a Small Business Regulatory Enforcement Fairness Act (SBREFA) and Regulatory Flexibility Act (RFA) analysis. The agencies would like to reiterate that they have decided not to include small businesses at this time due to the factors described above. The discussion on an RFA analysis is laid out in Section XII(4).</P>
                    <P>The agencies continue to believe that deferring the standards for these companies at this time will have a negligible impact on the GHG emission reductions and fuel consumption reductions that the program would otherwise achieve. Therefore, the final rules include the small business exemption as proposed. The specific deferral provisions are discussed in more detail in Section II.</P>
                    <P>The agencies will consider appropriate GHG emissions and fuel consumption standards for these entities as part of a future regulatory action.</P>
                    <HD SOURCE="HD3">
                        (e) Light-Duty Vehicle CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O Standards Flexibility
                    </HD>
                    <P>
                        After finalization of the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards for light-duty vehicles as part of the 2012-2016 MY program, some manufacturers raised concerns that they may have difficulty meeting those standards across their light-duty vehicle fleets. In response to these concerns, as part of the same 
                        <E T="04">Federal Register</E>
                         notice as the heavy-duty proposal, EPA requested comments on additional options for manufacturers to comply with light-duty vehicle N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards to provide additional near-term flexibility. Commenters providing comment on this issue supported additional flexibility for manufacturers. EPA is finalizing provisions allowing manufacturers to use CO
                        <E T="52">2</E>
                         credits, on a CO
                        <E T="52">2</E>
                        -equivalent basis, to meet the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards, which is consistent with many commenters' preferred approach. Manufacturers will have the option of using CO
                        <E T="52">2</E>
                         credits to meet N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards on a test group basis as needed for MYs 2012-2016.
                    </P>
                    <HD SOURCE="HD3">(f) Alternative Fuel Engines and Vehicles</HD>
                    <P>
                        The agencies believe that it is also appropriate to take steps to recognize the benefits of flexible-fueled vehicles (FFVs) and dedicated alternative-fueled vehicles. In the NPRM, EPA proposed to determine the emissions performance of dedicated alternative fuel engines and pickup trucks and vans by measuring tailpipe CO
                        <E T="52">2</E>
                         emissions. NHTSA proposed to determine fuel consumption performance of non-electric dedicated alternative fuel engines and pickup trucks and vans by measuring fuel consumption with the alternative fuel and then calculating a petroleum equivalent fuel consumption using a Petroleum Equivalency Factor (PEF) that is determined by the Department of Energy. NHTSA proposed to treat electric vehicles as having zero fuel consumption, comparable to the EPA proposal. Both agencies proposed to determine FFV performance in the same way as for GHG emissions for light-duty vehicles, with a 50-50 weighting of alternative and conventional fuel test results through MY 2015, and a weighting based on demonstrated fuel use in the real world after MY 2015 (defaulting to an assumption of 100 percent conventional fuel use). This approach was considered to be a reasonable and logical way to properly credit alternative fuel use in FFVs in the real world without imposing a difficult burden of proof on manufacturers. However, unlike in the light-duty rule, the agencies do not believe it is appropriate to create a provision for additional incentives similar to the 2012-2015 light-duty incentive program (
                        <E T="03">See</E>
                         49 U.S.C. 32904) because the HD sector does not have the incentives mandated in EISA for light-duty FFVs, and so has not relied on the existence of such credits in devising compliance strategies for the early model years of this program. 
                        <E T="03">See</E>
                         74 FR at 49531. In fact, manufacturers have not in the past produced FFV heavy-duty vehicles. On the other hand, the agencies sought comment on how to properly recognize the impact of the use of alternative fuels, and E85 in particular, in HD pickups and vans, including the proper accounting for alternative fuel use in FFVs in the real world.
                        <SU>36</SU>
                        <FTREF/>
                          
                        <E T="03">See</E>
                         75 FR at 74198.
                    </P>
                    <FTNT>
                        <P>
                            <SU>36</SU>
                             E85 is a blended fuel consisting of nominally 15 percent gasoline and 85 percent ethanol.
                        </P>
                    </FTNT>
                    <P>The agencies received several comments from natural gas vehicle (NGV) interests arguing for greater crediting of NGVs than the proposed approach would have provided. Clean Energy, Hayday Farms, Border Valley, AGA, Ryder, Encana, and a group of NGV interests commented that the NPRM ignored Congress' intent to incentivize the use of NGVs by not including the conversion factor that exists in the light-duty statutory language. The commenters argued that Congress' intent to incentivize NGVs is evident in the formula contained in 49 U.S.C. 32905, which deems a gallon equivalent of gaseous fuel to have a fuel content of 0.15 gallon of fuel. The commenters also argued that Congress implicitly intended NGVs to be incentivized in this rulemaking, as evidenced by the incentives in the light-duty statutory text. AGA and Hayday suggested that the agencies were not including the NGV incentive from light-duty because Congress did not explicitly include it in 49 U.S.C. 32902(k), and argued that this would contradict the agencies' inclusion of other incentives similar to the light-duty rule.</P>
                    <P>
                        The American Trucking Association expressed support for estimating natural gas fuel efficiency by using carbon emissions from natural gas rather than energy content to estimate fuel consumption. ATA explained that two vehicles can achieve the same fuel efficiency, yet one operated on natural gas would have a lower carbon dioxide emissions rate. A natural gas conversion factor that uses carbon content versus energy content is a more appropriate method for calculating fuel consumption, in the commenter's view. A number of other groups commented on the appropriate method to use in establishing fuel consumption from alternative fueled vehicles. A group of NGV interests, Ryder, Border Valley Trading, Waste Management, Robert Bosch and the Blue Green Alliance encouraged the agencies to adopt the 0.15 conversion factor in estimating fuel consumption for FFVs and alternative fuel vehicles finalized in the light-duty 
                        <PRTPAGE P="57124"/>
                        2012-2016 MY vehicle standards. The suggested incentive would effectively reduce the calculated fuel consumption for FFVs and alternative fuel vehicles by a factor of 85 percent. The commenters argued that the incentive is needed for heavy-duty vehicles to encourage the use of natural gas and to reduce the nation's dependence on petroleum.
                    </P>
                    <P>
                        The agencies reassessed the options for evaluating the CO
                        <E T="52">2</E>
                         and fuel consumption performance of alternative fuel vehicles in response to comments and because the agencies recognized that the treatment of alternate fuel vehicles was one of the few provisions in the proposal where the EPA and NHTSA programs were not aligned. The agencies conducted an analysis comparing fuel consumption calculated based on CO
                        <E T="52">2</E>
                         emissions 
                        <SU>37</SU>
                        <FTREF/>
                         to fuel consumption calculated based on gasoline or diesel energy equivalency to evaluate impacts of a consistent consumption measurement for all vehicle classes covered by this program and to further understand how alternative fuels would be impacted by this measurement methodology. In particular the agencies evaluated how measuring consumption via CO
                        <E T="52">2</E>
                         emissions would hinder or benefit the application of alternative fuels versus following similar alternative fuel incentivizing programs provided via statute for the Agency's light-duty programs. The analysis showed measuring a vehicle's CO
                        <E T="52">2</E>
                         output converted to fuel consumption provided a fuel consumption measurement benefit to those vehicles operating on fuels other than gasoline or diesel. For CNG, LNG and LPG the benefit is approximately 19 percent to 24 percent, for biodiesel and ethanol blends the benefit is approximately 1 percent to 3 percent, and for electricity and hydrogen fuels the benefit is 100 percent benefit, as fuel consumption is zero. The agencies also considered that the EPA Renewable Fuel Standard,
                        <SU>38</SU>
                        <FTREF/>
                         a separate program, requires an increase in the volume of renewable fuels used in the U.S. transportation sector. For the fuels covered by the Renewable Fuels Standard additional incentives are not needed in this regulation given the large volume increases required under the Renewable Fuel Standard.
                    </P>
                    <FTNT>
                        <P>
                            <SU>37</SU>
                             Fuel consumption calculated from measured CO
                            <E T="52">2</E>
                             using conversion factors of 8,887 g CO
                            <E T="52">2</E>
                            /gallon for gasoline (for alternative fuel engines that are derived from gasoline engines), and 10,180 g CO
                            <E T="52">2</E>
                            /gallon for diesel fuel (for alternative fuel engines that are derived from diesel engines).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>38</SU>
                             EPA is responsible for developing and implementing regulations to ensure that transportation fuel sold in the United States contains a minimum volume of renewable fuel. The RFS program was created under the Energy Policy Act (EPAct) of 2005, and expanded under the Energy Independence and Security Act (EISA) of 2007.
                        </P>
                    </FTNT>
                    <P>
                        The agencies continue to believe that alternative-fueled vehicles, including NGVs, provide fuel consumption benefits that should be, and are, accounted for in this program. However, the agencies do not agree with the commenters' claim that the NGV incentive contained in EISA, and reflected in the light-duty program, is an explicit Congressional directive that must also be applied to the heavy-duty program, nor that the light-duty incentive for NGVs should be interpreted as an implicit Congressional directive for NGVs to be comparably incentivized in the heavy-duty program. Further, the agencies believe that the fuel consumption benefits that alternative fuel vehicles would obtain through measuring CO
                        <E T="52">2</E>
                         emissions for the EPA program and converting CO
                        <E T="52">2</E>
                         emissions to fuel consumption for the NHTSA program accurately reflects their energy benefits. This accurate accounting, in conjunction with the volumetric increases required by the Renewable Fuels Standard, provides sufficient incentives for these vehicles. The agencies continue to believe that the light-duty conversion factor is not appropriate for this program. Instead, the agencies are finalizing measuring the performance of alternative fueled vehicles by measuring CO
                        <E T="52">2</E>
                         emissions for the EPA program and converting CO
                        <E T="52">2</E>
                         emissions to fuel consumption for the NHTSA program. The agencies are also finalizing measuring FFV performance with a 50-50 weighting of alternative and conventional fuel test results through MY 2015, and an agency- or manufacturer-determined weighting based on demonstrated fuel use in the real world after MY 2015 (defaulting to an assumption of 100 percent conventional fuel use).
                    </P>
                    <P>
                        The agencies believe this structure accurately reflects the fuel consumption of the vehicles while at the same time providing an incentive for the alternative fuel use. (For example, natural gas heavy duty engines perform 20 to 30 percent better than their diesel and gasoline counterparts from a CO
                        <E T="52">2</E>
                         perspective, and so meet the standards adopted in these rules without cost, and indeed will be credit generators without cost.) We believe this is a substantial enough advantage to spur the market for these vehicles. The calculation at the same time does not overestimate the benefit from these technologies, which could reduce the effectiveness of the regulation. Therefore, the final rules do not include the light-duty 0.15 conversion factor for NGVs. The agencies would like to clarify that the decision not to include an NGV incentive was based on this policy determination, not on a belief that incentives present in the light-duty rule could not be developed for the heavy-duty sector because they were not explicitly included in Section 32902(k).
                    </P>
                    <P>NHTSA recognizes that EPCA/EISA promotes incentives for alternative fueled vehicles for different purposes than does the CAA, and that there may be additional energy and national security benefits that could be achieved through increasing fleet percentages of natural gas and other alternative-fueled vehicles. More alternative-fueled vehicles on road would arguably displace petroleum-fueled vehicles, and thereby increase both U.S. energy and national security by reducing the nation's dependence on foreign oil.</P>
                    <P>
                        However, a rule that adopts identical incentive provisions reduces industry reporting burdens and NHTSA's monitoring burden. In addition, the agencies are concerned that providing greater incentives under EPCA/EISA might lead to little increased production of alternative fueled vehicles. If this were the case, then the benefits of harmonization could outweigh any potential gains from providing greater incentives. It is also consistent with Executive Order 13563.
                        <SU>39</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>39</SU>
                             EO 13563 states that an agency shall “tailor its regulations to impose the least burden on society, consistent with obtaining regulatory objectives, taking into account, among other things, and to the extent practicable, the costs of cumulative regulations,” and “promote such coordination, simplification, and harmonization” as will reduce redundancy, inconsistency, and costs of multiple regulatory requirements.
                        </P>
                    </FTNT>
                    <P>Adopting the same incentive provisions could also have benefits for the public, the regulated industries, and the agencies. This approach allows manufacturers to project clear benefits for the application of GHG-reduction and fuel efficiency technologies, thus spurring their adoption.</P>
                    <P>
                        This combined rulemaking by EPA and NHTSA is designed to regulate two separate characteristics of heavy duty vehicles: Greenhouse gas emissions (GHG) and fuel consumption. In the case of diesel or gasoline powered vehicles, there is a one-to-one relationship between these two characteristics. Each gallon of gasoline combusted by a truck engine generates approximately 8,887 grams of CO
                        <E T="52">2</E>
                        ; and each gallon of diesel fuel burned generates about 10,180 grams of CO
                        <E T="52">2</E>
                        . Because no available technologies reduce tailpipe CO
                        <E T="52">2</E>
                         emissions per gallon of fuel combusted, any rule that limits tailpipe CO
                        <E T="52">2</E>
                         emissions is 
                        <PRTPAGE P="57125"/>
                        effectively identical to a rule that limits fuel consumption. Compliance by a truck manufacturer with the NHTSA fuel economy rule assures compliance with the EPA rule, and vice versa.
                    </P>
                    <P>
                        For alternatively fueled vehicles, which use no petroleum, the situation is different. For example, a natural gas vehicle that achieves approximately the same fuel economy as a diesel powered vehicle would emit 20 percent less CO
                        <E T="52">2</E>
                        ; and a natural gas vehicle with the same fuel economy as a gasoline vehicle would emit 30 percent less CO
                        <E T="52">2</E>
                        . Yet natural gas vehicles consume no petroleum. To the extent that the goal of the NHTSA fuel economy portion of this rulemaking is to curb petroleum use, crediting natural gas vehicles with zero fuel consumption per mile could contribute to achieving that goal. Similar differences between oil consumption and greenhouse gas emissions would apply to electric vehicles, hybrid electric vehicles, and biofuel-powered vehicles.
                    </P>
                    <P>NHTSA notes that the purpose of EPCA/EISA is not merely to curb petroleum use—it is more generally to secure energy independence, which can be achieved by reducing petroleum use. The value of incentivizing natural gas, electric vehicles, biofuels, hydrogen, or other alt fuel vehicles for energy independence is limited to the extent that the alternative fuels may be imported.</P>
                    <P>
                        In the recent rulemaking for light-duty vehicles, EPA and NHTSA have followed the light duty specific statutory provision that treats one gallon of alternative fuel as equivalent to 0.15 gallons of gasoline until MY 2016, when performance on the EPA CO
                        <E T="52">2</E>
                         standards is measured based on actual emissions. 75 FR at 25433. Following that MY 2012-2015 approach in this heavy duty program would mean that, for example, a natural gas powered truck would have attributed to it 20 percent less CO
                        <E T="52">2</E>
                         emissions than a comparable diesel powered truck, but 85 percent less fuel consumption. Engine manufacturers with a relatively large share of alternative-fuel products would likely have an easier time complying with NHTSA's average fuel economy standard than with EPA's GHG standard. Similarly, engine manufacturers with a relatively small share of alternative-fuel products would have a relatively easier time complying with EPA's CO
                        <E T="52">2</E>
                         standard than with NHTSA's fuel economy standard. In that way, the rule would not differ from the light duty vehicle rules.
                    </P>
                    <P>
                        Instead, in this program, EPA and NHTSA are establishing identical rules. Fuel consumption for alternatively-powered vehicles will be calculated according to their tailpipe CO
                        <E T="52">2</E>
                         emissions. In that way, there will be a one-to-one relationship between fuel economy and tailpipe CO
                        <E T="52">2</E>
                         emissions for all vehicles. However, this might not result in a one-to-one relationship between petroleum consumption and GHG emissions for all vehicles. On the other hand, it could have the disadvantage of not doing more to encourage some cost-effective means of reducing petroleum consumption by trucks, and the accompanying energy security costs. By attributing to natural gas engines only 20 percent less fuel consumption than comparable diesel engines, because they emit 20 percent less CO
                        <E T="52">2</E>
                        , rather than attributing to them a much larger percentage reduction in fuel consumption, because they use no petroleum, this uniform approach to rulemaking provides less of an incentive for technologies that reduce consumption of petroleum-based fuels.
                    </P>
                    <P>In the future, the Agencies will consider the possibility of proposing standards in a way that more fully reflects differences in fuel consumption and greenhouse gas emissions. Under such standards, any given vehicle might “over-comply” with the fuel economy standard, but might “under-comply” with the greenhouse gas standard. Therefore, in meeting the fleet-wide requirements, a manufacturer would need to meet both standards using all available options, such as credit trading and technology mix. Allowing for two distinct standards might enable manufacturers to achieve the twin goals of reducing greenhouse gas emissions and decreasing consumption of petroleum-based fuels in a more cost-effective manner.</P>
                    <HD SOURCE="HD2">D. Summary of Costs and Benefits of the HD National Program</HD>
                    <P>This section summarizes the projected costs and benefits of the final NHTSA fuel consumption and EPA GHG emissions standards. These projections helped to inform the agencies' choices among the alternatives considered and provide further confirmation that the final standards are an appropriate choice within the spectrum of choices allowable under the agencies' respective statutory criteria. NHTSA and EPA have used common projected costs and benefits as the bases for our respective standards.</P>
                    <P>
                        The agencies have analyzed in detail the projected costs, fuel savings, and benefits of the final GHG and fuel consumption standards. Table I-5 shows estimated lifetime discounted program costs (including technological outlays), fuel savings, and benefits for all heavy-duty vehicles projected to be sold in model years 2014-2018 over these vehicles' lives. The benefits include impacts such as climate-related economic benefits from reducing emissions of CO
                        <E T="52">2</E>
                         (but not other GHGs) and reductions in energy security externalities caused by U.S. petroleum consumption and imports. The analysis also includes economic impacts stemming from additional heavy-duty vehicle use attributable to fuel savings, such as the economic damages caused by accidents, congestion and noise. Note that benefits reflect on estimated values for the social cost of carbon (SCC), as described in Section VIII.G.
                    </P>
                    <P>The costs, fuel savings, and benefits summarized here are slightly higher than at proposal, reflecting the use of 2009 (versus 2008) dollars, some minor changes to our cost estimates in response to comments, and a change to the 2011 Annual Energy Outlook (AEO) estimate of economic growth and future fuel prices. In aggregate, these changes lead to an increased estimate of the net benefits of the final action compared to the proposal.</P>
                    <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="s30,12">
                        <TTITLE>
                            Table I-5—Estimated Lifetime Discounted Costs, Fuel Savings, Benefits, and Net Benefits for 2014-2018 Model Year Heavy-Duty Vehicles
                            <E T="51">a b</E>
                        </TTITLE>
                        <TDESC>[Billions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                Lifetime Present Value
                                <SU>c</SU>
                                —3% Discount Rate
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Program Costs</ENT>
                            <ENT>$8.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>$50</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Benefits</ENT>
                            <ENT>$7.3</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits
                                <SU>d</SU>
                            </ENT>
                            <ENT>$49</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                Annualized Value
                                <SU>e</SU>
                                —3% Discount Rate
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Annualized Costs</ENT>
                            <ENT>$0.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>$2.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annualized Benefits</ENT>
                            <ENT>$0.4</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits
                                <SU>d</SU>
                            </ENT>
                            <ENT>$2.2</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                Lifetime Present Value
                                <SU>c</SU>
                                —7% Discount Rate
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Program Costs</ENT>
                            <ENT>$8.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>$34</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Benefits</ENT>
                            <ENT>$6.7</ENT>
                        </ROW>
                        <ROW RUL="s,">
                            <ENT I="01">
                                Net Benefits
                                <SU>d</SU>
                            </ENT>
                            <ENT>$33</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                Annualized Value
                                <SU>e</SU>
                                —7% Discount Rate
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Annualized Costs</ENT>
                            <ENT>$0.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>$2.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annualized Benefits</ENT>
                            <ENT>$0.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Net Benefits
                                <SU>d</SU>
                            </ENT>
                            <ENT>$2.5</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                            <PRTPAGE P="57126"/>
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>a</SU>
                            </E>
                             The agencies estimated the benefits associated with four different values of a one ton CO
                            <E T="52">2</E>
                             reduction (model average at 2.5% discount rate, 3%, and 5%; 95th percentile at 3%), which each increase over time. For the purposes of this overview presentation of estimated costs and benefits, however, we are showing the benefits associated with the marginal value deemed to be central by the interagency working group on this topic: the model average at 3% discount rate, in 2009 dollars. Section VIII.F provides a complete list of values for the 4 estimates.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>b</SU>
                            </E>
                             Note that net present value of reduced GHG emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to Section VIII.F for more detail.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>c</SU>
                            </E>
                             Present value is the total, aggregated amount that a series of monetized costs or benefits that occur over time is worth now (in year 2009 dollar terms), discounting future values to the present.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>d</SU>
                            </E>
                             Net benefits reflect the fuel savings plus benefits minus costs.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>e</SU>
                            </E>
                             The annualized value is the constant annual value through a given time period (2012 through 2050 in this analysis) whose summed present value equals the present value from which it was derived.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        Table I-6 shows the estimated lifetime reductions in CO
                        <E T="52">2</E>
                         emissions (in million metric tons (MMT)) and fuel consumption for all heavy-duty vehicles sold in the model years 2014-2018. The values in Table I-6 are projected lifetime totals for each model year and are not discounted. The two agencies' standards together comprise the HD National Program, and the agencies' respective GHG emissions and fuel consumption standards, jointly, are the source of the benefits and costs of the HD National Program.
                    </P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,10.2,10.2,10.2,10.2,10.2,10.2">
                        <TTITLE>
                            Table I-6—Estimated Lifetime Reductions in Fuel Consumption and CO
                            <E T="52">2</E>
                             Emissions for 2014-2018 Model Year HD Vehicles
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">All heavy-duty vehicles</CHED>
                            <CHED H="1">2014 MY</CHED>
                            <CHED H="1">2015 MY</CHED>
                            <CHED H="1">2016 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                            <CHED H="1">2018 MY</CHED>
                            <CHED H="1">Total</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Fuel (billion gallons)</ENT>
                            <ENT>4.0</ENT>
                            <ENT>3.6</ENT>
                            <ENT>3.6</ENT>
                            <ENT>5.1</ENT>
                            <ENT>5.8</ENT>
                            <ENT>22.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel (billion barrels)</ENT>
                            <ENT>0.10</ENT>
                            <ENT>0.09</ENT>
                            <ENT>0.08</ENT>
                            <ENT>0.12</ENT>
                            <ENT>0.14</ENT>
                            <ENT>0.53</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (MMT)
                                <E T="51">a</E>
                            </ENT>
                            <ENT>50.2</ENT>
                            <ENT>44.8</ENT>
                            <ENT>44.0</ENT>
                            <ENT>62.8</ENT>
                            <ENT>71.7</ENT>
                            <ENT>273</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>a</SU>
                            </E>
                             Includes upstream and downstream CO
                            <E T="52">2</E>
                             reductions.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        Table I-7 shows the estimated lifetime discounted benefits for all heavy-duty vehicles sold in model years 2014-2018. Although the agencies estimated the benefits associated with four different values of a one ton CO
                        <E T="52">2</E>
                         reduction ($5, $22, $36, $66), for the purposes of this overview presentation of estimated benefits the agencies are showing the benefits associated with one of these marginal values, $22 per ton of CO
                        <E T="52">2</E>
                        , in 2009 dollars and 2010 emissions. Table I-7 presents benefits based on the $22 per ton of CO
                        <E T="52">2</E>
                         value. Section VIII.F presents the four marginal values used to estimate monetized benefits of CO
                        <E T="52">2</E>
                         reductions and Section VIII presents the program benefits using each of the four marginal values, which represent only a partial accounting of total benefits due to omitted climate change impacts and other factors that are not readily monetized. The values in the table are discounted values for each model year of vehicles throughout their projected lifetimes. The analysis includes other economic impacts such as energy security, and other externalities such as impacts on accidents, congestion and noise. However, the model year lifetime analysis supporting the program omits other impacts such as benefits related to non-GHG emission reductions.
                        <SU>40</SU>
                        <FTREF/>
                         The lifetime discounted benefits are shown for one of four different SCC values considered by EPA and NHTSA. The values in Table I-7 do not include costs associated with new technology required to meet the GHG and fuel consumption standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>40</SU>
                             Non-GHG emissions and health-related impacts were estimated for the calendar year analysis. 
                            <E T="03">See</E>
                             Section VII for more information about non-GHG emission impacts and Section VIII for more information about non-GHG-related health impacts.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,12,12,12,12,12,12">
                        <TTITLE>
                            Table I-7—Estimated Lifetime Discounted Benefits for 2014-2018 Model Year HD Vehicles Assuming the Model Average, 3% Discount Rate SCC Value
                            <E T="51">a b c</E>
                        </TTITLE>
                        <TDESC>[billions of 2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1">
                                Discount rate
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="1">Model year</CHED>
                            <CHED H="2">2014</CHED>
                            <CHED H="2">2015</CHED>
                            <CHED H="2">2016</CHED>
                            <CHED H="2">2017</CHED>
                            <CHED H="2">2018</CHED>
                            <CHED H="2">Total</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>$10.7</ENT>
                            <ENT>$9.4</ENT>
                            <ENT>$9.2</ENT>
                            <ENT>$13.2</ENT>
                            <ENT>$14.9</ENT>
                            <ENT>$57</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7</ENT>
                            <ENT>8.3</ENT>
                            <ENT>6.9</ENT>
                            <ENT>6.6</ENT>
                            <ENT>9.2</ENT>
                            <ENT>10.1</ENT>
                            <ENT>41</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>a</SU>
                            </E>
                             The analysis includes impacts such as the economic value of reduced fuel consumption and accompanying climate-related economic benefits from reducing emissions of CO
                            <E T="52">2</E>
                             (but not other GHGs), and reductions in energy security externalities caused by U.S. petroleum consumption and imports. The analysis also includes economic impacts stemming from additional heavy-duty vehicle use, such as the economic damages caused by accidents, congestion and noise.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>b</SU>
                            </E>
                             Note that net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to Section VIII.F for more detail, including a list of all four SCC values, which increase over time.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>c</SU>
                            </E>
                             Benefits in this table include fuel savings.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        Table I-8 shows the agencies' estimated lifetime fuel savings, lifetime CO
                        <E T="52">2</E>
                         emission reductions, and the monetized net present values of those fuel savings and CO
                        <E T="52">2</E>
                         emission reductions. The gallons of fuel and CO
                        <E T="52">2</E>
                         emission reductions are projected lifetime values for all vehicles sold in the model years 2014-2018. The 
                        <PRTPAGE P="57127"/>
                        estimated fuel savings in billions of barrels and the GHG reductions in million metric tons of CO
                        <E T="52">2</E>
                         shown in Table I-8 are totals for the five model years throughout their projected lifetime and are not discounted. The monetized values shown in Table I-8 are the summed values of the discounted monetized-fuel consumption and monetized-CO
                        <E T="52">2</E>
                         reductions for the five model years 2014-2018 throughout their lifetimes. The monetized values in Table I-8 reflect both a 3 percent and a 7 percent discount rate as noted.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s75,r50,r50">
                        <TTITLE>Table I-8—Estimated Lifetime Reductions and Associated Discounted Monetized Benefits for 2014-2018 Model Year HD Vehicles </TTITLE>
                        <TDESC>[Monetized values in 2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Amount</CHED>
                            <CHED H="1">$ Value (billions)</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Fuel Consumption Reductions</ENT>
                            <ENT>0.53 billion barrels</ENT>
                            <ENT>$50.1, 3% discount rate $34.4, 7% discount rate.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Emission Reductions 
                                <SU>a</SU>
                                 Valued assuming $22/ton CO
                                <E T="52">2</E>
                                 in 2010
                            </ENT>
                            <ENT>
                                273 MMT CO
                                <E T="52">2</E>
                            </ENT>
                            <ENT>
                                $5.8 
                                <SU>b</SU>
                                .
                            </ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Includes both upstream and downstream CO
                            <E T="52">2</E>
                             emission reductions.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Note that net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to Section VIII.F for more detail.
                        </TNOTE>
                    </GPOTABLE>
                    <P>Table I-9 shows the estimated incremental and total technology outlays for all heavy-duty vehicles for each of the model years 2014-2018. The technology outlays shown in Table I-9 are for the industry as a whole and do not account for fuel savings associated with the program.</P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,6,6,6,6,6,6">
                        <TTITLE>Table I-9—Estimated Incremental Technology Outlays for 2014-2018 Model Year HD Vehicles </TTITLE>
                        <TDESC>[Billions of 2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">2014 MY</CHED>
                            <CHED H="1">2015 MY</CHED>
                            <CHED H="1">2016 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                            <CHED H="1">2018 MY</CHED>
                            <CHED H="1">Total</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">All Heavy-Duty Vehicles</ENT>
                            <ENT>$1.6</ENT>
                            <ENT>$1.4</ENT>
                            <ENT>$1.5</ENT>
                            <ENT>$1.6</ENT>
                            <ENT>$2.0</ENT>
                            <ENT>$8.1</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>Table I-10 shows the agencies' estimated incremental cost increase of the average new heavy-duty vehicle for each model year 2014-2018. The values shown are incremental to a baseline vehicle and are not cumulative.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,8,8,8,8,8">
                        <TTITLE>Table I-10—Estimated Incremental Increase in Average Cost for 2014-2018 Model Year HD Vehicles </TTITLE>
                        <TDESC>[2009 Dollars per unit]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">
                                2014
                                <LI>MY</LI>
                            </CHED>
                            <CHED H="1">
                                2015
                                <LI>MY</LI>
                            </CHED>
                            <CHED H="1">
                                2016
                                <LI>MY</LI>
                            </CHED>
                            <CHED H="1">
                                2017
                                <LI>MY</LI>
                            </CHED>
                            <CHED H="1">
                                2018
                                <LI>MY</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Combination Tractors</ENT>
                            <ENT>$6,019</ENT>
                            <ENT>$5,871</ENT>
                            <ENT>$5,677</ENT>
                            <ENT>$6,413</ENT>
                            <ENT>$6,215</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickups &amp; Vans</ENT>
                            <ENT>165</ENT>
                            <ENT>215</ENT>
                            <ENT>422</ENT>
                            <ENT>631</ENT>
                            <ENT>1,048</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles</ENT>
                            <ENT>329</ENT>
                            <ENT>320</ENT>
                            <ENT>397</ENT>
                            <ENT>387</ENT>
                            <ENT>378</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>Both costs and benefits presented in this section are in comparison to a reference case with no improvements in fuel consumption or greenhouse gas emissions in model years 2014 to 2018.</P>
                    <HD SOURCE="HD2">E. Program Flexibilities</HD>
                    <P>
                        For each of the heavy-duty vehicle and heavy-duty engine categories for which we are adopting respective standards, EPA and NHTSA are also finalizing provisions designed to give manufacturers a degree of flexibility in complying with the standards. These final provisions have enabled the agencies to consider overall standards that are more stringent and that will become effective sooner than we could consider with a more rigid program, one in which all of a manufacturer's similar vehicles or engines would be required to achieve the same emissions or fuel consumption levels, and at the same time.
                        <SU>41</SU>
                        <FTREF/>
                         We believe that incorporating carefully structured regulatory flexibility provisions into the overall program is an important way to achieve each agency's goals for the program.
                    </P>
                    <FTNT>
                        <P>
                            <SU>41</SU>
                             NHTSA notes that it has greater flexibility in the HD program to include consideration of credits and other flexibilities in determining appropriate and feasible levels of stringency than it does in the light-duty CAFE program. 
                            <E T="03">Cf.</E>
                             49 U.S.C. 32902(h), which applies to light-duty CAFE but not heavy-duty fuel efficiency under 49 U.S.C. 32902(k).
                        </P>
                    </FTNT>
                    <P>
                        NHTSA's and EPA's flexibility provisions are essentially identical in structure and function. Within combination tractor and vocational vehicle categories and within heavy-duty engines, we are finalizing four primary types of flexibility: Averaging, banking, and trading (ABT) provisions; early credits; advanced technology credits (including hybrid powertrains); and innovative technology credit provisions. The final ABT provisions are patterned on existing EPA and NHTSA ABT programs and will allow a vehicle manufacturer to reduce CO
                        <E T="52">2</E>
                         emission and fuel consumption levels further than the level of the standard for one or more vehicles to generate ABT credits. The manufacturer can use those credits to offset higher emission or fuel consumption levels in the same averaging set, “bank” the credits for later use, or “trade” the credits to another manufacturer. For HD pickups and vans, we are finalizing a fleet 
                        <PRTPAGE P="57128"/>
                        averaging system very similar to the light-duty GHG and CAFE fleet averaging system.
                    </P>
                    <P>At proposal, we restricted the use of the ABT provisions of the program to vehicles or engines within the same regulatory subcategory. This meant that credit exchanges could only happen between similar vehicles meeting the same standards. We proposed this approach for two reasons. First, we were concerned about a level playing field between different manufacturers who may not participate equally in the various truck and engine markets covered in the regulation. Second, we were concerned about the uncertainties inherent in credit calculations that are based on projections of lifetime emissions for different vehicles in wholly different vehicle markets. In response to comments, we have revised our ABT provisions to provide greater flexibility while continuing to provide assurance that the projected reductions in fuel consumption and GHG emissions will be achieved. We are relaxing the restriction on averaging, banking, and trading of credits between the various regulatory subcategories, by defining three HD vehicle averaging sets: Light Heavy-Duty (Classes 2b-5); Medium Heavy-Duty (Class 6-7); and Heavy Heavy-Duty (Class 8). This allows the use of credits between vehicles within the same weight class. This means that a Class 8 day cab tractor can exchange credits with a Class 8 high roof sleeper tractor but not with a smaller Class 7 tractor. Also, a Class 8 vocational vehicle can exchange credits with a Class 8 tractor. We are adopting these revisions based on comments from the regulated industry that convinced us these changes would allow the broadest trading possible while maintaining a level playing field among the various market segments. However, we are restricting trading between engines and chassis, even within the same vehicle class.</P>
                    <P>
                        The agencies believe that restricting trading to within the same eight classes as EPA's existing criteria pollutant program (
                        <E T="03">i.e.</E>
                         Heavy-Heavy Duty, Light Heavy-Duty, Medium Heavy-Duty), but not restricting trading between vehicle or engine type (such as combination tractors), and restricting between engines and chassis for the same vehicle type, is appropriate and reasonable. We do not expect emissions from engines and vehicles—when restricted by weight class—to be dissimilar. We therefore expect that the lifetime vehicle performance and emissions levels will be very similar across these defined categories, and the estimated credit calculations will fairly ensure the expected fuel consumption and GHG reductions.
                    </P>
                    <P>The agencies considered even broader averaging, banking, and trading provisions but decided that in this first phase of regulation, it would be prudent to start with the program described here, which will regulate greenhouse gas emissions and fuel consumption from this sector for the first time and provide considerable early reductions as well as opportunities to learn about technical and other issues that can inform future rulemakings. In the future we intend to consider whether additional cost savings could be realized through broader trading provisions and whether such provisions could be designed so as to address any other relevant concerns.</P>
                    <P>Reducing the cost of regulation through broader use of market tools is a high priority for the Administration. See Executive Order 13563 and in particular section 1(b)(5) and section 4. Consistent with this principle, we intend to seek public comment through a Notice of Data Availability after credit trading begins in 2013, the first year we expect manufacturers to begin certifying 2014 model year vehicles, on whether broader credit trading is more appropriate in developing the next phase of heavy-duty regulations. We believe that input will be better informed by the work the agencies and the regulated industry will have put into implementing this first phase of heavy-duty regulations.</P>
                    <P>Through this public process, emphasizing the Administration's strong preference for flexible approaches and maximizing the use of market tools, the agencies intend to fully consider whether broader credit trading is more appropriate in developing the next phase of heavy-duty regulations.</P>
                    <P>This program thus does not allow credits to be exchanged between heavy-duty vehicles and light-duty vehicles, nor can credits be traded from heavy-duty vehicle fleets to light-duty vehicle fleets and vice versa.</P>
                    <P>The engine ABT provisions are also changed from the proposal and now are the same as in EPA's existing criteria pollutant emission rules. The agencies have broadened the averaging sets to include both FTP-certified and SET-certified engines in the same averaging set. For example, a SET-certified engine intended for a Class 8 tractor can exchange credits with a FTP-certified engine intended for a Class 8 vocational vehicle.</P>
                    <P>The agencies are finalizing three year deficit carry-forward provisions for heavy-duty engines and vehicles within a limited time frame. This flexibility is expected to provide an opportunity for manufacturers to make necessary technological improvements and reduce the overall cost of the program without compromising overall environmental and fuel economy objectives. This flexibility, similar to the flexibility the agencies have offered under the light-duty vehicle program, is intended to assist the broad goal of harmonizing the two agencies' standards while preserving the flexibility of manufacturers of vehicles and engines in meeting the standards, to the extent appropriate and required by law. During the MYs 2014-2018 manufacturers are expected to go through the normal business cycle of redesigning and upgrading their heavy-duty engine and vehicle products, and in some cases introducing entirely new vehicles and engines not on the market today. As explained in the following paragraph, the carry-forward provision will allow manufacturers the time needed to incorporate technology to achieve GHG reductions and improve fuel economy during the vehicle redesign process.</P>
                    <P>
                        We received comments from Center for Biological Diversity against the need to offer the deficit carry-forward flexibility. CBD has stated that allowing manufacturers to carry-forward deficits for up to three years would incentivize delays in investment and technological innovation and allow for the generation of additional tons of GHG emissions that may be prevented today. However, the deficit carry-forward flexibility (as well as ABT generally) has enabled the agencies to consider overall standards that are more stringent and that will become effective at an earlier period than we could consider with a more rigid program. The agencies also believe this flexibility is an important aspect of the program, as it avoids the much higher costs that would occur if manufacturers needed to add or change technology at times other than their scheduled redesigns, 
                        <E T="03">i.e.</E>
                         the cost of adopting a new engine or vehicle platform mid-production or mid-design. This time period would also provide manufacturers the opportunity to plan for compliance using a multi-year time frame, again consistent with normal business practice. Over these four model years, there would be an opportunity for manufacturers to evaluate practically all of their vehicle and engine model platforms and add technology in a cost effective way to control GHG emissions and improve fuel economy.
                    </P>
                    <P>
                        As noted above, in addition to ABT, the other primary flexibility provisions in this program involve opportunities to generate early credits, advanced technology credits (including for use of 
                        <PRTPAGE P="57129"/>
                        hybrid powertrains), and innovative technology credits. For the early credits and advanced technology credits, the agencies sought comment on the appropriateness of providing a 1.5x multiplier as an incentive for their use. We received a number of comments supporting the idea of a credit multiplier, arguing it was an appropriate means to incentivize the early compliance and advanced technologies the agencies sought. We received other comments suggesting a multiplier was unnecessary. After considering the comments, the agencies have decided to finalize a 1.5x multiplier consistent with our request for comments. We believe that given the very short lead time of the program and the nascent nature of the advanced technologies identified in the proposal, that a 1.5x multiplier is an effective means to bring technology forward into the heavy-duty sector sooner than would otherwise occur. In addition, advanced technology credits could be used anywhere within the heavy duty sector (including both vehicles and engines), but early credits would be restricted to use within the same defined averaging set generating the credit.
                    </P>
                    <P>
                        For other technologies which can reduce CO
                        <E T="52">2</E>
                         and fuel consumption, but for which there do not yet exist established methods for quantifying reductions, the agencies still wish to encourage the development of such innovative technologies, and are therefore adopting special “innovative technology” credits. These innovative technology credits will apply to technologies that are shown to produce emission and fuel consumption reductions that are not adequately recognized on the current test procedures and that are not yet in widespread use in the heavy-duty sector. Manufacturers will need to quantify the reductions in fuel consumption and CO
                        <E T="52">2</E>
                         emissions that the technology is expected to achieve, above and beyond those achieved on the existing test procedures. As with ABT, the use of innovative technology credits will only be allowed for use among vehicles and engines of the same defined averaging set generating the credit, as described above. The credit multiplier will not be used for innovative technology credits.
                    </P>
                    <P>CBD argued that including any opportunities for manufacturers to earn credits in the final rule would violate NHTSA's statutory mandate to implement a program designed to achieve the maximum feasible improvement.</P>
                    <P>
                        NHTSA strongly believes that creating credit flexibilities for manufacturers for this first phase of the HD National Program is fully consistent with the agency's obligation to develop a fuel efficiency improvement program designed to achieve the maximum feasible improvement. EISA gives NHTSA broad authority to develop “compliance and enforcement protocols” that are “appropriate, cost-effective, and technologically feasible,” and the agency believes that compliance flexibilities such as the opportunity to earn and use credits to meet the standards are a reasonable and appropriate interpretation of that authority, along with the other compliance and enforcement provisions developed for this final rule. Unlike in NHTSA's light-duty program, where the agency is restricted from considering the availability of credits in determining the maximum feasible level of stringency for the fuel economy standards,
                        <SU>42</SU>
                        <FTREF/>
                         in this HD National Program, NHTSA and EPA have based the levels of stringency in part on our assumptions of the use of available flexibilities that have been built into the program to incentivize over-compliance in some respects, to balance out potential under-compliance in others.
                    </P>
                    <FTNT>
                        <P>
                            <SU>42</SU>
                             
                            <E T="03">See</E>
                             49 U.S.C. 32902(h).
                        </P>
                    </FTNT>
                    <P>
                        By assuming the use of credits for compliance, the agencies were able to set the fuel consumption/GHG standards at more stringent levels than would otherwise have been feasible. Greater improvements in fuel efficiency will occur under more stringent standards; manufacturers will simply have greater flexibility to determine where and how to make those improvements than they would have without credit options. Further, this is consistent with EOs 12866 and 13563, which encourage agencies to design regulations that promote innovation and flexibility where possible.
                        <SU>43</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>43</SU>
                             EO 12866 states that an agency must “design its regulations in the most cost-effective manner to achieve the regulatory objective * * * consider[ing] incentives for innovation * * * [and] flexibility,” among other factors; EO 13563 directs agencies to “seek to identify, as appropriate, means to achieve regulatory goals that are designed to promote innovation,” and “identify and consider regulatory approaches that * * * maintain flexibility.”
                        </P>
                    </FTNT>
                    <P>A detailed discussion of each agency's ABT, early credit, advanced technology, and innovative technology provisions for each regulatory category of heavy-duty vehicles and engines is found in Section IV below.</P>
                    <HD SOURCE="HD2">F. EPA and NHTSA Statutory Authorities</HD>
                    <HD SOURCE="HD3">(1) EPA Authority</HD>
                    <P>Title II of the CAA provides for comprehensive regulation of mobile sources, authorizing EPA to regulate emissions of air pollutants from all mobile source categories. When acting under Title II of the CAA, EPA considers such issues as technology effectiveness, its cost (both per vehicle, per manufacturer, and per consumer), the lead time necessary to implement the technology, and based on this the feasibility and practicability of potential standards; the impacts of potential standards on emissions reductions of both GHGs and non-GHGs; the impacts of standards on oil conservation and energy security; the impacts of standards on fuel savings by customers; the impacts of standards on the truck industry; other energy impacts; as well as other relevant factors such as impacts on safety.</P>
                    <P>
                        This final action implements a specific provision from Title II, section 202(a).
                        <SU>44</SU>
                        <FTREF/>
                         Section 202(a)(1) of the CAA states that “the Administrator shall by regulation prescribe (and from time to time revise) * * * standards applicable to the emission of any air pollutant from any class or classes of new motor vehicles * * *, which in his judgment cause, or contribute to, air pollution which may reasonably be anticipated to endanger public health or welfare.” With EPA's December 2009 final findings that certain greenhouse gases may reasonably be anticipated to endanger public health and welfare and that emissions of GHGs from section 202 (a) sources cause or contribute to that endangerment, section 202(a) requires EPA to issue standards applicable to emissions of those pollutants from new motor vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>44</SU>
                             
                            <E T="03">See</E>
                             42 U.S.C. 7521 (a). A number of commenters believed that the GHG program was being adopted pursuant to section 202 (a)(3)(A) and that the lead time requirements of section 202 (a)(3)(C) therefore apply. This is mistaken. Section 202 (a)(3)(A) applies to standards for emissions of hydrocarbons, carbon monoxide, oxides of nitrogen, and particulate matter from heavy-duty vehicles and engines. This does not include the GHGs regulated under the standards in today's action. This comment is addressed further in the Response to Comment document.
                        </P>
                    </FTNT>
                    <P>
                        Any standards under CAA section 202(a)(1) “shall be applicable to such vehicles * * * for their useful life.” Emission standards set by the EPA under CAA section 202(a)(1) are technology-based, as the levels chosen must be premised on a finding of technological feasibility. Thus, standards promulgated under CAA section 202(a) are to take effect only “after providing such period as the Administrator finds necessary to permit the development and application of the requisite technology, giving appropriate consideration to the cost of compliance within such period” (section 202(a)(2); 
                        <PRTPAGE P="57130"/>
                        <E T="03">see also NRDC</E>
                         v. 
                        <E T="03">EPA,</E>
                         655 F. 2d 318, 322 (DC Cir. 1981)). EPA is afforded considerable discretion under section 202(a) when assessing issues of technical feasibility and availability of lead time to implement new technology. Such determinations are “subject to the restraints of reasonableness”, which “does not open the door to `crystal ball' inquiry.” 
                        <E T="03">NRDC,</E>
                         655 F. 2d at 328, quoting 
                        <E T="03">International Harvester Co.</E>
                         v. 
                        <E T="03">Ruckelshaus,</E>
                         478 F. 2d 615, 629 (DC Cir. 1973). However, “EPA is not obliged to provide detailed solutions to every engineering problem posed in the perfection of the trap-oxidizer. In the absence of theoretical objections to the technology, the agency need only identify the major steps necessary for development of the device, and give plausible reasons for its belief that the industry will be able to solve those problems in the time remaining. The EPA is not required to rebut all speculation that unspecified factors may hinder `real world' emission control.” 
                        <E T="03">NRDC,</E>
                         655 F. 2d at 333-34. In developing such technology-based standards, EPA has the discretion to consider different standards for appropriate groupings of vehicles (“class or classes of new motor vehicles”), or a single standard for a larger grouping of motor vehicles (
                        <E T="03">NRDC,</E>
                         655 F. 2d at 338).
                    </P>
                    <P>
                        Although standards under CAA section 202(a)(1) are technology-based, they are not based exclusively on technological capability. EPA has the discretion to consider and weigh various factors along with technological feasibility, such as the cost of compliance (
                        <E T="03">See</E>
                         section 202(a) (2)), lead time necessary for compliance (section 202(a)(2)), safety (
                        <E T="03">See NRDC,</E>
                         655 F. 2d at 336 n. 31) and other impacts on consumers, and energy impacts associated with use of the technology. 
                        <E T="03">See George E. Warren Corp.</E>
                         v. 
                        <E T="03">EPA,</E>
                         159 F.3d 616, 623-624 (DC Cir. 1998) (ordinarily permissible for EPA to consider factors not specifically enumerated in the CAA). 
                        <E T="03">See also</E>
                          
                        <E T="03">Entergy Corp.</E>
                         v. 
                        <E T="03">Riverkeeper, Inc.,</E>
                         129 S.Ct. 1498, 1508-09 (2009) (congressional silence did not bar EPA from employing cost-benefit analysis under Clean Water Act absent some other clear indication that such analysis was prohibited; rather, silence indicated discretion to use or not use such an approach as the agency deems appropriate).
                    </P>
                    <P>
                        In addition, EPA has clear authority to set standards under CAA section 202(a) that are technology forcing when EPA considers that to be appropriate, but is not required to do so (as compared to standards set under provisions such as section 202(a)(3) and section 213(a)(3)).
                        <SU>45</SU>
                        <FTREF/>
                         EPA has interpreted a similar statutory provision, CAA section 231, as follows:
                    </P>
                    <FTNT>
                        <P>
                            <SU>45</SU>
                             One commenter mistakenly stated that section 202 (a) standards must be technology-forcing, but the provision plainly does not require EPA to adopt technology-forcing standards. See further discussion in Section III.A below.
                        </P>
                    </FTNT>
                    <P>
                        While the statutory language of section 231 is not identical to other provisions in title II of the CAA that direct EPA to establish technology-based standards for various types of engines, EPA interprets its authority under section 231 to be somewhat similar to those provisions that require us to identify a reasonable balance of specified emissions reduction, cost, safety, noise, and other factors. 
                        <E T="03">See, e.g.,</E>
                          
                        <E T="03">Husqvarna AB</E>
                         v. 
                        <E T="03">EPA,</E>
                         254 F.3d 195 (DC Cir. 2001) (upholding EPA's promulgation of technology-based standards for small non-road engines under section 213(a)(3) of the CAA). However, EPA is not compelled under section 231 to obtain the “greatest degree of emission reduction achievable” as per sections 213 and 202 of the CAA, and so EPA does not interpret the Act as requiring the agency to give subordinate status to factors such as cost, safety, and noise in determining what standards are reasonable for aircraft engines. Rather, EPA has greater flexibility under section 231 in determining what standard is most reasonable for aircraft engines, and is not required to achieve a “technology forcing” result (70 FR 69664 and 69676, November 17, 2005).
                    </P>
                    <P>
                        This interpretation was upheld as reasonable in 
                        <E T="03">NACAA</E>
                         v. 
                        <E T="03">EPA,</E>
                         489 F.3d 1221, 1230 (DC Cir. 2007). CAA section 202(a) does not specify the degree of weight to apply to each factor, and EPA accordingly has discretion in choosing an appropriate balance among factors. 
                        <E T="03">See Sierra Club</E>
                         v. 
                        <E T="03">EPA,</E>
                         325 F.3d 374, 378 (DC Cir. 2003) (even where a provision is technology-forcing, the provision “does not resolve how the Administrator should weigh all [the statutory] factors in the process of finding the `greatest emission reduction achievable' ”). 
                        <E T="03">See also Husqvarna AB</E>
                         v. 
                        <E T="03">EPA,</E>
                         254 F. 3d 195, 200 (DC Cir. 2001) (great discretion to balance statutory factors in considering level of technology-based standard, and statutory requirement “to [give appropriate] consideration to the cost of applying * * * technology” does not mandate a specific method of cost analysis); 
                        <E T="03">see also Hercules Inc.</E>
                         v. 
                        <E T="03">EPA,</E>
                         598 F. 2d 91, 106 (DC Cir. 1978) (“In reviewing a numerical standard the agencies must ask whether the agency's numbers are within a zone of reasonableness, not whether its numbers are precisely right”); 
                        <E T="03">Permian Basin Area Rate Cases,</E>
                         390 U.S. 747, 797 (1968) (same); 
                        <E T="03">Federal Power Commission</E>
                         v. 
                        <E T="03">Conway Corp.,</E>
                         426 U.S. 271, 278 (1976) (same); 
                        <E T="03">Exxon Mobil Gas Marketing Co.</E>
                         v. 
                        <E T="03">FERC,</E>
                         297 F. 3d 1071, 1084 (DC Cir. 2002) (same).
                    </P>
                    <HD SOURCE="HD3">(a) EPA Testing Authority</HD>
                    <P>Under section 203 of the CAA, sales of vehicles are prohibited unless the vehicle is covered by a certificate of conformity. EPA issues certificates of conformity pursuant to section 206 of the Act, based on (necessarily) pre-sale testing conducted either by EPA or by the manufacturer. The Heavy-duty Federal Test Procedure (Heavy-duty FTP) and the Supplemental Engine Test (SET) are used for this purpose. Compliance with standards is required not only at certification but throughout a vehicle's useful life, so that testing requirements may continue post-certification. Useful life standards may apply an adjustment factor to account for vehicle emission control deterioration or variability in use (section 206(a)).</P>
                    <P>
                        EPA established the Light-duty FTP for emissions measurement in the early 1970s. In 1976, in response to the Energy Policy and Conservation Act, EPA extended the use of the Light-duty FTP to fuel economy measurement (
                        <E T="03">See</E>
                         49 U.S.C. 32904(c)). EPA can determine fuel efficiency of a vehicle by measuring the amount of CO
                        <E T="52">2</E>
                         and all other carbon compounds (
                        <E T="03">e.g.,</E>
                         total hydrocarbons and carbon monoxide (CO)), and then, by mass balance, calculating the amount of fuel consumed.
                    </P>
                    <HD SOURCE="HD3">(b) EPA Enforcement Authority</HD>
                    <P>Section 207 of the CAA grants EPA broad authority to require manufacturers to remedy vehicles if EPA determines there are a substantial number of noncomplying vehicles. In addition, section 205 of the CAA authorizes EPA to assess penalties of up to $37,500 per vehicle for violations of various prohibited acts specified in the CAA. In determining the appropriate penalty, EPA must consider a variety of factors such as the gravity of the violation, the economic impact of the violation, the violator's history of compliance, and “such other matters as justice may require.”</P>
                    <HD SOURCE="HD3">(2) NHTSA Authority</HD>
                    <P>
                        In 1975, Congress enacted the Energy Policy and Conservation Act (EPCA), mandating a regulatory program for motor vehicle fuel economy to meet the various facets of the need to conserve energy. In December 2007, Congress 
                        <PRTPAGE P="57131"/>
                        enacted the Energy Independence and Securities Act (EISA), amending EPCA to require, among other things, the creation of a medium- and heavy-duty fuel efficiency program for the first time. This mandate in EISA represents a major step forward in promoting EPCA's goals of energy independence and security, and environmental and national security.
                    </P>
                    <P>
                        NHTSA has primary responsibility for fuel economy and consumption standards, and assures compliance with EISA through rulemaking, including standard-setting; technical reviews, audits and studies; investigations; and enforcement of implementing regulations including penalty actions. This final action implements Section 32902(k)(2) of EISA, which instructs NHTSA to create a fuel efficiency improvement program for “commercial medium- and heavy-duty on-highway vehicles and work trucks” 
                        <SU>46</SU>
                        <FTREF/>
                         by rulemaking, which is to include standards, test methods, measurement metrics, and enforcement protocols. 
                        <E T="03">See</E>
                         49 U.S.C. 32902(k)(2). Congress directed that the standards, test methods, measurement metrics, and compliance and enforcement protocols be “appropriate, cost-effective, and technologically feasible” for the vehicles to be regulated, while achieving the “maximum feasible improvement” in fuel efficiency.
                    </P>
                    <FTNT>
                        <P>
                            <SU>46</SU>
                             “Commercial medium- and heavy-duty on-highway vehicles” are defined at 49 U.S.C. 32901(a)(7), and “work trucks” are defined at (a)(19).
                        </P>
                    </FTNT>
                    <P>NHTSA has clear authority to design and implement a fuel efficiency program for vehicles and work trucks under EISA, and was given broad discretion to balance the statutory factors in Section 32902(k)(2) in developing fuel consumption standards to achieve the maximum feasible improvement. Since this is the first rulemaking that NHTSA has conducted under 49 U.S.C. 32902(k)(2), the agency interpreted these elements and factors in the context of setting standards, choosing metrics, and determining test methods and compliance/enforcement mechanisms. Discussion of the application of these factors can be found in Section III below. Congress also gave NHTSA the authority to set separate standards for different classes of these vehicles, but required that all standards adopted provide not less than four full model years of regulatory lead-time and three full model years of regulatory stability.</P>
                    <P>
                        In EISA, Congress required NHTSA to prescribe separate average fuel economy standards for passenger cars and light trucks in accordance with the provisions in 49 U.S.C. Section 32902(b), and to prescribe standards for work trucks and commercial medium- and heavy-duty vehicles in accordance with the provisions in 49 U.S.C. 32902(k). 
                        <E T="03">See</E>
                         49 U.S.C. Section 32902(b)(1). Congress also added in EISA a requirement that NHTSA shall issue regulations prescribing fuel economy standards for at least 1, but not more than 5, model years. 
                        <E T="03">See</E>
                         49 U.S.C. 32902(b)(3)(B). For purposes of the fuel efficiency standards that the agency proposed for HD vehicles and engines, the NPRM stated an interpretation of the statute that the 5-year maximum limit did not apply to standards promulgated in accordance with 49 U.S.C. 32902(k), given the language in Section 32902(b)(1). Based on this interpretation, NHTSA proposed that the standards ultimately finalized for HD vehicles and engines would remain in effect indefinitely at their 2018 or 2019 model year levels until amended by a future rulemaking action. In any future rulemaking action to amend the standards, NHTSA would ensure not less than four full model years of regulatory lead-time and three full model years of regulatory stability. NHTSA sought comment on its interpretation of EISA.
                    </P>
                    <P>Robert Bosch LLC (Bosch) commented that the absence of an expiration date for the standards proposed in the NPRM could violate 49 U.S.C. 32902, which it interpreted as requiring the MD/HD program to have standards that expire in five years. Section 32902(k)(3), which lays out the requirements for the MD/HD program, specifies the minimum regulatory lead and stability times, as described above, but does not specify a maximum duration period. In contrast, Section 32902(b)(3)(B) lays out the minimum and maximum durations of standards to be established in a rulemaking for the light-duty program, but prescribes no minimum lead or stability time. Bosch argued that as 49 U.S.C. Section 32902(k)(3) does not require a maximum duration period, Congress intended that NHTSA take the maximum duration period specified for the light-duty program in Section 32902(b)(3)(B), five years, and apply it to Section 32902(k)(3). Bosch also argued, however, that the minimum duration period should not be carried over from the light-duty to the heavy-duty section, as a minimum duration period for HD was specified in Section 32902(k)(3).</P>
                    <P>
                        NHTSA has revisited this issue and continues to believe that it is reasonable to assume that if Congress intended for the HD/MD regulatory program to be limited by the timeline prescribed in Subsection (b)(3)(B), it would have either mentioned HD/MD vehicles in that subsection or included the same timeline in Subsection (k).
                        <SU>47</SU>
                        <FTREF/>
                         In addition, in order for Subsection (b)(3)(B) to be interpreted to apply to Subsection (k), the agency would need to give less than full weight to the earlier phrase in the statute directing the Secretary to prescribe standards for “work trucks and commercial medium-duty or heavy-duty on-highway vehicles in accordance with Subsection (k).” 49 U.S.C. 32902(b)(1)(C). Instead, this direction would need to be read to mean “in accordance with Subsection (k) and the remainder of Subsection (b).” NHTSA believes this interpretation would be inappropriate. Interpreting “in accordance with Subsection (k)” to mean something indistinct from “in accordance with this Subsection” goes against the canon that statutes should not be interpreted in a way that “render[s] language superfluous.” 
                        <E T="03">Dobrova</E>
                         v. 
                        <E T="03">Holder,</E>
                         607 F.3d 297, 302 (2d Cir. 2010), quoting 
                        <E T="03">Mendez</E>
                         v. 
                        <E T="03">Holder,</E>
                         566 F. 3d 316, 321-22 (2d Cir. 2009). Based on this reasoning, NHTSA believes the more reasonable and appropriate approach is reflected in the proposal, and the final rules therefore follow this approach.
                    </P>
                    <FTNT>
                        <P>
                            <SU>47</SU>
                             “[W]here Congress includes particular language in one section of a statute but omits it in another section of the same Act, it is generally presumed that Congress acts intentionally and purposely in the disparate inclusion or exclusion.” 
                            <E T="03">Russello</E>
                             v. 
                            <E T="03">United States,</E>
                             464 U.S. 16, 23 (1983), quoting 
                            <E T="03">U.S.</E>
                             v. 
                            <E T="03">Wong Kim Bo,</E>
                             472 F.2d 720, 722 (5th Cir 1972)., 
                            <E T="03">See also Mayo</E>
                             v. 
                            <E T="03">Questech, Inc.,</E>
                             727 F.Supp. 1007, 1014 (E.D.Va. 1989) (conspicuous absence of provision from section where inclusion would be most logical signals Congress did not intend for it to be implied).
                        </P>
                    </FTNT>
                    <P>
                        Another commenter, CBD, expressed concern that lack of an expiration date meant that the standards would remain indefinitely, thus forgoing the possibility of increased stringency in the future. CBD argued that this violated NHTSA's statutory duty to set maximum feasible standards. NHTSA disagrees that the indefinite duration of the standards in this rule would prevent the agency from setting future standards at the maximum feasible level in future rulemakings. The absence of an expiration date for these standards should not be interpreted to mean that there will be no future rulemakings to establish new MD/HD fuel efficiency standards for MYs 2019 and beyond—the agencies have already previewed the possibility of such a rulemaking in other parts of this final rule preamble. Therefore, NHTSA believes this concern is unnecessary.
                        <PRTPAGE P="57132"/>
                    </P>
                    <HD SOURCE="HD3">(a) NHTSA Testing Authority</HD>
                    <P>49 U.S.C. Section 32902(k)(2) states that NHTSA must adopt and implement appropriate, cost-effective, and technologically feasible test methods and measurement metrics as part of the fuel efficiency improvement program. For this program, manufacturers will test and conduct modeling to determine GHG emissions and fuel consumption performance, and EPA and NHTSA will perform validation testing. The results of the validation tests will be used by EPA to create a finalized reporting that confirms the manufacturer's final model year GHG emissions and fuel consumption results, which each agency will use to enforce compliance with its standards.</P>
                    <HD SOURCE="HD3">(v) NHTSA Enforcement Authority </HD>
                    <HD SOURCE="HD3">(i) Overview</HD>
                    <P>The NPRM proposed a compliance and enforcement program that included civil penalties for violations of the fuel efficiency standards. 49 U.S.C. 32902(k)(2) states that NHTSA must adopt and implement appropriate, cost-effective, and technologically feasible compliance and enforcement protocols for the fuel efficiency improvement program. Congress gave DOT broad discretion to fashion its fuel efficiency improvement program and thus necessarily did not speak directly or specifically as to the nature of the compliance and enforcement protocols that would be best suited for effectively supporting the yet-to-be-designed-and-established program. Instead, it left the matter generally to the Secretary. Congress' approach is unlike CAFE enforcement for passenger cars and light trucks, where Congress specified the precise details of a program and provided that a manufacturer either complies with standards or pays civil penalties.</P>
                    <P>
                        The statute is silent with respect to how “protocol” should be interpreted. The term “protocol” is imprecise and thus Congress' choice of that term affords the agency substantial breadth of discretion. For example, in a case interpreting Section 301(c)(2) of the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), the DC Circuit noted that the word “protocols” has many definitions that are not much help. 
                        <E T="03">Kennecott Utah Copper Corp., Inc.</E>
                         v. 
                        <E T="03">U.S. Dept. of Interior,</E>
                         88 F.3d. 1191, 1216 (DC Cir. 1996). Section 301(c)(2) of CERCLA prescribed the creation of two types of procedures for conducting natural resources damages assessments. The regulations were to specify (a) “standard procedures for simplified assessments requiring minimal field observation” (the “Type A” rules), and (b) “alternative protocols for conducting assessments in individual cases” (the “Type B” rules).
                        <SU>48</SU>
                        <FTREF/>
                         The court upheld the challenged provisions, which were a part of a set of rules establishing a step-by-step procedure to evaluate options based on certain criteria, and to make a decision and document the results.
                    </P>
                    <FTNT>
                        <P>
                            <SU>48</SU>
                             
                            <E T="03">State of Ohio</E>
                             v. 
                            <E T="03">U.S. Dept. of Interior,</E>
                             880 F.2d 432, 439 (DC Cir. 1989).
                        </P>
                    </FTNT>
                    <P>Taking the considerations above into account, including Congress' instructions to adopt and implement compliance and enforcement protocols, and the Secretary's authority to formulate policy and make rules to fill gaps left, implicitly or explicitly, by Congress, the agency interpreted “protocol” in the context of EISA as authorizing the agency to determine both whether manufacturers have complied with the standards, and to establish suitable and reasonable enforcement mechanisms and decision criteria for non-compliance. Therefore, NHTSA interpreted its authority to develop an enforcement program to include the authority to determine and assess civil penalties for non-compliance.</P>
                    <P>Several commenters disagreed with this interpretation. Volvo and EMA commented that the penalties proposed by NHTSA exceeded the authority granted to the agency by Congress, and Volvo commented that the fact that Congress did not adopt an entirely new statute for the HD program should be interpreted to mean that provisions adopted for the light-duty program should apply to the HD program as well. Daimler argued that it was likely that EISA did not give NHTSA the authority to assess civil penalties, and Navistar and EMA argued that NHTSA could not have the authority as Congress did not expressly grant it.</P>
                    <P>
                        NHTSA continues to believe that it is reasonable to interpret “compliance and enforcement protocols” to include authority to impose civil penalties. Where a statute does not specify an approach, the discretion to do so is left to the agency. When Congress has “explicitly left a gap for an agency to fill, there is an express delegation of authority to the agency to elucidate a specific provision of the statute by regulation.” 
                        <E T="03">United States.</E>
                         v. 
                        <E T="03">Mead,</E>
                         533 U.S. 218, 227 (2001), quoting 
                        <E T="03">Chevron</E>
                         v. 
                        <E T="03">NRDC,</E>
                         467 U.S. 837, 843-44 (1984). The delegation of authority may be implicit rather than express. 
                        <E T="03">Id.</E>
                         at 229. NHTSA believes it would be unreasonable to assume that Congress intended to create a hollow regulatory program without a mechanism for effective enforcement. Further, interpreting “enforcement protocols” to mean not more than “compliance protocols” would go against the canon noted above that statutes should not be interpreted in a way that “render[s] language superfluous.” 
                        <E T="03">Dobrova</E>
                         v. 
                        <E T="03">Holder,</E>
                         607 F.3d 297, 302 (2d Cir. 2010), quoting 
                        <E T="03">Mendez</E>
                         v. 
                        <E T="03">Holder</E>
                         566 F. 3d 316, 321-22 (2d Cir. 2009). The interpretation urged by the commenters would render an entire program superfluous.
                    </P>
                    <P>Further, NHTSA believes that Congress would have anticipated that compliance and enforcement protocols would include civil penalties for the HD sector, given that penalties are an integral part of a product standards program and given the long precedent of civil penalties for the light-duty sector. The agency disagrees with the argument that the HD program would have appeared in a wholly separate statute if Congress had not intended the penalty program for light-duty to apply to it. The inclusion of the MD/HD program in Title 329 does not mean that Congress intended for the boundaries and differences between the separate sections to be ignored. Rather, this argument leads to the opposite conclusion that the fact that Congress created a new section for the HD program, instead of simply amending the existing light-duty program to include “work trucks and other vehicles” in addition to automobiles, means the agency should assume that Congress acted intentionally when it created two wholly separate programs and respect their distinctions. Therefore, consistent with the statutory interpretation proposed in the NPRM, the final rule includes penalties for non-compliance with the fuel efficiency standards.</P>
                    <HD SOURCE="HD3">(ii) Penalty Levels</HD>
                    <P>NHTSA proposed to adopt penalty levels equal to those in EPA's existing heavy-duty program, in order to provide adequate deterrence as well as consistency with the GHG regulation. The proposed maximum penalty levels were $37,500.00 per vehicle or engine.</P>
                    <P>
                        Several manufacturers commented that the penalty levels should be limited to those mandated in the light-duty program. Volvo and Daimler argued that Congress intended lower penalties for the HD program than were proposed in the NPRM, because they believed that Congress had expressly or implicitly intended for the HD program to be included in the penalty calculation of Section 32912(b). That section prescribes penalty levels for violators under Section 32902 of “$5 multiplied 
                        <PRTPAGE P="57133"/>
                        by each tenth (0.1) of a mile a gallon by which the applicable average fuel economy standard under that section exceeds the average fuel economy,” 
                        <SU>49</SU>
                        <FTREF/>
                         calculated and applied to automobiles. Volvo further argued that NHTSA was relying upon the CAA as the statutory basis for the penalty levels.
                    </P>
                    <FTNT>
                        <P>
                            <SU>49</SU>
                             This fine was increased by 49 CFR 578.6, which provides that “Except as provided in 49 U.S.C. 32912(c), a manufacturer that violates a standard prescribed for a model year under 49 U.S.C. 32902 is liable to the United States Government for a civil penalty of $5.50 multiplied by each 0.1 of a mile a gallon by which the applicable average fuel economy standard under that section exceeds the average fuel economy.”
                        </P>
                    </FTNT>
                    <P>
                        NHTSA recognizes that Section 329 contains a detailed penalty scheme, for light-duty vehicle CAFE standards. However, Section 32902(k)(2) explicitly directs NHTSA to “adopt and implement appropriate test methods, measurement metrics, fuel economy standards, and compliance and enforcement protocols,” in the creation of the new HD program. NHTSA continues to believe that this broad Congressional mandate should be interpreted based on a plain text reading, which includes the authority to determine compliance and enforcement protocols that will be effective and appropriate for this new sector of regulation. NHTSA also believes that reading Section 32912 to apply to the new HD program would contradict Congress' broad mandate for the agency to establish new measurement metrics and a compliance and enforcement program. Further, interpreting the requirement to create “enforcement protocols” for HD vehicles to mean that NHTSA should rely on the enforcement provisions for light-duty vehicles would go against the canon noted above that statutes should not be interpreted in a way that “render[s] language superfluous.” 
                        <E T="03">Dobrova</E>
                         v. 
                        <E T="03">Holder,</E>
                         607 F.3d 297, 302 (2d Cir. 2010), quoting 
                        <E T="03">Mendez</E>
                         v. 
                        <E T="03">Holder</E>
                         566 F. 3d 316, 321-22 (2d Cir. 2009).
                    </P>
                    <P>NHTSA believes that Section 32912 does not apply to the new HD program for several other reasons. First, this section uses a fuel economy metric, miles/gallon, while the HD program is built around a fuel consumption metric, per the requirement to develop a “fuel efficiency improvement program” and the agencies' conclusion, supported by NAS, that a fuel consumption metric is a much more reasonable choice than a fuel economy metric for HD vehicles given their usage as work vehicles. Second, this section specifies a calculation for automobiles, a vehicle class which is confined to the light-duty rule. In addition, the HD program prescribes fuel consumption standards, not average fuel economy standards.</P>
                    <P>
                        Finally, NHTSA believes that if Congress had intended for a pre-determined penalty scheme to apply to the new HD program, it would have been specific. Instead, Congress explicitly directed the agency to develop a new measurement, compliance, and enforcement scheme. Consistent with the statutory interpretation of the duration of the standards, NHTSA believes that if Congress intended for particular penalty levels to be used in Section 32902(k)(3), it would have either included a reference to those levels or included a reference in 32912 to the vehicles and metrics regulated by 32902(k)(3). See 
                        <E T="03">Russello</E>
                         v.
                        <E T="03"> United States,</E>
                         464 U.S. 16, 23 (1983), quoting 
                        <E T="03">United States</E>
                         v. 
                        <E T="03">Wong Kim Bo,</E>
                         472 F.2d 720, 722 (5th Cir 1972) (“[W]here Congress includes particular language in one section of a statute but omits it in another section of the same Act, it is generally presumed that Congress acts intentionally and purposely in the disparate inclusion or exclusion.”) Instead, the absence of such language could mean either that Congress did not contemplate the specific penalty levels to be used, or that Congress left the choice of specific penalty levels to the agency. See 
                        <E T="03">Alliance for Community Media</E>
                         v. 
                        <E T="03">F.C.C.</E>
                         529 F. 3d 763, 779 (6th Cir. 2008) (absence of a statutory deadline in one section but not others meant that Congress authorized but did not require it in that section).
                    </P>
                    <P>NHTSA believes that, based on EPA's experience regulating this sector for criteria pollutants, the proposed maximum penalty is at an appropriate level to create deterrence for non-compliance, while at the same time, not so high as to create undue hardship for manufacturers. Therefore, the final rule retains the maximum penalty level proposed in the NPRM.</P>
                    <HD SOURCE="HD2">G. Future HD GHG and Fuel Consumption Rulemakings</HD>
                    <P>This final action represents a first regulatory step by NHTSA and EPA to address the multi-faceted challenges of reducing fuel use and greenhouse gas emissions from these vehicles. By focusing on existing technologies and well-developed regulatory tools, the agencies are able to adopt rules that we believe will produce real and important reductions in GHG emissions and fuel consumption within only a few years. Within the context of this regulatory time frame, our program is very aggressive—with limited lead time compared to historic heavy-duty regulations—but pragmatic in the context of technologies that are available and that can be reasonably implemented during the regulatory time frame.</P>
                    <P>While we are now only finalizing this first step, it is worthwhile to consider how the next regulatory step may be designed. Technologies such as hybrid drivetrains, advanced bottoming cycle engines, and full electric vehicles are promoted in this first step through incentive concepts as discussed in Section IV, but we believe that these advanced technologies will not be necessary to meet the final standards. Today's standards are premised on the use of existing technologies given the short lead time, as discussed in Section III, below. When we begin work to develop a possible next set of regulatory standards, the agencies expect these advanced technologies to be an important part of the regulatory program and will consider them in setting the stringency of any standards beyond the 2018 model year.</P>
                    <P>We will not only consider the progress of technology in our future regulatory efforts, but the agencies are also committed to fully considering a range of regulatory approaches. To more completely capture the complex interactions of the total vehicle and the potential to reduce fuel consumption and GHG emissions through the optimization of those interactions may require a more sophisticated approach to vehicle testing than we are adopting today for the largest heavy-duty vehicles. In future regulations, the agencies expect to fully evaluate the potential to expand the use of vehicle compliance models to reflect engine and drivetrain performance. Similarly, we intend to consider the potential for complete vehicle testing using a chassis dynamometer, not only as a means for compliance, but also as a complementary tool for the development of more complex vehicle modeling approaches. In considering these more comprehensive regulatory approaches, the agencies will also reevaluate whether separate regulation of trucks and engines remains necessary.</P>
                    <P>
                        In addition to technology and test procedures, vehicle and engine drive cycles are an important part of the overall approach to evaluating and improving vehicle performance. EPA, working through the WP.29 Global Technical Regulation process, has actively participated in the development of a new World Harmonized Duty Cycle for heavy-duty engines. EPA is committed to bringing forward these new procedures as part of our overall comprehensive approach for controlling 
                        <PRTPAGE P="57134"/>
                        criteria pollutant and GHG emissions. However, we believe the important issues and technical work related to setting new criteria pollutant emissions standards appropriate for the World Harmonized Duty Cycle are significant and beyond the scope of this rulemaking. Therefore, the agencies are not adopting these test procedures in this action, but we are ready to work with interested stakeholders to adopt these procedures in a future action.
                    </P>
                    <P>As noted above, the agencies also intend to further investigate possibilities of expanded credit trading across the heavy-duty sector. As part of this effort, the agencies will investigate the degree to which the issue of credit trading is connected with complete vehicle testing procedures.</P>
                    <P>As with this program, our future efforts will be based on collaborative outreach with the stakeholder community and will be focused on a program that delivers on our energy security and environmental goals without restricting the industry's ability to produce a very diverse range of vehicles serving a wide range of needs.</P>
                    <HD SOURCE="HD1">II. Final GHG and Fuel Consumption Standards for Heavy-Duty Engines and Vehicles</HD>
                    <P>This section describes the standards and implementation dates that the agencies are finalizing for the three categories of heavy-duty vehicles and engines. The agencies have performed a technology analysis to determine the level of standards that we believe will be cost-effective, feasible, and appropriate in the lead time provided. This analysis, described in Section III and in more detail in the RIA Chapter 2, considered for each of the regulatory categories:</P>
                    <P>• The level of technology that is incorporated in current new engines and trucks,</P>
                    <P>• Forecasts of manufacturers' product redesign schedules,</P>
                    <P>
                        • The available data on corresponding CO
                        <E T="52">2</E>
                         emissions and fuel consumption for these engines and vehicles,
                    </P>
                    <P>
                        • Technologies that would reduce CO
                        <E T="52">2</E>
                         emissions and fuel consumption and that are judged to be feasible and appropriate for these vehicles and engines through the 2018 model year,
                    </P>
                    <P>• The effectiveness and cost of these technologies, and</P>
                    <P>• Projections of future U.S. sales for trucks and engines.</P>
                    <HD SOURCE="HD2">A. What vehicles will be affected?</HD>
                    <P>
                        EPA and NHTSA are finalizing standards for heavy-duty engines and also for what we refer to generally as “heavy-duty vehicles.” In general, these standards will apply for the model year 2014 and later engines and vehicles, although some standards do not apply until 2016 or 2017. The EPA standards will apply throughout the useful life of the engine or vehicle, just as existing criteria emission standards apply throughout the useful life. As noted in Section I, for purposes of this preamble and rules, the term “heavy-duty or “HD” applies to all highway vehicles and engines that are not regulated by the light-duty vehicle, light-duty truck and medium-duty passenger vehicle greenhouse gas and CAFE standards issued for MYs 2012-2016. Thus, in this notice, unless specified otherwise, the heavy-duty category incorporates all vehicles rated with GVWR greater than 8,500 pounds, and the engines that power these vehicles, except for MDPVs. The CAA defines heavy-duty vehicles as trucks, buses or other motor vehicles with GVWR exceeding 6,000 pounds. 
                        <E T="03">See</E>
                         CAA section 202(b)(3). In the context of the CAA, the term HD as used in these final rules thus refers to a subset of these vehicles and engines. EISA section 103(a)(3) defines a `commercial medium- and heavy-duty on-highway vehicle' as an on-highway vehicle with GVWR of 10,000 pounds or more.
                        <SU>50</SU>
                        <FTREF/>
                         EISA section 103(a)(6) defines a `work truck' as a vehicle that is rated at between 8,500 and 10,000 pounds gross vehicle weight and is not a medium-duty passenger vehicle.
                        <SU>51</SU>
                        <FTREF/>
                         Therefore, the term “heavy-duty vehicles” in this rulemaking refers to both work trucks and commercial medium- and heavy-duty on-highway vehicles as defined by EISA. Heavy-duty engines affected by the standards are those that are installed in commercial medium- and heavy-duty vehicles, except for the engines installed in vehicles certified to a complete vehicle emissions standard based on a chassis test, which would be addressed as a part of those complete vehicles, and except for engines used exclusively for stationary power when the vehicle is parked. The agencies' scope is the same with the exception of recreational vehicles (or motor homes), as discussed above. The standards that EPA is finalizing today cover recreational on-highway vehicles, while NHTSA limited its scope in the proposal to not include these vehicles. 
                        <E T="03">See</E>
                         Section I.A above.
                    </P>
                    <FTNT>
                        <P>
                            <SU>50</SU>
                             Codified at 49 U.S.C. 32901(a)(7).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>51</SU>
                             EISA Section 103(a)(6) is codified at 49 U.S.C. 32901(a)(19). EPA defines medium-duty passenger vehicles as any complete vehicle between 8,500 and 10,000 pounds GVWR designed primarily for the transportation of persons which meet the criteria outlined in 40 CFR 86.1803-01. The definition specifically excludes any vehicle that (1) has a capacity of more than 12 persons total or, (2) is designed to accommodate more than 9 persons in seating rearward of the driver's seat or, (3) has a cargo box (
                            <E T="03">e.g.,</E>
                             pickup box or bed) of six feet or more in interior length. (
                            <E T="03">See</E>
                             the Tier 2 final rulemaking, 65 FR 6698, February 10, 2000.)
                        </P>
                    </FTNT>
                    <P>The NPRM did not include an export exclusion in NHTSA's fuel consumption standards. Oshkosh Corporation commented that NHTSA should add an export exclusion in order to accommodate the testing and delivery needs of manufacturers of vehicles intended for export. NHTSA agrees with this comment and Section 535.3 of the final rule specifies such an exclusion.</P>
                    <P>EPA and NHTSA are finalizing standards for each of the following categories, which together comprise all heavy-duty vehicles and all engines used in such vehicles. In order to most appropriately regulate the broad range of heavy-duty vehicles and engines, the agencies are setting separate engine and vehicle standards for the combination tractors and Class 2b through 8 vocational vehicles. The engine standards and test procedures for engines installed in the tractors and vocational vehicles are discussed within the preamble sections for combination tractors and vocational vehicles, respectively. The agencies are establishing standards for heavy-duty pickups and vans that apply to the entire vehicle;—there are no separate engine standards.</P>
                    <P>As discussed in Section IX, the agencies are not adopting GHG emission and fuel consumption standards for trailers at this time. In addition, the agencies are not adopting standards at this time for engine, chassis, and vehicle manufacturers which are small businesses (as defined by the Small Business Administration). More detailed discussion of each regulatory category is included in the subsequent sections below.</P>
                    <HD SOURCE="HD2">B. Class 7 and 8 Combination Tractors</HD>
                    <P>
                        EPA is finalizing CO
                        <E T="52">2</E>
                         standards and NHTSA is finalizing fuel consumption standards for new Class 7 and 8 combination tractors. The standards are for the tractor cab, with a separate standard for the engine that is installed in the tractor. Together these standards would achieve reductions of up to 23 percent compared to the model 2010 baseline level. As discussed below, EPA is finalizing its proposal to adopt the existing useful life definitions for Class 7 and 8 tractors and the heavy-duty engines installed in them. NHTSA and EPA are finalizing revised fuel consumption and GHG emissions standards for tractors, and finalizing as proposed engine standards for heavy-duty engines in Class 7 and 8 tractors. The agencies' analyses, as discussed 
                        <PRTPAGE P="57135"/>
                        briefly below and in more detail later in this preamble and in the RIA Chapter 2, show that these standards are feasible and appropriate under each agency's respective statutory authorities.
                    </P>
                    <P>
                        EPA is also finalizing standards to control N
                        <E T="52">2</E>
                        O, CH
                        <E T="52">4</E>
                        , and HFC emissions from Class 7 and 8 combination tractors. The final heavy-duty engine standards for both N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         and details of the standard are included in the discussion in Section II.E.1.b and II.E.2.b, respectively. The final air conditioning leakage standards applying to tractor manufacturers to address HFC emissions are discussed in Section II.E.5.
                    </P>
                    <P>
                        The agencies are finalizing CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards for the combination tractors that reflect reductions that can be achieved through improvements in the tractor (such as aerodynamics), tires, and other vehicle systems. The agencies are also finalizing heavy-duty engine standards for CO
                        <E T="52">2</E>
                         emissions and fuel consumption that reflect technological improvements in combustion and overall engine efficiency.
                    </P>
                    <P>
                        The agencies have analyzed the feasibility of achieving the CO
                        <E T="52">2</E>
                         and fuel consumption standards, and have identified means of achieving the standards that are technically feasible in the lead time afforded, economically practicable and cost-effective. EPA and NHTSA present the estimated costs and benefits of the standards in Section III. In developing the final rules, the agencies have evaluated the kinds of technologies that could be utilized by engine and tractor manufacturers, as well as the associated costs for the industry and fuel savings for the consumer and the magnitude of the national CO
                        <E T="52">2</E>
                         and fuel savings that may be achieved.
                    </P>
                    <P>The agencies received comments from multiple stakeholders regarding the definition and classification of “combination tractors.” The commenters raised three key issues. First, EMA/TMA, Navistar and DTNA requested that both agencies use the same definition for “tractor” or “truck tractor” in the final rules. EPA proposed a definition for “tractor” in § 1037.801 (see the proposed rule published November 30, 2010, 75 FR 74402) which stated that “tractor” means a vehicle capable of pulling trailers that is not intended to carry significant cargo other than cargo in the trailer, or any other vehicle intended for the primary purpose of pulling a trailer. For purposes of this definition, the term ”cargo” includes permanently attached equipment such as fire-fighting equipment. The following vehicles are tractors: any vehicle sold to an ultimate purchaser with a fifth wheel coupling installed; any vehicle sold to an ultimate purchaser with the rear portion of the frame exposed where the length of the exposed portion is 5.0 meters or less. See § 1037.620 for special provisions related to vehicles sold to secondary vehicle manufacturers in this condition. The following vehicles are not tractors: Any vehicle sold to an ultimate purchaser with an installed cargo carrying feature (for example, this would include dump trucks and cement trucks); any vehicle lacking a fifth wheel coupling sold to an ultimate purchaser with the rear portion of the frame exposed where the length of the exposed portion is more than 5.0 meters.</P>
                    <P>NHTSA proposed to use the 49 CFR 571.3 definition of “truck tractor” in 49 CFR 535.4 (see the proposed rule published November 30, 2010, 75 FR 74440) which stated that “truck tractor” means a truck designed primarily for drawing other motor vehicles and not so constructed as to carry a load other than a part of the weight of the vehicle and the load so drawn.</P>
                    <P>Second, EMA/TMA, NTEA and Navistar expressed concerns over, and requested the removal of, the proposed language that all vehicles with sleeper cabs would be classified as tractors. The commenters argued that because there are vocational vehicles manufactured with sleeper cabs that operate as vocational vehicles and not as tractors, those vehicles should be treated the same as all other vocational vehicles. Third, eleven different commenters requested that the agencies subdivide tractors into line-haul tractors and vocational tractors and treat each based upon their operational characteristics: vocational tractors, which operate at lower speeds offroad or in stop-and-go city driving as vocational vehicles; and line-haul tractors, which operate at highway speeds on interstate roadways over long distances, as line-haul tractors.</P>
                    <P>In response to the first comment, the agencies have decided to standardize the definition of tractor by using the long-standing NHTSA definition of “truck tractor” established in 49 CFR 571.3. 49 CFR 571.3(b) states that a “truck tractor means a truck designed primarily for drawing other motor vehicles and not so constructed as to carry a load other than a part of the weight of the vehicle and the load so drawn.” EPA's proposed definition for “tractor” in the NPRM was similar to the NHTSA definition, but included some additional language to require a fifth wheel coupling and an exposed frame in the rear of the vehicle where the length of the exposed portion is 5.0 meters or less. EMA and Navistar argued that these two different definitions could lead to confusion if the agencies applied their requirements for truck tractors differently from each other. The commenters suggested that the EPA definition was more complicated than necessary, and that the simpler NHTSA definition should be used by both agencies as the base definition of truck tractor.</P>
                    <P>
                        The agencies agree that the definitions should be standardized and that the NHTSA definition is sufficient and includes the essential requirement that a truck tractor is a truck designed “primarily for drawing other motor vehicles and not so constructed as to carry a load other than a part of the weight of the vehicle and the load so drawn.” EPA's proposed tractor definition was intended to be functionally equivalent to NHTSA's definition based on design, but to be more objective by including the criteria related to “fifth wheels” and exposed rear frame. However, EPA no longer believes that such additional criteria are needed for implementation. NHTSA established the definition for truck tractor in 49 CFR 571.3(b) years ago,
                        <SU>52</SU>
                        <FTREF/>
                         and has not encountered any notable problems with its application. Nevertheless, because the NHTSA definition relies more on design intent than EPA's proposed definition, we recognize that there may be some questions regarding how the agencies would apply the NHTSA definition being finalized to certain unique vehicles. For example, many of the common automobile and boat transport trucks may look similar to tractors, but the agencies would not consider them to meet the definition, because they have the capability to carry one or several vehicles as cargo with or without a trailer attached, and therefore are not “constructed as to carry a load other than a part of the weight of the vehicle and the load so drawn.” Similarly, a “dromedary” style truck that has the capability to carry a large load of cargo with or without drawing a trailer would also not qualify as a tractor.
                        <SU>53</SU>
                        <FTREF/>
                         Even though these particular vehicles identified could potentially draw other motor vehicles like a trailer, they have also been designed to carry cargo with or without the trailer attached. NHTSA has previously interpreted its definition for “truck tractor” as excluding these specific vehicles like the dromedary and 
                        <PRTPAGE P="57136"/>
                        automobile/boat transport vehicles. Tow trucks have also been excluded from the category of truck tractor. On the other hand, it is worth clarifying that designs that allow cargo to be carried in the passenger compartment, the sleeper compartment, or external toolboxes would not exclude a vehicle from the tractor category. The agencies plan to continue with this approach for the HD fuel efficiency and GHG standards, which means that these particular vehicles will be subject to the vocational vehicle standards and not the tractor standards, but vehicles that did meet the definition above for “tractor” will be subject to the combination tractor standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>52</SU>
                             33 FR 19703, December 25, 1968.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>53</SU>
                             A dromedary is a box, deck or plate mounted behind the cab to carry freight or cargo.
                        </P>
                    </FTNT>
                    <P>In response to the second comment, the agencies have decided not to classify vocational vehicles with sleeper cabs as tractors. In the NPRM, the agencies proposed that vocational vehicles with sleeper cabs be classified as tractors out of concern that a vehicle could initially be manufactured as a straight truck vocational vehicle with a sleeper cab and, soon after introduction into commerce, be converted to a combination tractor as a means to circumvent the Class 8 sleeper cab regulations. Commenters who addressed this issue generally disagreed with the agencies' concern. EMA/TMA, for example, argued that it is expensive and difficult for a manufacturer to change a vehicle from a straight truck to a tractor, because of modifications required to the vehicle, such as to the vehicle's air brake system, and also because of the manufacturers ultimate responsibility for recertification to NHTSA's safety standards. EMA/TMA also argued that straight trucks are often built with sleeper cabs to perform the functions of a vocational type vehicle and not the functions of a line-haul tractor. NTEA also provided an example of a straight truck (Expediter Cab) that can be built with a sleeper cab and a cargo-carrying body, which it argued should be classified as a vocational vehicle and not a tractor.</P>
                    <P>Upon further consideration, the agencies agree that vocational vehicles with sleeper cabs are more appropriately classified as vocational vehicles than as tractors. The comments discussed above help to illustrate the reasons for building a vocational vehicle with a sleeper cab and the difficulties of converting a straight truck to a tractor. Moreover, 49 U.S.C. Chapter 301 requires any service organization making such modifications to be responsible for recertification to all applicable Federal motor vehicle safety standards, which should act as a further deterrent to anyone contemplating making such a conversion. Together these two items address the agencies' primary reason for proposing the requirement that all vehicles with sleeper cabs be treated as tractors—the concern of circumvention of the tractor standards. However, the agencies will continue to monitor whether it appears that the definitions are creating unintended consequences, and may consider revising the definitions in a future rulemaking to address such issues should any arise. NHTSA and EPA have concluded that the engine and tire improvements required in the vocational category are appropriate for this set of vehicles based on the typical operation of these vehicles. The agencies did not intend to include vocational vehicles with sleeper cabs, such as an Expediter vehicle, into the tractor category in either the NPRM or in this final action, and the agencies' analyses at proposal reflected this intention. Therefore the agencies did not make any adjustments to the program costs and benefits due to this classification change.</P>
                    <P>In response to the third comment, the agencies have decided to allow manufacturers to exclude certain vocational-type of tractors from the combination tractor standards and instead be subject to the vocational vehicle standards. We discuss below the reasoning underlying this decision, the criteria manufacturers would use in asserting a claim that a vocational tractor should be reclassified as a vocational vehicle, and the procedures the agencies will use to accept or reject manufacturers' claims.</P>
                    <P>Multiple commenters (Allison Transmission, ATA, CALSTART, Eaton, EMA/TMA, National Solid Waste Management Association, MEMA, Navistar, NADA, RMA, and Volvo) argued that the agencies' proposed classification failed to recognize genuine differences between vocational tractors, which typically operate at lower speeds in stop-and-go city driving, and line-haul tractors, which typically operate at highway speeds on interstate roadways over long distances. Commenters argued that the proposed tractor standards and associated tractor GEM test cycles were derived based primarily upon the operational characteristics of the line-haul tractors, and that technologies that apply to these line-haul tractors, such as improved aerodynamics, vehicle speed limiters and automatic engine shutdown, as well as engine performance for improving emissions and fuel consumption, do not have the same positive impact on fuel consumption when used on tractors. In today's market, as mentioned by Volvo and ATA, we understand that approximately 15 percent, or approximately 15,000 to 20,000, of the Class 7 and 8 tractors could be classified as vocational tractors based upon the work they perform.</P>
                    <P>
                        The agencies agree that the overall operation of these vocational-types of tractors resembles other vocational vehicles' operation: lower average speed and more stop and go activity than line-haul tractors. Due to their operation style, a FTP certified engine is a better match for these tractors than a SET certified engine, because the FTP cycle uses a lower average speed and more stop and go activity than the SET cycle. In addition, the limited high speed operation leads to minimal opportunities for fuel consumption and CO
                        <E T="52">2</E>
                         emissions reductions due to aerodynamic improvements. Conversely, the additional weight of the aerodynamic components could cause an unintended consequence of increasing gram per ton-mile emissions by reducing the amount of payload the vehicle can carry in those applications which are weight-limited. Similarly, the vocational tractors typically do not hotel overnight and therefore will have little to no benefit through the installation of an idle reduction technology.
                    </P>
                    <P>The agencies received several other comments that described criteria that could be used to distinguish between vocational and non-vocational tractors. Volvo suggested that a tractor could be a vocational tractor if it meets three of five specified features:</P>
                    <P>(1) A frame Resisting Bending Moment (RBM) greater than or equal to 2,000,000 in-lbs per rail, or rail and liner combination;</P>
                    <P>
                        (2) An approach angle greater than or equal to 20 degrees nominal design specification, to exclude extended front rails/bumpers for additional equipment (
                        <E T="03">e.g.</E>
                        —pumps, winch, front engine PTO);
                    </P>
                    <P>(3) Ground clearance greater than or equal to 14 inches as measured unladen from the lowest point of any frame rail or body mounted components, excluding axles and suspension (for HHD and MHD vehicles this is usually considered as the lowest point of the fuel tank/mounting or chassis aerodynamic devices);</P>
                    <P>(4) A total reduction in high gear greater than or equal to 3.00:1; and</P>
                    <P>(5) A total reduction in low gear greater than or equal to 57:1.</P>
                    <P>
                        The approach proposed by Volvo is somewhat similar to the approach NHTSA has for determining if a vehicle is a light truck under the light vehicle CAFE program, in which a vehicle must either have a GVWR greater than 6,000 pounds or have 4-wheel drive, and meet 
                        <PRTPAGE P="57137"/>
                        four of the five specified suspension characteristics (approach angle, break-over angle, axle clearance, 
                        <E T="03">etc.</E>
                        ) to be classified as a light truck. Although we do not believe that the criteria suggested by Volvo are workable for all manufacturers and all applications, we agree that these criteria would reflect a reasonable basis for allowing manufacturers to reclassify their vehicles as vocational tractors.
                    </P>
                    <P>Two other commenters, EMA/TMA and Navistar, suggested simply that the manufacturer should have the burden of establishing that a tractor is a vocational tractor to the agencies' reasonable satisfaction. The commenters also suggested some factors that could be used to establish that a tractor is actually a “vocational tractor”, including:</P>
                    <P>(1) A vehicle speed limiter set at 55 mph or less;</P>
                    <P>(2) Power take-off (PTO) controls;</P>
                    <P>(3) Extended front frame;</P>
                    <P>(4) Ground clearance greater than 14 in.;</P>
                    <P>(5) An approach angle greater than 20 degrees;</P>
                    <P>(6) Frame RBM greater than 2,000,000 in-lbs.; and</P>
                    <P>(7) A total gear reduction in low gear greater than 57 and a total gear reduction in top gear greater than 3.</P>
                    <P>The agencies believe that both suggested approaches have some merit. A rule based on specific criteria as suggested by Volvo could help to minimize the burden on both the manufacturers and the agencies, as manufacturer-written requests for approval and agency approvals of those requests would not be required for each vocational tractor determination whereas the EMA/TMA and Navistar approach requires the opposite namely that each manufacturer would have to justify the determination of each vocational tractor based upon its related design features in a separate petition to the agencies. Neither of the two approaches, which are based on specific criteria, could be used to identify all the tractors that should be classified as vocational tractors. An urban beverage delivery tractor, for example, may not be designed with any of the features mentioned but is used in a vocational vehicle manner. Also, the agencies were concerned about the possibility of manufacturers circumventing the system by incorporating design changes to their line-haul tractors in order to classify them as vocational tractors required to meet less stringent emission and fuel consumption standards. However, at this time the agencies do not believe that circumventing the system is likely, as most of these vocational tractors are built to order and will incorporate the design features required by the customer. Manufacturer vehicle offerings are designed or tailored to suit the particular task of the consumer. The vehicle transport mission including vehicle type, gross vehicle weight, gross combination weight, body style and load handling characteristics, must be considered in the design process. Further, how the vehicle will be utilized, including operating cycles, operating environment and road conditions, is another important consideration in designing a vehicle to accomplish a particular task. The agencies agree that these criteria could also be used as part of a basis for classification. We also note that many of these vehicles have front axle weight ratings greater than 14,600 pounds.</P>
                    <P>Although the agencies agree that these vocational tractors are operated differently than line-haul tractors and therefore fit more appropriately into the vocational vehicle category, we need to ensure that only tractors that are truly vocational tractors are classified as such. Upon further consideration of the comments received the agencies have decided to allow manufacturers to exclude certain vocational-type tractors from the combination tractor standards, and instead be subject to the standards for vocational vehicles. A vehicle determined by the manufacturer to be a HHD vocational tractor would fall into the HHD vocational vehicle subcategory and be regulated as a vocational vehicle. Similarly, MHD which the manufacturer chooses to reclassify as vocational tractors will be regulated as a MHD vocational vehicle. Specifically, under the provision being finalized at 40 CFR 1037.630 and NHTSA's regulation at 49 CFR 523.2 of today's rules only the following three types of vocational tractors are eligible for reclassification by the manufacturer:</P>
                    <P>(1) Low-roof tractors intended for intra-city pickup and delivery, such as those that deliver bottled beverages to retail stores.</P>
                    <P>(2) Tractors intended for off-road operation (including mixed service operation), such as those with reinforced frames and increased ground clearance.</P>
                    <P>(3) Tractors with a GCWR over 120,000 pounds.</P>
                    <P>As adopted in 40 CFR 1037.230(a)(1)(xiii), manufacturers will be required to group vocational tractors into a unique family, separate from other combination tractors and vocational vehicles. The provision being adopted in 40 CFR 1037.630 and 49 CFR 535.8 requires the manufacturers to summarize in their applications their basis for believing that the vehicles are eligible for manufacturer reclassification as vocational tractors. EPA and NHTSA could ask for a more detailed description of the basis and EPA would deny an application for certification where it determines the manufacturer lacks an adequate basis for reclassification. The manufacturer would then have to resubmit a modified application to certify the vehicles in question to the tractor standards. Where we determine that a manufacturer is not applying this allowance in good faith, we may require that manufacturer to obtain preliminary approval before using this allowance. This would mean that a manufacturer would need to submit its detailed records to EPA and receive formal approval before submitting its application for certification. The agencies plan to monitor how manufacturers classify their tractor fleets and would reconsider the issue of vocational tractor classification in a future rulemaking if necessary.</P>
                    <P>Because the difference between some vocational tractors and line-haul tractors is potentially somewhat subjective, we are also including an annual sales limit of 7,000 vocational tractors per manufacturer (based on a three year rolling average) consistent with past production volumes of such vehicles. It is important to note, however, that we do not expect it to be common for manufacturers to be able to justify classifying 7,000 vehicles as vocational tractors in a given model year.</P>
                    <P>
                        Under the regulations being promulgated in 40 CFR 1037.630 and 49 CFR 523.2, manufacturers will be required to keep records of how they determined that such vehicles qualify as vocational. These records would be more detailed than the description submitted in the applications. Typically, this would be a combination of records of the design features and/or purchasers of the vehicles. The agencies have analyzed the design features that reflect the special needs of these vocational tractors in the three areas noted above—mixed service, heavy haul, and urban delivery. Mixed service applications, such as construction trucks, typically require higher ground clearance and approach angle to accommodate non-paved roads. In addition, they often require frame rails with greater resisting bending moment (RBM) because of the terrain where they operate.
                        <SU>54</SU>
                        <FTREF/>
                         The mixed service 
                        <PRTPAGE P="57138"/>
                        applications also sometimes require higher front axle weight ratings to accommodate extra loads and/or power take off systems for additional capability. Heavy haul tractors are typically designed with frame rails with extra strength (greater RBM) and higher front axle weight ratings to accommodate the heavy payloads. Often the heavy haul tractors will also have higher ground clearance and greater approach angle for similar reasons as the mixed service applications. Lastly, heavy haul vehicles require a total gear reduction of 57:1 or greater to provide the torque necessary to start the vehicle moving. Urban delivery tractors, such as beverage haulers, have less defined design features that reflect their operational needs. These vehicles offer options which include high RBM rails and front axle weight ratings, but not all beverage trucks are specified with these options. The primary differentiation of these urban delivery tractors is their operation. For this final rulemaking, the agencies projected the costs and benefits of the program considering this provision. As detailed in RIA Section 5.3.2.2.1, the agencies assumed that approximately 20 percent of short-haul tractors sold in 2014 model year and beyond will be vocational tractors. As such, these vehicles will experience benefits reflective of a FTP-certified engine and tire rolling resistance improvement at the technology costs projected in the rules for vocational vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>54</SU>
                             The agencies have found based on standard truck specifications, that vehicles designed for significant off-road applications, such as concrete 
                            <PRTPAGE/>
                            pumper and logging trucks have resisting bending moment greater than 2,100,000 lb-in. (ranging up to 3,580,000 lb-in.). The typical on highway tractors have resisting bending moment of 1,390,000 lb-in. An example line haul truck is the Mack Pinnacle which has a RBM of 1,390,000 lb-in, as shown at 
                            <E T="03">http://www.macktrucks.com/assets/MackMarketing/Specifications/CXU6124x2PinAxleBack.pdf.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">
                        (1) What is the form of the Class 7 and 8 tractor CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards?
                    </HD>
                    <P>
                        As proposed, EPA and NHTSA are finalizing different standards for different subcategories of these tractors with the basis for subcategorization being particular tractor attributes. Attribute-based standards in general recognize the variety of functions performed by vehicles and engines, which in turn can affect the kind of technology that is available to control emissions and reduce fuel consumption, or its effectiveness. Attributes that characterize differences in the design of vehicles, as well as differences in how the vehicles will be employed in-use, can be key factors in evaluating technological improvements for reducing CO
                        <E T="52">2</E>
                         emissions and fuel consumption. Developing an appropriate attribute-based standard can also avoid interfering with the ability of the market to offer a variety of products to meet consumer demand. There are several examples of where the agencies have utilized an attribute-based standard. In addition to the example of the light-duty 2012-16 MY vehicle rule, in which the standards are based on the attribute of vehicle “footprint,” the existing heavy-duty highway engine standards for criteria pollutants have for many years been based on a vehicle weight attribute (Light Heavy, Medium Heavy, Heavy Heavy) with different useful life periods, which is a similar approach finalized for the engine GHG and fuel consumption standards discussed below.
                    </P>
                    <P>Heavy-duty combination tractors are built to move freight. The ability of a vehicle to meet a customer's freight transportation requirements depends on three major characteristics of the tractor: the gross vehicle weight rating (which along with gross combination weight rating (GCWR) establishes the maximum carrying capacity of the tractor and trailer), cab type (sleeper cabs provide overnight accommodations for drivers), and the tractor roof height (to mate tractors to trailers for the most fuel-efficient configuration). Each of these attributes impacts the baseline fuel consumption and GHG emissions, as well as the effectiveness of possible technologies, like aerodynamics, and is discussed in more detail below.</P>
                    <P>
                        The first tractor characteristic to consider is payload which is determined by a tractor's GVWR and GCWR relative to the weight of the tractor, trailer, fuel, driver, and equipment. Class 7 trucks, which have a GVWR of 26,001-33,000 pounds and a typical GCWR of 65,000 pounds, have a lesser payload capacity than Class 8 trucks. Class 8 trucks have a GVWR of greater than 33,000 pounds and a typical GCWR of greater than 80,000 pounds, the effective weight limit on the federal highway system except in states with preexisting higher weight limits. Consistent with the recommendation in the National Academy of Sciences 2010 Report to NHTSA,
                        <SU>55</SU>
                        <FTREF/>
                         the agencies are finalizing a load-specific fuel consumption metric (g/ton-mile and gal/1,000 ton-mile) where the “ton” represents the amount of payload. Generally, higher payload capacity vehicles have better specific fuel consumption and GHG emissions than lower payload capacity vehicles. Therefore, since the amount of payload that a Class 7 vehicle can carry is less than the Class 8 vehicle's payload capacity, the baseline fuel consumption and GHG emissions performance per ton-mile differs between the categories. It is consequently reasonable to distinguish between these two vehicle categories, so that the agencies are finalizing separate standards for Class 7 and Class 8 tractors.
                    </P>
                    <FTNT>
                        <P>
                            <SU>55</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 21, Recommendation 2-1.
                        </P>
                    </FTNT>
                    <P>The agencies are not finalizing a single standard for both Class 7 and 8 tractors based on the payload carrying capabilities and assumed typical payload levels of Class 8 tractors alone, as that would quite likely have the perverse impact of increasing fuel consumption and greenhouse gas emissions. Such a single standard would penalize Class 7 vehicles in favor of Class 8 vehicles. However, the greater capabilities of Class 8 tractors and their related greater efficiency when measured on a per ton-mile basis are only relevant in the context of operations where that greater capacity is needed. For many applications such as regional distribution, the trailer payloads dictated by the goods being carried are lower than the average Class 8 tractor payload. In those situations, Class 7 tractors are more efficient than Class 8 tractors when measured by ton-mile of actual freight carried. This is because the extra capabilities of Class 8 tractors add additional weight to vehicles that is only beneficial in the context of its higher capabilities. The existing market already selects for vehicle performance based on the projected payloads. By setting separate standards the agencies do not advantage or disadvantage Class 7 or 8 tractors relative to one another and continue to allow trucking fleets to purchase the vehicle most appropriate to their business practices.</P>
                    <P>
                        The second characteristic that affects fuel consumption and GHG emissions is the relationship between the tractor cab roof height and the type of trailer used to carry the freight. The primary trailer types are box, flat bed, tanker, bulk carrier, chassis, and low boys. Tractor manufacturers sell tractors in three roof heights—low, mid, and high. The manufacturers do this to obtain the best aerodynamic performance of a tractor-trailer combination, resulting in reductions of GHG emissions and fuel consumption, because it allows the frontal area of the tractor to be similar in size to the frontal area of the trailer. In other words, high roof tractors are designed to be paired with a (relatively tall) box trailer while a low roof tractor is designed to pull a (relatively low) flat bed trailer. The baseline performance of 
                        <PRTPAGE P="57139"/>
                        a high roof, mid roof, and low roof tractor differs due to the variation in frontal area which determines the aerodynamic drag. For example, the frontal area of a low roof tractor is approximately 6 square meters, while a high roof tractor has a frontal area of approximately 9.8 square meters. Therefore, as explained below, the agencies are using the roof height of the tractor to determine the trailer type required to be used to demonstrate compliance of a vehicle with the fuel consumption and CO
                        <E T="52">2</E>
                         emissions standards. As with vehicle weight classes, setting separate standards for each tractor roof height helps ensure that all tractors are regulated to achieve appropriate improvements, without inadvertently leading to increased emissions and fuel consumption by shifting the mix of vehicle roof heights offered in the market away from a level determined by market foces linked to the actual trailers vehicles will haul in-use.
                    </P>
                    <P>
                        Tractor cabs typically can be divided into two configurations—day cabs and sleeper cabs. Line haul operations typically require overnight accommodations due to Federal Motor Carrier Safety Administration hours of operation requirements.
                        <SU>56</SU>
                        <FTREF/>
                         Therefore, some truck buyers purchase tractor cabs with sleeping accommodations, also known as sleeper cabs, because they do not return to their home base nightly. Sleeper cabs tend to have a greater empty curb weight than day cabs due to the larger cab volume and accommodations, which lead to a higher baseline fuel consumption for sleeper cabs when compared to day cabs. In addition, there are specific technologies, such as extended idle reduction technologies, which are appropriate only for tractors which hotel—such as sleeper cabs. To respect these differences, the agencies are finalizing separate standards for sleeper cabs and day cabs.
                        <SU>57</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>56</SU>
                             The Federal Motor Carrier Safety Administration's Hours-of-Service regulations put limits in place for when and how long commercial motor vehicle drivers may drive. They are based on an exhaustive scientific review and are designed to ensure truck drivers get the necessary rest to perform safe operations. 
                            <E T="03">See</E>
                             49 CFR part 395, and 
                            <E T="03">see also http://www.fmcsa.dot.gov/rules-regulations/topics/hos/index.htm</E>
                             (last accessed August 8, 2010).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>57</SU>
                             The agencies note, as discussed in the previous section, that some day cabs and sleeper cabs will be reclassified as vocational tractors and if so will not be subject to the combination tractor standards.
                        </P>
                    </FTNT>
                    <P>The agencies received comments from industry stakeholders (EMA, Allison Transmission, Bosch, and the Heavy-Duty Fuel Efficiency Leadership Group) and ICCT supporting the nine tractor regulatory subcategories proposed and did not receive any comments which supported an alternate classification. Thus, to account for the relevant combinations of these attributes, the agencies are adopting the classification scheme proposed, segmenting combination tractors into the following nine regulatory subcategories:</P>
                    <P>• Class 7 Day Cab With Low Roof</P>
                    <P>• Class 7 Day Cab With Mid Roof</P>
                    <P>• Class 7 Day Cab With High Roof</P>
                    <P>• Class 8 Day Cab With Low Roof</P>
                    <P>• Class 8 Day Cab With Mid Roof</P>
                    <P>• Class 8 Day Cab With High Roof</P>
                    <P>• Class 8 Sleeper Cab With Low Roof</P>
                    <P>• Class 8 Sleeper Cab With Mid Roof</P>
                    <P>• Class 8 Sleeper Cab With High Roof</P>
                    <P>Adjustable roof fairings are used today on what the agencies consider to be low roof tractors. The adjustable fairings allow the operator to change the fairing height to better match the type of trailer that is being pulled which can reduce fuel consumption and GHG emissions during operation. As proposed, the agencies are treating tractors with adjustable roof fairings as low roof tractors that will tested with the fairing in its lowest position.</P>
                    <HD SOURCE="HD3">
                        (2) What are the Final Class 7 and 8 Tractor and Engine CO
                        <E T="52">2</E>
                         Emissions and Fuel Consumption Standards and Their Timing?
                    </HD>
                    <P>
                        In developing the final standards for Class 7 and 8 tractors and for the engines used in these tractors, the agencies have evaluated the current levels of emissions and fuel consumption, the kinds of technologies that could be utilized by truck and engine manufacturers to reduce emissions and fuel consumption from tractors and associated engines, the necessary lead time, the associated costs for the industry, fuel savings for the consumer, and the magnitude of the CO
                        <E T="52">2</E>
                         and fuel savings that may be achieved. The technologies on whose performance the final tractor standards are predicated are improvements in aerodynamic design, lower rolling resistance tires, extended idle reduction technologies, and lightweighting of the tractor. The technologies on whose performance the final tractor standards are predicated are engine friction reduction, aftertreatment optimization, and turbocompounding, among others, as described in RIA Chapter 2.4. The agencies' evaluation showed that these technologies are available today, but have very low application rates on current vehicles and engines. EPA and NHTSA also present the estimated costs and benefits of the Class 7 and 8 combination tractor and engine standards in Section III and in RIA Chapter 2, explaining as well the basis for the agencies' conclusion not to adopt standards which are less stringent or more stringent.
                    </P>
                    <HD SOURCE="HD3">(a) Tractor Standards</HD>
                    <P>
                        The agencies are finalizing the following standards for Class 7 and 8 combination tractors in Table 0-1, using the subcategorization approach that was proposed. As explained below in Section III, EPA has determined that there is sufficient lead time to introduce various tractor and engine technologies into the fleet starting in the 2014 model year, and is finalizing standards starting for that model year predicated on performance of those technologies. EPA is finalizing more stringent tractor standards for the 2017 model year which reflect the CO
                        <E T="52">2</E>
                         emissions reductions required for 2017 model year engines. (As explained in Section II.B(3)(h)(v) below, engine performance is one of the inputs into the compliance model, and that input will change in 2017 to reflect the 2017 MY engine standards.) The 2017 MY vehicle standards are not premised on tractor manufacturers installing additional vehicle technologies. EPA's final standards apply throughout the useful life period as described in Section V. As proposed, and as discussed further in Section IV below, manufacturers may generate and use credits from Class 7 and 8 combination tractors to show compliance with the standards.
                    </P>
                    <P>
                        NHTSA is finalizing Class 7 and 8 tractor fuel consumption standards that are voluntary standards in the 2014 and 2015 model years and become mandatory beginning in the 2016 model year, as required by the lead time within EISA. The 2014 and 2015 model year standards are voluntary in that manufacturers are not subject to them unless they opt-in to the standards.
                        <SU>58</SU>
                        <FTREF/>
                         Manufacturers that opt in become subject to NHTSA standards for all regulatory categories. NHTSA is also adopting new tractor standards for the 2017 model year which reflect additional improvements in only the heavy-duty engines. As proposed, NHTSA is not implementing an in-use compliance program for fuel consumption because it does not anticipate that there will be notable deterioration of fuel consumption over the useful life of the vehicle.
                    </P>
                    <FTNT>
                        <P>
                            <SU>58</SU>
                             Once a manufacturer opts into the NHTSA program it must stay in the program for all the optional MYs.
                        </P>
                    </FTNT>
                    <P>
                        As explained more fully in Section III and Chapter 2 of the RIA, EPA and NHTSA are not adopting more stringent tractor standards for 2014-2017 MY. The final tractor standards are based on 
                        <PRTPAGE P="57140"/>
                        the maximum application rates of available technologies considering the available lead time, and we explain in Section III and Chapter 2 of the RIA that use of additional technologies, or further application of the technologies already mentioned would be either infeasible in the lead time afforded, or uneconomic.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,16,16,16">
                        <TTITLE>Table II-1—Heavy-Duty Combination Tractor Emissions and Fuel Consumption Standards</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Day cab</CHED>
                            <CHED H="2">Class 7</CHED>
                            <CHED H="2">Class 8</CHED>
                            <CHED H="1">Sleeper cab</CHED>
                            <CHED H="2">Class 8</CHED>
                        </BOXHD>
                        <ROW RUL="s" EXPSTB="03">
                            <ENT I="21">
                                2014 Model Year CO
                                <E T="52">2</E>
                                 Grams per Ton-Mile
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Low Roof</ENT>
                            <ENT>107</ENT>
                            <ENT>81</ENT>
                            <ENT>68</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>119</ENT>
                            <ENT>88</ENT>
                            <ENT>76</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">High Roof</ENT>
                            <ENT>124</ENT>
                            <ENT>92</ENT>
                            <ENT>75</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="03">
                            <ENT I="21">
                                2014-2016 Model Year Gallons of Fuel per 1,000 Ton-Mile 
                                <SU>59</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Low Roof</ENT>
                            <ENT>10.5</ENT>
                            <ENT>8.0</ENT>
                            <ENT>6.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>11.7</ENT>
                            <ENT>8.7</ENT>
                            <ENT>7.4</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">High Roof</ENT>
                            <ENT>12.2</ENT>
                            <ENT>9.0</ENT>
                            <ENT>7.3</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="03">
                            <ENT I="21">
                                2017 Model Year CO
                                <E T="52">2</E>
                                 Grams per Ton-Mile
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Low Roof</ENT>
                            <ENT>104</ENT>
                            <ENT>80</ENT>
                            <ENT>66</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>115</ENT>
                            <ENT>86</ENT>
                            <ENT>73</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">High Roof</ENT>
                            <ENT>120</ENT>
                            <ENT>89</ENT>
                            <ENT>72</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="03">
                            <ENT I="21">2017 Model Year and Later Gallons of Fuel per 1,000 Ton-Mile</ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Low Roof</ENT>
                            <ENT>10.2</ENT>
                            <ENT>7.8</ENT>
                            <ENT>6.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>11.3</ENT>
                            <ENT>8.4</ENT>
                            <ENT>7.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">High Roof</ENT>
                            <ENT>11.8</ENT>
                            <ENT>8.7</ENT>
                            <ENT>7.1</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        The
                        <FTREF/>
                         standard values shown above differ somewhat from the proposal, reflecting refinements made to the GEM in response to comments. For example, the agencies received comments from stakeholders concerned that the 2017 MY tractor standards appeared to be backsliding because the reductions were not in line with the reductions expected from the 2017 MY engine standards. The agencies reviewed the issue and found that the engine maps we created in the GEM for the 2017 model year for the proposal did not appropriately reflect the engine improvements. Therefore, the agencies developed new fuel maps for the GEM v2.0 which fully reflect the engine improvements due to the 2017 MY standards.
                        <SU>60</SU>
                        <FTREF/>
                         These changes to the GEM did not impact our estimates of the relative effectiveness of the greenhouse gas emissions and fuel consumption improving technologies modeled in this final action nor the overall cost or benefits estimated for these final vehicle standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>59</SU>
                             As noted above, manufacturers may voluntarily opt-in to the NHTSA fuel consumption program in 2014 or 2015. Once a manufacturer opts into the NHTSA program it must stay in the program for all the optional MYs.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>60</SU>
                             
                            <E T="03">See</E>
                             RIA Chapter 4 for the engine fuel maps used in GEM v2.0.
                        </P>
                    </FTNT>
                    <P>
                        Based on our analysis, the 2017 model year standards for combination tractors and engines represent up to a 23 percent reduction in CO
                        <E T="52">2</E>
                         emissions and fuel consumption over a 2010 model year baseline tractor (the baseline sleeper cab does not include idle shutdown technology), as detailed in Section III.A.2. In considering the feasibility of vehicles to comply with the standards, EPA also considered the potential for CO
                        <E T="52">2</E>
                         emissions to increase during the regulatory useful life of the product. As we discuss separately in the context of deterioration factor (DF) testing, we have concluded that CO
                        <E T="52">2</E>
                         emissions are likely to stay the same or actually decrease in-use compared to new certified configurations. In general, engine and vehicle friction decreases as products wear in leading to reduced parasitic losses and lower CO
                        <E T="52">2</E>
                         emissions. Similarly, tire rolling resistance falls as tires wear due to the reduction in tread height. In the case of aerodynamic components, we project no change in performance through the regulatory life of the vehicle since there is essentially no change in their physical form as vehicles age. Similarly, weight reduction elements such as aluminum wheels are not projected to increase in mass through time, and hence, we can conclude will not deteriorate with regard to CO
                        <E T="52">2</E>
                         performance in-use. Given all of these considerations, EPA is confident in projecting that the standards finalized today will be technical feasible throughout the regulatory useful life of the program.
                    </P>
                    <HD SOURCE="HD3">(b) Standards for Engines Installed in Combination Tractors</HD>
                    <P>EPA is adopting GHG standards and NHTSA is adopting fuel consumption standards for new heavy-duty engines. This section discusses the standards for engines used in Class 7 and 8 combination tractors and also provides some overall background information. We also note that the agencies are adopting standards for heavy-duty engines used in vocational vehicles. However, as explained further below, compliance with the standards would be measured using different test procedures, corresponding with actual vehicle use, depending on whether the vehicle in which the engine is installed is a Class 7 and 8 combination tractor or a vocational vehicle.</P>
                    <P>
                        The heavy-duty engine standards vary depending on the type of vehicle in which they are installed, as well as whether the engines are compression ignition or spark ignition. The agencies are adopting separate engine fuel consumption and GHG emissions standards for engines installed in combination tractors versus engines installed in vocational vehicles. Also, for the purposes of the GHG engine emissions and engine fuel consumption standards, the agencies are adopting engine subcategories that match EPA's 
                        <PRTPAGE P="57141"/>
                        existing criteria pollutant emissions regulations for heavy-duty highway engines which established four regulatory service classes that represent the engine's intended and primary vehicle application.
                        <SU>61</SU>
                        <FTREF/>
                         The Light Heavy-Duty (LHD) diesel engines are intended for application in Class 2b through Class 5 trucks (8,501 through 19,500 pounds GVWR). The Medium Heavy-Duty (MHD) diesel engines are intended for Class 6 and Class 7 trucks (19,501 through 33,000 pounds GVWR). The Heavy Heavy-Duty (HDD) diesel engines are primarily used in Class 8 trucks (33,001 pounds and greater GVWR). Lastly, spark ignition engines (primarily gasoline-powered engines) installed in incomplete vehicles less than 14,000 pounds GVWR and spark ignition engines that are installed in all vehicles (complete or incomplete) greater than 14,000 pounds GVWR are grouped into a single engine service class. The engines in these four regulatory service classes range in size between approximately five liters and sixteen liters. This subcategory structure enables the agencies to set standards that appropriately reflect the technology available for engines installed in each type of vehicle, and that are therefore technologically feasible for these engines. This is the same engine classification scheme the agencies proposed, and there were no adverse comments in response to the proposal.
                    </P>
                    <FTNT>
                        <P>
                            <SU>61</SU>
                             
                            <E T="03">See</E>
                             40 CFR 86.90-2.
                        </P>
                    </FTNT>
                    <P>Heavy heavy-duty diesel and medium heavy-duty diesel engines are used today in combination tractors. The following section refers to the engine standards for these types of engines. This section does not cover gasoline or light heavy-duty diesel engines because they are not used in combination tractors.</P>
                    <P>
                        In the NPRM, the agencies proposed CO
                        <E T="52">2</E>
                         and fuel consumption standards for HD diesel engines to be installed in Class 7 and 8 combination tractors as shown in Table II-2.
                        <SU>62</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>62</SU>
                             The agencies note that the CO
                            <E T="52">2</E>
                             and fuel consumption standards for Class 7 and 8 combination tractors do not cover gasoline or LHDD engines, as those are not used in Class 7 and 8 combination tractors.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                        <TTITLE>Table II-2—Proposed Heavy-duty Diesel Engine Standards for Engines Installed in Tractors</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Effective 2014 model year</CHED>
                            <CHED H="2">
                                CO
                                <E T="52">2</E>
                                 standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Voluntary fuel consumption standard 
                                <LI>(gal/100 bhp-hr)</LI>
                            </CHED>
                            <CHED H="1">Effective 2017 Model Year</CHED>
                            <CHED H="2">
                                CO
                                <E T="52">2</E>
                                 standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Fuel consumption standard 
                                <LI>(gal/100 bhp-hr)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">MHD diesel engine</ENT>
                            <ENT>502</ENT>
                            <ENT>4.93</ENT>
                            <ENT>487</ENT>
                            <ENT>4.78</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HHD diesel engine</ENT>
                            <ENT>475</ENT>
                            <ENT>4.67</ENT>
                            <ENT>460</ENT>
                            <ENT>4.52</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        The agencies proposed to require diesel engine manufacturers to achieve, on average, a three percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions for the 2014 standards over the baseline MY 2010 performance for the engines.
                        <SU>63</SU>
                        <FTREF/>
                         The agencies' preliminary assessment of the findings of the 2010 NAS Report and other literature sources indicated that there are technologies available to reduce fuel consumption by this amount in the time frame in the lead time provided by the rules. These technologies include improved turbochargers, aftertreatment optimization, and low temperature exhaust gas recirculation.
                    </P>
                    <FTNT>
                        <P>
                            <SU>63</SU>
                             The baseline HHD diesel engine performance in MY 2010 on the SET is 490 g CO
                            <E T="52">2</E>
                            /bhp-hr (4.81 gal/100 bhp-hr), as determined from confidential data provided by manufacturers and data submitted for the non-GHG emissions certification process. The baseline MHD diesel engine performance on the SET cycle is 518 g CO
                            <E T="52">2</E>
                            /bhp-hr (5.09 gallon/100-bhp-hr) in MY 2010. Further discussion of the derivation of the baseline can be found in Section III.
                        </P>
                    </FTNT>
                    <P>
                        The agencies also proposed to require diesel engine manufacturers to achieve, on average, a six percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions for the 2017 MY standards over the baseline MY 2010 performance for MHD and HHD diesel engines required to use the SET-based standard. The agencies stated that additional reductions could likely be achieved through the increased refinement of the technologies projected to be implemented for 2014, plus the addition of turbocompounding, which the agencies' analysis showed would require a longer development time and would not be available in MY 2014. The agencies therefore proposed to provide additional lead time to allow for the introduction of this additional technology, and to wait until 2017 to increase stringency to levels reflecting application of this technology.
                    </P>
                    <P>
                        The agencies proposed that the MHD and HHD diesel engine CO
                        <E T="52">2</E>
                         standards for Class 7 and 8 combination tractors would become effective in MY 2014 for EPA, with more stringent CO
                        <E T="52">2</E>
                         standards becoming effective in MY 2017, while NHTSA's fuel consumption standards would become effective in MY 2017, which would be both consistent with the EISA four-year minimum lead-time requirements and harmonized with EPA's timing. The agencies explained that the three-year timing, besides being required by EISA, made sense because EPA's heavy-duty highway engine program for criteria pollutants had begun to provide new emissions standards for the industry in three year increments, which had caused the heavy-duty engine product plans to fall largely into three year cycles reflecting this regulatory environment. To further harmonize with EPA, NHTSA proposed voluntary fuel consumption standards for MHD and HHD diesel engines that are equivalent to EPA CO
                        <E T="52">2</E>
                         standards for MYs 2014-2016, allowing manufacturers to opt into the voluntary standards in any of those model years.
                        <SU>64</SU>
                        <FTREF/>
                         NHTSA proposed that manufacturers could opt into the program by declaring their intent to opt in to the program at the same time they submit the Pre-Certification Compliance Report, and that a manufacturer opting into the program would begin tracking credits and debits beginning in the model year in which they opt into the program. Both agencies proposed to allow manufacturers to generate and use credits to achieve compliance with the HD diesel engine standards, including averaging, banking, and trading (ABT) and deficit carry-forward. The agencies sought comment on the proposed MHD and HHD engine standards and timing.
                    </P>
                    <FTNT>
                        <P>
                            <SU>64</SU>
                             Once a manufacturer opts into the NHTSA program it must stay in the program for all the optional MYs and remain standardized with the implementation approach being used to meet the EPA emission program.
                        </P>
                    </FTNT>
                    <P>
                        The agencies received comments from EMA, Navistar, Cummins, ACEEE, Center for Biological Diversity, Detroit Diesel Corporation, American Lung Association, and the Union of 
                        <PRTPAGE P="57142"/>
                        Concerned Scientists. Comments were divided with respect to the proposed levels of stringency. While Cummins and DDC expressed support for the CO
                        <E T="52">2</E>
                         and fuel consumption standards for diesel engines, and EMA and Navistar stated the standards could be met if the flexibilities outlined in the NPRM are finalized as proposed, Navistar also stated that the model year 2017 standard may not be feasible since what the agencies characterized as existing technologies are not in production for all manufacturers. In contrast, environmental groups and NGOs stated that the standards did not reflect the potential reductions outlined in the 2010 NAS study and should be more stringent. CBD argued that the standards were not set at the maximum feasible level by definition, because the agencies had said that they were based on the use of existing technologies. In addition, the Center for Neighborhood Technology encouraged the agencies to implement the rules as soon as possible, beginning in the 2012 model year.
                    </P>
                    <P>
                        In light of the above comments, the agencies re-evaluated the technical basis for the heavy-duty engine standards. The baseline HHD diesel engine performance in 2010 model year on the SET is estimated at 490 g CO
                        <E T="52">2</E>
                        /bhp-hr (4.81 gal/100 bhp-hr), based on our analysis of confidential data provided by manufacturers and data submitted for the non-GHG emissions certification process. Similarly, the baseline MHD diesel engine performance on the SET cycle is estimated to be 518 g CO
                        <E T="52">2</E>
                        /bhp-hr (5.09 gallon/100-bhp-hr) for the 2010 model year. Further discussion of the derivation of the baseline can be found in Section III. The agencies believe that the MY 2014 standards can be achieved by most manufacturers through the use of technologies time frame such as improved aftertreatment systems, friction reduction, improved auxiliaries, turbochargers, pistons, and other components. These standards will require diesel engine manufacturers to achieve on average a three percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions over the baseline 2010 model year levels.
                    </P>
                    <P>
                        However, in recognizing that some manufacturers have engines that would not meet the standard even after applying technologies that improve GHG emissions and fuel consumption by three percent, the agencies are finalizing both the proposed ABT provisions for these engines and also an optional alternate engine standard for 2014 model year, described in more detail below. We believe that concerns expressed by Navistar regarding the 2014 MY standards will be addressed by this alternative standard. The agencies also continue to believe that the 2017 MY standards are achievable using the above approaches and, in the case of SET certified engines, turbocompounding. While Navistar commented that the 2017 MY standard may be challenging because not all manufacturers are presently producing the technologies that may be required to meet the standards, the agencies believe that since manufacturers that may require turbocompounding to meet the standards will not have to do so until 2017 MY, there will be sufficient lead time for all manufacturers to introduce this technology. As noted above, by MY 2017 all MHD and HHD engines installed in combination tractors should have gone through a redesign during which all needed technology can be applied. We note that we are finalizing these standards as proposed based on the assessment that most manufacturers (not just Navistar) will need to make improvements to existing engine systems in order to meet the standards. EPA's HD diesel engine CO
                        <E T="52">2</E>
                         emission standards and NHTSA's HD diesel engine fuel consumption standards for engines installed in tractors are presented in Table II-3. As explained above, the first set of standards take effect with MY 2014 (mandatory standards for EPA, voluntary standards for NHTSA), and the second set take effect with MY 2017 (mandatory for both agencies).
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                        <TTITLE>Table II-3—Final Heavy-duty Diesel Engine Standards for Engines Installed in Tractors</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Effective 2014 model year</CHED>
                            <CHED H="2">
                                CO
                                <E T="52">2</E>
                                 standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Voluntary fuel consumption standard 
                                <LI>(gal/100 bhp-hr)</LI>
                            </CHED>
                            <CHED H="1">Effective 2017 model year</CHED>
                            <CHED H="2">
                                CO
                                <E T="52">2</E>
                                 standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Fuel consumption standard 
                                <LI>(gal/100 bhp-hr)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">MHD diesel engine</ENT>
                            <ENT>502</ENT>
                            <ENT>4.93</ENT>
                            <ENT>487</ENT>
                            <ENT>4.78</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HHD diesel engine</ENT>
                            <ENT>475</ENT>
                            <ENT>4.67</ENT>
                            <ENT>460</ENT>
                            <ENT>4.52</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>The agencies have also decided to remove NHTSA's proposed Pre-Certification Compliance Report requirement. Instead, manufacturers must submit their decision to opt into NHTSA's voluntary standards for the 2014 through 2016 model years as part of its certification process with EPA. Once a manufacturer opts into the NHTSA program it must stay in the program for all the subsequent optional model years. Manufacturers that opt in become subject to NHTSA standards for all regulatory categories. The declaration statement must be entered prior to or at the same time the manufacturer submits its first application for a certificate of conformity. NHTSA will begin tracking credits and debits beginning in the model year in which a manufacturer opts into its program.</P>
                    <P>
                        Compliance with the CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards will be evaluated based on the SET engine test cycle. In the NPRM, the agencies proposed standards based on the SET cycle for MHD and HHD engines used in tractors due to these engines' primary use in steady state operating conditions (typified by highway cruising). Tractors spend the majority of their operation at steady state conditions, and will obtain in-use benefit of technologies such as turbocompounding and other waste heat recovery technologies during this kind of typical engine operation. Therefore, the engines installed in tractors will be required to meet the standard based on the SET, which is a steady state test cycle.
                    </P>
                    <P>
                        The agencies gave full consideration to the need for engine manufacturers to redesign and upgrade their engines during the MYs 2014-2017 to meet standards, and fully considered the cost-effectiveness of the standards and the available lead time. The final two-step CO
                        <E T="52">2</E>
                         emission and fuel consumption standards recognize the opportunity for technology improvements over the rulemaking time frame, while reflecting the typical engine manufacturers' product plan cycles. Over these four model years there will be an opportunity for manufacturers to evaluate almost every one of their 
                        <PRTPAGE P="57143"/>
                        engine models and add technology in a cost-effective way, consistent with existing redesign schedules, to control GHG emissions and reduce fuel consumption. The time-frame and levels for the standards, as well as the ability to average, bank and trade credits and carry a deficit forward for a limited time, are expected to provide manufacturers the time and flexibilities needed to incorporate technology that will achieve the final GHG and fuel consumption standards within the normal engine redesign process. This is an important aspect of the final rules, as it will avoid the much higher costs that would occur if manufacturers needed to add or change technology at times other than these scheduled redesigns.
                        <SU>65</SU>
                        <FTREF/>
                         This time period will also provide manufacturers the opportunity to plan for compliance using a multi-year time frame, again in alignment with their normal business practice. Further details on lead time, redesigns and technical feasibility can be found in Section III.
                    </P>
                    <FTNT>
                        <P>
                            <SU>65</SU>
                             
                            <E T="03">See</E>
                             75 FR at 25467-68 for further discussion of the negative cost implications of establishing requirements outside of the redesign cycle.
                        </P>
                    </FTNT>
                    <P>
                        The agencies continue to believe the standards for MHD and HHD diesel engines installed in combination tractors are the most stringent technically feasible in the time frame established in this regulation. The standards will require a 3 percent reduction in engine fuel consumption and GHG emissions in 2014 MY based on improvements to engine components and aftertreatment systems. The 2017 MY standards will require a 6 percent reduction in fuel consumption and GHG emissions over a 2010 model year baseline and assumes the introduction, for some engines, of technologies such as turbocompounding. The standards, however, are not premised on the introduction of technologies that are still in development—such as Rankine bottoming cycle—since these approaches cannot be introduced without further technical development or engine re-design.
                        <SU>66</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>66</SU>
                             
                            <E T="03">See</E>
                             RIA Chapter 2.4.2.7.
                        </P>
                    </FTNT>
                    <P>Additional discussion on technical feasibility is included in Section III below and in Chapter 2 of the RIA.</P>
                    <P>
                        The agencies recognize, however, that the schedule of changes for the final standards may not be the most cost-effective one for all manufacturers. The agencies also sought comment as to whether an alternate phase-in schedule for the HD diesel engine standards for combination tractors should be considered. In developing the proposal, heavy-duty engine manufacturers stated that the phase-in of the GHG and fuel consumption standards should be aligned with the On Board Diagnostic (OBD)
                        <SU>67</SU>
                        <FTREF/>
                         phase-in schedule, which includes new requirements for heavy-duty vehicles in the 2013 and 2016 model years. The agencies did not adopt this suggestion in the proposal, explaining that the credit averaging, banking and trading provisions would provide manufacturers with considerable flexibility to manage their GHG and fuel efficiency standard compliance plans—including the phase-in of the new heavy-duty OBD requirements—but requested comment on whether EPA and NHTSA should provide an alternate phase-in schedules that would more explicitly accommodate this request in the event that manufacturers did not agree that the ABT provisions mitigated their concern about the GHG/fuel consumption standard phase-in. 
                        <E T="03">See</E>
                         75 FR at 74178.
                    </P>
                    <FTNT>
                        <P>
                            <SU>67</SU>
                             On-board diagnostics (OBD) is a computer-based emissions monitoring system that was first required in 2007 for vehicles under 14,000 pounds (65 FR 59896, Oct. 6, 2000) and in 2010 for vehicles over 14,000 pounds (74 FR 8310, Feb. 24, 2009).
                        </P>
                    </FTNT>
                    <P>In response, Cummins, Engine Manufacturers Association, and DTNA commented that their first choice was a delay in the OBD effective date for one year to the 2014 model year. The industry's second choice was to provide manufacturers with an optional GHG and fuel consumption phase-in that aligns their product development plans with their current plans to meet the OBD regulations for EPA and California in the 2013 and 2016 model years. These commenters argued that meeting the OBD regulation in the 2013 model year already poses a significant challenge, and that having to meet GHG and fuel consumption standards beginning in 2014 could require them to redesign and recertify their products just one year later. They argued that bundling design changes where possible can reduce the burden on industry for complying with regulations, so aligning the introduction of the OBD, GHG, and fuel consumption standards could help reduce manufacturers' burden for product development, validation and certification.</P>
                    <P>
                        In order to provide additional flexibility for manufacturers looking to align their technology changes with multiple regulatory requirements, the agencies are finalizing an alternate “OBD phase-in” option for meeting the standards for MHD and HHD diesel engines installed in tractors (in addition to engines installed in vocational vehicles as noted below in Section II.D), which delivers equivalent CO
                        <E T="52">2</E>
                         emissions and fuel consumption reductions as the primary standards for the engines built in the 2013 through 2017 model years, as shown in Table II-4. The optional OBD phase-in schedule requires that engines built in the 2013 and 2016 model years to achieve greater reductions than the engines built in those model years under the primary program, but requires fewer reductions for the engines built in the 2014 and 2015 model years.
                    </P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,10,10,10,10,10,10">
                        <TTITLE>
                            Table II-4—Comparison of CO
                            <E T="52">2</E>
                             reductions for the HHD and MHD Tractor Standards Under the Alternative OBD Phase-In and Primary Phase-In
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">HHD Tractor engines</CHED>
                            <CHED H="2">
                                Primary phase-in standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Optional phase-in standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Difference in lifetime CO
                                <E T="52">2</E>
                                 engine emissions 
                                <LI>(MMT)</LI>
                            </CHED>
                            <CHED H="1">MHD Tractor engines</CHED>
                            <CHED H="2">
                                Primary phase-in standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Optional phase-in standard 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Difference in lifetime CO
                                <E T="52">2</E>
                                 engine emissions 
                                <LI>(MMT)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Baseline</ENT>
                            <ENT>490</ENT>
                            <ENT>490</ENT>
                            <ENT>—</ENT>
                            <ENT>518</ENT>
                            <ENT>518</ENT>
                            <ENT>—</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2013 MY Engine</ENT>
                            <ENT>490</ENT>
                            <ENT>485</ENT>
                            <ENT>14</ENT>
                            <ENT>518</ENT>
                            <ENT>512</ENT>
                            <ENT>17</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2014 MY Engine</ENT>
                            <ENT>475</ENT>
                            <ENT>485</ENT>
                            <ENT>−28</ENT>
                            <ENT>502</ENT>
                            <ENT>512</ENT>
                            <ENT>−28</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015 MY Engine</ENT>
                            <ENT>475</ENT>
                            <ENT>485</ENT>
                            <ENT>−28</ENT>
                            <ENT>502</ENT>
                            <ENT>512</ENT>
                            <ENT>−28</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016 MY Engine</ENT>
                            <ENT>475</ENT>
                            <ENT>460</ENT>
                            <ENT>42</ENT>
                            <ENT>502</ENT>
                            <ENT>487</ENT>
                            <ENT>42</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017 MY Engine</ENT>
                            <ENT>460</ENT>
                            <ENT>460</ENT>
                            <ENT>0</ENT>
                            <ENT>487</ENT>
                            <ENT>487</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Net Reductions (MMT)</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>0</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>3</ENT>
                        </ROW>
                    </GPOTABLE>
                    <PRTPAGE P="57144"/>
                    <P>
                        The technologies for the 2013 model year optional standard include a subset of technologies that could be used to meet the primary 2014 model year standard. The agencies believe this approach is appropriate because the shorter lead time provided for manufacturers selecting this option limits the technologies which can be applied. However, in order to maintain equivalent CO
                        <E T="52">2</E>
                         emissions and fuel consumption reduction over the 2013 through 2017 model year period, it is necessary for the 2016 model year standard to be equal to the 2017 model year standard, using the same technology paths described for the primary engine program. If a manufacturer selects this optional phase-in, then the engines must be certified starting in the 2013 model year and continue using this phase-in through 2016 model year. That is, once electing this compliance path, manufacturers must adhere to it.
                        <SU>68</SU>
                        <FTREF/>
                         Manufacturers may opt into the optional OBD phase-in through the voluntary NHTSA program, but must opt in in the 2013 model year and continue using this phase-in through the 2016 model year. Manufacturers that opt in to the voluntary NHTSA program in 2014 and 2015 will be required to meet the primary phase-in schedule and may not adopt the OBD phase-in option. Table II-5 below presents the final HD diesel engine CO
                        <E T="52">2</E>
                         emission standards under the “OBD phase-in” option.
                    </P>
                    <FTNT>
                        <P>
                            <SU>68</SU>
                             
                            <E T="03">See</E>
                             § 1036.150(e).
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,16,16">
                        <TTITLE>Table II-5—Optional Heavy-Duty Engine Standard Phase-in Schedule for Tractor Engines</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">MHD Diesel engine</CHED>
                            <CHED H="1">HHD Diesel engine</CHED>
                        </BOXHD>
                        <ROW EXPSTB="02" RUL="s">
                            <ENT I="21">Effective 2013 Through 2015 Model Year</ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>512</ENT>
                            <ENT>485</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Voluntary Fuel Consumption Standard (gallon/100 bhp-hr)</ENT>
                            <ENT>5.03</ENT>
                            <ENT>4.76</ENT>
                        </ROW>
                        <ROW EXPSTB="02" RUL="s">
                            <ENT I="21">Effective 2016 Model Year and Later</ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>487</ENT>
                            <ENT>460</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Consumption (gallon/100 bhp-hr)</ENT>
                            <ENT>4.78</ENT>
                            <ENT>4.52</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        Although the agencies believe that the standards for the HD diesel engines installed in combination tractors are generally appropriate, cost-effective, and technologically feasible in the rulemaking time frame, we also recognize that when regulating a category of engines for the first time, there will be individual products that may deviate significantly from the baseline level of performance, whether because of a specific approach to criteria pollution control, or due to engine calibration for specific applications or duty cycles. In the current fleet of 2010 and 2011 model year engines used in combination tractors, NHTSA and EPA understand that there is a relatively small group of legacy engines that are up to approximately 25 percent worse than the average baseline for other engines. For this group of legacy MHD and HHD diesel engines installed in tractors, when compared to the typical performance levels of the majority of the engines in the fleet and the fuel consumption/GHG emissions reductions that the majority of engines would achieve through increased application of technology, the same reduction from the industry baseline may not be possible at reasonably comparable cost given the same amount of lead-time, because these products may require a total redesign in order to meet the standards. Manufacturers of the MHD and HHD diesel engines installed in tractors with atypically high baseline CO
                        <E T="52">2</E>
                         and fuel consumption levels may also, in some instances, have a limited line of engines across which to average performance to meet the generally-applicable standards.
                    </P>
                    <P>
                        To account for this possibility, the agencies requested comment in the NPRM on the establishment of an optional alternative MHD and HHD engine standard for those engines installed in combination tractors which would be set at 3 percent below a manufacturer's 2011 engine baseline emissions and fuel consumption, or alternatively, at 2 percent below a manufacturer's 2011 baseline. The agencies also requested comment on extending this optional standard one year (to the 2017 MY) for a single engine family at a 6 percent level below the 2011 baseline.
                        <SU>69</SU>
                        <FTREF/>
                         This option would not be available unless and until a manufacturer had exhausted all available credits and credit opportunities, and engines under the optional standard could not generate credits.
                    </P>
                    <FTNT>
                        <P>
                            <SU>69</SU>
                             
                            <E T="03">See</E>
                             75 FR at 74178-74179.
                        </P>
                    </FTNT>
                    <P>In comments to the NPRM, Navistar supported the alternative engine standard, but recommended that it be set at 2 percent below the manufacturer's 2011 baseline. They also supported the extension to 2017 MY at 6 percent. Navistar provided CBI in support of its comments. Volvo, DTNA, environmental groups, NGOs, and the New York State Department of Environmental Conservation opposed the optional engine standard, arguing that existing flexibilities are sufficient to allow compliance with the standards and that all manufacturers should be held to the same standards.</P>
                    <P>
                        Based on the CBI submitted by Navistar, the agencies found that a large majority of the HD diesel engines used in Class 7 and 8 combination tractors were relatively close to the average baseline, with some above and some below, but also that some legacy MHD and HDD diesel engines were far enough away from the baseline that they could not meet the generally-applicable standards with application of technology that would be available for those specific engines by 2014. The agencies continue to believe that an interim alternative standard is needed for these products, and that an interim standard reflects a legitimate difference between products starting from different fuel consumption/GHG emitting baselines. As explained in the proposal, it is legally permissible to accommodate short term lead time constraints with alternative standards. Commenters did not dispute that there are legacy engine families with significantly higher CO
                        <E T="52">2</E>
                         emissions and fuel consumption baselines, and that these engines require longer lead time to meet the principal standards in the early model years of the program. Although the agencies acknowledge the view that all manufacturers should be subject to the same burden for meeting the primary standards, the agencies believe that, in the initial years of a new program, 
                        <PRTPAGE P="57145"/>
                        additional flexibilities should be provided. The GHG standards and fuel consumption standards are first-time standards for these engines, so the possibility of significantly different baselines is not unexpected.
                        <SU>70</SU>
                        <FTREF/>
                         Moreover, the agencies do not believe that the alternative standard affords a relative competitive advantage to the higher emitting legacy engines: the same level of improvement at the same cost will be required of those tractor engines, and in addition, by 2017 MY, those tractor engines will be required to make the additional improvements to meet the same standards as other engines. We believe that the concern expressed by Navistar regarding the 2014 MY standards will be addressed by this alternative. The agencies also continue to believe the 2017 MY standards are achievable using the above approaches and, in the case of MHD and HHD engines installed in tractors, turbocompounding. While Navistar commented that the 2017 MY standard may be challenging, the agencies believe that since manufacturers which may need to use turbocompounding to meet the standards will not have to do so until 2017 MY, there will be sufficient lead time for all engine manufacturers to introduce this technology. Thus, the agencies are finalizing a regulatory alternative whereby a manufacturer, for an interim period of the 2014-2016 model years, would have the option to comply with a unique standard based on a three percent reduction from an individual engine's own 2011 model year baseline level. Our assessment is that this three percent reduction is appropriate given the potential for manufacturers to apply similar technology packages with similar cost to what we have estimated for the primary program. This is similar to EPA's approach in the light-duty rule for handling a certain subset of vehicles that were deemed unable to meet the generally-applicable GHG standards during the 2012-2015 time frame due to higher initial baseline conditions, and which therefore needed alternate standards in those model years.
                        <SU>71</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>70</SU>
                             
                            <E T="03">See</E>
                             75 FR at 74178.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>71</SU>
                             
                            <E T="03">See</E>
                             75 FR 25414-25419.
                        </P>
                    </FTNT>
                    <P>The agencies stress that this is a temporary and limited option being implemented to address diverse manufacturer needs associated with complying with this first phase of the regulations. As codified in 40 CFR 1036.620 and 49 CFR 535.5(d), this optional standard will be available only for the 2014 through 2016 model years, because we believe that manufacturers will have had ample opportunity to make appropriate changes to bring their product performance into line with the rest of the industry after that time. As proposed, the final rules require that manufacturers making use of these provisions for the optional standard would need to exhaust all credits available to this averaging set prior to using this flexibility and would not be able to generate emissions credits from other engines in the same regulatory averaging set as the engines complying using this alternate approach.</P>
                    <P>The agencies note again that manufacturers choosing to utilize this option in MYs 2014-2016 will have to make a greater relative improvement in MY 2017 than the rest of the industry, since they will be starting from a worse level—for compliance purposes, emissions from engines certified and sold at the three percent level will be averaged with emissions from engines certified and sold at more stringent levels to arrive at a weighted average emissions for all engines in the subcategory. Again, this option can only be taken if all other credit opportunities have been exhausted and the manufacturer still cannot meet the primary standards. If a manufacturer chooses this option to meet the EPA emission standards in the MY 2014-2016, and wants to opt into the NHTSA fuel consumption program in these same MYs it must follow the exact path followed under the EPA program utilizing equivalent fuel consumption standards. Since the NHTSA standards are optional in 2014, manufacturers may choose not to adopt either the alternative engine standard or the regular voluntary standard by not participating in the NHTSA program in 2014 and 2015.</P>
                    <P>
                        Some commenters argued that manufacturers could game the standard by establishing an artificially high 2011 baseline emission level. This could be done, for example, by certifying an engine with high fuel consumption and GHG emissions that is either: (1) Not sold in significant quantities; or (2) later altered to emit fewer GHGs and consume less fuel through service changes. In order to mitigate this possibility, the agencies are requiring that the 2011 model year baseline must be developed by averaging emissions over all engines in an engine family certified and sold for that model year so as to prevent a manufacturer from developing a single high GHG output engine solely for the purpose of establishing a high baseline. As an alternative, if a manufacturer does not certify all engine families in an averaging set to the alternate standards, then the tested configuration of the engine certified to the alternate standard must have the same engine displacement and its rated power within 5 percent of the highest rated power of the baseline tested configuration. In addition, the tested configuration of the engine certified to the alternate standard must be a configuration sold to customers. These three requirements will prevent a manufacturer from producing an engine with an artificially high power rating and therefore produce artificially low grams of CO
                        <E T="52">2</E>
                         emissions and fuel consumption per brake horsepower. In addition, the tested configurations must have a BSFC equivalent to or better than all other configurations within the engine family which will prevent a manufacturer from creating a baseline configuration with artificially high CO
                        <E T="52">2</E>
                         emissions and fuel consumption.
                    </P>
                    <HD SOURCE="HD3">(c) In-Use Standards</HD>
                    <P>Section 202(a)(1) of the CAA specifies that EPA is to adopt emissions standards that are applicable for the useful life of the vehicle. The in-use standards that EPA is finalizing would apply to individual vehicles and engines. NHTSA is adopting an approach which does not include in-use standards.</P>
                    <P>EPA proposed that the in-use standards for heavy-duty engines installed in tractors be established by adding an adjustment factor to the full useful life emissions and fuel consumption results projected in the EPA certification process to address measurement variability inherent in comparing results among different laboratories and different engines. The agency proposed a two percent adjustment factor and requested comments and additional data during the proposal to assist in developing an appropriate factor level. The agency received additional data during the comment period which identified production variability which was not accounted for at proposal. Details on the development of the final adjustment factor are included in RIA Chapter 3. Based on the data received, EPA determined that the adjustment factor in the final rules should be higher than the proposed level of two percent. EPA is finalizing a three percent adjustment factor for the in-use standard to provide a reasonable margin for production and test-to-test variability that could result in differences between the initial emission test results and emission results obtained during subsequent in-use testing.</P>
                    <P>
                        We are finalizing regulatory text (in § 1036.150) to allow engine manufacturers to used assigned 
                        <PRTPAGE P="57146"/>
                        deterioration factors (DFs) without performing their own durability emission tests or engineering analysis. However, the engines would still be required to meet the standards in actual use without regard to whether the manufacturer used the assigned DFs. This allowance is being adopted as an interim provision applicable only for this initial phase of standards.
                    </P>
                    <P>
                        Manufacturers will be allowed to use an assigned additive DF of 0.0 g/bhp-hr for CO
                        <E T="52">2</E>
                         emissions from any conventional engine (
                        <E T="03">i.e.,</E>
                         an engine not including advance or innovative technologies). Upon request, we could allow the assigned DF for CO
                        <E T="52">2</E>
                         emissions from engines including advance or innovative technologies, but only if we determine that it would be consistent with good engineering judgment. We believe that we have enough information about in-use CO
                        <E T="52">2</E>
                         emissions from conventional engines to conclude that they will not increase as the engines age. However, we lack such information about the more advanced technologies.
                    </P>
                    <P>
                        EPA is also finalizing the proposed provisions requiring that the useful life for these engine and vehicles with respect to GHG emissions be set equal to the respective useful life periods for criteria pollutants. EPA is adopting provisions where the existing engine useful life periods, as included in Table II-6, be broadened to include CO
                        <E T="52">2</E>
                         emissions for both engines (
                        <E T="03">See</E>
                         40 CFR 1036.108(d)) and tractors (
                        <E T="03">See</E>
                         40 CFR 1037.105).
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,8,8">
                        <TTITLE>Table II-6—Tractor and Engine Useful Life Periods</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Years</CHED>
                            <CHED H="1">Miles</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Medium Heavy-Duty Diesel Engines</ENT>
                            <ENT>10</ENT>
                            <ENT>185,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Heavy Heavy-Duty Diesel Engines</ENT>
                            <ENT>10</ENT>
                            <ENT>435,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 7 Tractors</ENT>
                            <ENT>10</ENT>
                            <ENT>185,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 8 Tractors</ENT>
                            <ENT>10</ENT>
                            <ENT>435,000</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(3) Test Procedures and Related Issues</HD>
                    <P>
                        The agencies are finalizing a complete set of test procedures to evaluate fuel consumption and CO
                        <E T="52">2</E>
                         emissions from Class 7 and 8 tractors and the engines installed in them. Consistent with the proposal, the test procedures related to the tractors are all new, while the engine test procedures already established were built substantially on EPA's current non-GHG emissions test procedures, except as noted. This section discusses the final simulation model developed for demonstrating compliance with the tractor standard and the final engine test procedures.
                    </P>
                    <HD SOURCE="HD3">(a) Vehicle Simulation Model</HD>
                    <P>We are finalizing as proposed separate engine and vehicle-based emission standards to achieve the goal of reducing emissions and fuel consumption for both combination tractors and engines. Engine manufacturers are subject to the engine standards while the Class 7 and 8 tractor manufacturers are required to install certified engines in their tractors. The tractor manufacturer is also subject to a separate vehicle-based standard which utilizes a vehicle simulation model to evaluate the impact of the tractor cab design to determine compliance with the tractor standard.</P>
                    <P>A simulation model, in general, uses various inputs to characterize a vehicle's properties (such as weight, aerodynamics, and rolling resistance) and predicts how the vehicle would behave on the road when it follows a driving cycle (vehicle speed versus time). On a second-by-second basis, the model determines how much engine power needs to be generated for the vehicle to follow the driving cycle as closely as possible. The engine power is then transmitted to the wheels through transmission, driveline, and axles to move the vehicle according to the driving cycle. The second-by-second fuel consumption of the vehicle, which corresponds to the engine power demand to move the vehicle, is then calculated according to a fuel consumption map in the model. Similar to a chassis dynamometer test, the second-by-second fuel consumption is aggregated over the complete drive cycle to determine the fuel consumption of the vehicle.</P>
                    <P>
                        Consistent with the proposal, NHTSA and EPA are finalizing a procedure to evaluate fuel consumption and CO
                        <E T="52">2</E>
                         emissions respectively through a simulation of whole-vehicle operation, consistent with the NAS recommendation to use a truck model to evaluate truck performance.
                        <SU>72</SU>
                        <FTREF/>
                         The EPA developed the Greenhouse gas Emissions Model (GEM) for the specific purpose of this rulemaking to evaluate truck performance. The GEM is similar in concept to a number of vehicle simulation tools developed by commercial and government entities. The model developed by the EPA and finalized here was designed for the express purpose of vehicle compliance demonstration and is therefore simpler and less configurable than similar commercial products. This approach gives a compact and quicker tool for vehicle compliance without the overhead and costs of a more sophisticated model. Details of the model are included in Chapter 4 of the RIA. The agencies are aware of several other simulation tools developed by universities and private companies. Tools such as Argonne National Laboratory's Autonomie, Gamma Technologies' GT-Drive, AVL's CRUISE, Ricardo's VSIM, Dassault's DYMOLA, and University of Michigan's HE-VESIM codes are publicly available. In addition, manufacturers of engines, vehicles, and trucks often have their own in-house simulation tools. The agencies sought comments regarding other software packages which would better serve the compliance purposes of the rules than the GEM, but did not receive any recommendations.
                    </P>
                    <FTNT>
                        <P>
                            <SU>72</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report. Note 21, Recommendation 8-4. Page 190.
                        </P>
                    </FTNT>
                    <P>
                        The GEM is designed to focus on the inputs most closely associated with fuel consumption and CO
                        <E T="52">2</E>
                         emissions—
                        <E T="03">i.e.,</E>
                         on those which have the largest impacts such as aerodynamics, rolling resistance, weight, and others.
                    </P>
                    <P>
                        EPA has validated the GEM based on the chassis test results from two combination tractors tested at Southwest Research Institute. The validation work conducted on this vehicle was representative of the other Class 7 and 8 tractors. Many aspects of one tractor configuration (such as the engine, transmission, axle configuration, tire sizes, and control systems) are similar to those used on the manufacturer's sister models. For example, the powertrain configuration of a sleeper cab with any roof height is similar to the one used on a day cab with any roof height. Overall, the GEM predicted the fuel consumption and CO
                        <E T="52">2</E>
                         emissions within 2 percent of the chassis test procedure results for three test cycles—the California ARB Transient cycle, 65 mph cruise cycle, and 55 mph cruise cycle. These cycles are the ones the agencies are utilizing in compliance testing. Since the time of the proposal, the EPA also conducted a validation of the GEM relative to a commonly used vehicle simulation software, GT-Power. The results of this validation found that the two software programs predicted the fuel efficiency of each subcategory of tractor to be within 2 percent. Test to test variation for heavy-duty vehicle chassis testing can be higher than 4 percent due to driver variation alone. The final simulation model is described in greater detail in Chapter 4 of the RIA and is available for download by at (
                        <E T="03">http://www.epa.gov/otaq/climate/regulations.htm</E>
                        ).
                    </P>
                    <P>
                        After proposal, the agencies conducted a peer review of GEM version 1.0 which was proposed. In addition, we requested comment on all aspects of 
                        <PRTPAGE P="57147"/>
                        this approach to compliance determination in general and to the use of the GEM in particular. The agencies received comments from stakeholders and made changes for the release of GEM v2.0 to address concerns raised in the comments, along with the comments received during the peer review process. The most noticeable changes to the GEM include improvements to the graphical user interface (GUI). In response to comments, the agencies have reduced the amount of information required in the Identification section; linked the inputs to the selected subcategory while graying-out the items that are not applicable to the subcategory; and added batch modeling capability to reduce the compliance burden to manufacturers. In addition, substantial work went into model validations and benchmarking against vehicle test data and other commonly used vehicle simulation models.
                    </P>
                    <P>The model also includes a new driver model, a simplified electric system model, and revised engine fuel maps to better reflect the 2017 model year engine standards. The model in the final rulemaking uses the targeted vehicle driving speed to estimate vehicle torque demand at any given time, and then the power required to drive the vehicle is derived to estimate the required accelerator and braking pedal positions. If the driver misses the vehicle speed target, a speed correction logic controlled by a PID controller is applied to adjust necessary accelerator and braking pedal positions in order to match targeted vehicle speed at every simulation time step. The enhanced driver model used in the final rulemaking with its feed-forward driver controls more realistically models driving behavior. The GEM v1.0, the proposed version of the model, had four individual components to model the electric system—starter, electrical energy system, alternator, and electrical accessory. For the final rulemaking, the GEM v2.0 has a single electric system model with a constant power consumption level. Based on comments received, the agencies revisited the 2017 model year proposed fuel maps, specifically the low load area, which was extrapolated during the proposal and (incorrectly) generated negative improvements. The agencies redeveloped the fuel maps for the final rulemaking to better predict the fuel consumption of engines in this area of the fuel consumption map. Details of the changes are included in RIA Chapter 4.</P>
                    <P>
                        To demonstrate compliance, a Class 7 and 8 tractor manufacturer will measure the performance of specified tractor systems (such as aerodynamics and tire rolling resistance), input the values into the GEM, and compare the model's output to the standard. The rules require that a tractor manufacturer provide the inputs for each of following factors for each of the tractors it wishes to certify under CO
                        <E T="52">2</E>
                         standards and for establishing fuel consumption values: Coefficient of Drag, Tire Rolling Resistance Coefficient, Weight Reduction, Vehicle Speed Limiter, and Extended Idle Reduction Technology. These are the technologies on which the agencies' own feasibility analysis for these vehicles is predicated. An example of the GEM input screen is included in Figure II-1.
                    </P>
                    <GPH SPAN="3" DEEP="333">
                        <GID>ER15SE11.001</GID>
                    </GPH>
                    <P>
                        For the aerodynamic assessment, tire rolling resistance, and tractor weight reduction, the input values for the simulation model will be determined by the manufacturer through conducting tests using the test procedures finalized 
                        <PRTPAGE P="57148"/>
                        by the agencies in this action and described below. The agencies are allowing several testing alternatives for aerodynamic assessment referenced back to a coastdown test procedure, a single procedure for determination of the coefficient of rolling resistance (CRR) for tires, and a prescribed method to determine tractor weight reduction. The agencies have finalized defined model inputs for determining vehicle speed limiter and extended idle reduction technology benefits. The other aspects of vehicle performance are fixed within the model as defined by the agencies and are not varied for the purpose of compliance.
                    </P>
                    <HD SOURCE="HD3">(b) Metric</HD>
                    <P>
                        Test metrics which are quantifiable and meaningful are critical for a regulatory program. The CO
                        <E T="52">2</E>
                         and fuel consumption metric should reflect what we wish to control (CO
                        <E T="52">2</E>
                         or fuel consumption) relative to the clearest value of its use: in this case, carrying freight. It should encourage efficiency improvements that will lead to reductions in emissions and fuel consumption during real world operation. The agencies are finalizing standards for Class 7 and 8 combination tractors that would be expressed in terms of moving a ton (2,000 pounds) of freight over one mile. Thus, NHTSA's final fuel consumption standards for these trucks would be represented as gallons of fuel used to move one ton of freight 1,000 miles, or gal/1,000 ton-mile. EPA's final CO
                        <E T="52">2</E>
                         vehicle standards would be represented as grams of CO
                        <E T="52">2</E>
                         per ton-mile. The model converts CO
                        <E T="52">2</E>
                         emissions to fuel consumption using the CO
                        <E T="52">2</E>
                         grams per ton mile estimated by GEM and an assumed 10,180 grams of CO
                        <E T="52">2</E>
                         per gallon of diesel fuel.
                    </P>
                    <P>
                        This approach tracks the recommendations of the NAS report. The NAS panel concluded, in their report, that a load-specific fuel consumption metric is appropriate for HD trucks. The panel spent considerable time explaining the advantages of and recommending a load-specific fuel consumption approach to regulating the fuel efficiency of heavy-duty trucks. 
                        <E T="03">See</E>
                         NAS Report pages 20 through 28. The panel first points out that the nonlinear relationship between fuel economy and fuel consumption has led consumers of light-duty vehicles to have difficulty in judging the benefits of replacing the most inefficient vehicles. The panel describes an example where a light-duty vehicle can save the same 107 gallons per year (assuming 12,000 miles travelled per year) by improving one vehicle's fuel efficiency from 14 to 16 mpg or improving another vehicle's fuel efficiency from 35 to 50.8 mpg. The use of miles per gallon leads consumers to undervalue the importance of small mpg improvements in vehicles with lower fuel economy. Therefore, the NAS panel recommends the use of a fuel consumption metric over a fuel economy metric. The panel also describes the primary purpose of most heavy-duty vehicles as moving freight or passengers (the payload). Therefore, they concluded that the most appropriate way to represent an attribute-based fuel consumption metric is to normalize the fuel consumption to the payload.
                    </P>
                    <P>
                        With the approach to compliance NHTSA and EPA are adopting, a default payload is specified for each of the tractor categories suggesting that a gram per mile metric with a specified payload and a gram per ton-mile metric would be effectively equivalent. The primary difference between the metrics and approaches relates to our treatment of mass reductions as a means to reduce fuel consumption and greenhouse gas emissions. In the case of a gram per mile metric, mass reductions are reflected only in the calculation of the work necessary to move the vehicle mass through the drive cycle. As such it directly reduces the gram emissions in the numerator since a vehicle with less mass will require less energy to move through the drive cycle leading to lower CO
                        <E T="52">2</E>
                         emissions. In the case of Class 7 and 8 tractors and our gram/ton-mile metric, reductions in mass are reflected both in less mass moved through the drive cycle (the numerator) and greater payload (the denominator). We adjust the payload based on vehicle mass reductions because we estimate that approximately one third of the time the amount of freight loaded in a trailer is limited not by volume in the trailer but by the total gross vehicle weight rating of the tractor. By reducing the mass of the tractor the mass of the freight loaded in the vehicle can go up. Based on this general approach, it can be estimated that for every 1,200 pounds in mass reduction across all Class 7 and 8 tractors on the road, that total vehicle miles traveled, and therefore trucks on the road, could be reduced by one percent. Without the use of a per ton-mile metric it would not be clear or straightforward for the agencies to reflect the benefits of mass reduction from large freight carrying vehicles that are often limited in the freight they carry by the gross vehicle weight rating of the vehicle. There was strong consensus in the public comments for adopting the proposed metrics for tractors.
                    </P>
                    <HD SOURCE="HD3">(c) Vehicle Aerodynamic Assessment</HD>
                    <P>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 NPRM, 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. 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.</P>
                    <P>Consistent with our discussion at proposal, we believe a broad approach allowing manufacturers to use these multiple different test procedures to demonstrate aerodynamic performance of its tractor fleet is appropriate 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.</P>
                    <P>The agencies are retaining an aerodynamic bin structure for the final rulemaking, but are adjusting the method used to determine the bins. To address the consistency and level playing field concerns, NHTSA and EPA proposed that manufacturers use a two-part screening approach for determining the aerodynamic inputs to the GEM. The first part would have required the manufacturers to assign each vehicle aerodynamic configuration based on descriptions of vehicle characteristics to one of five aerodynamics bins created by EPA and NHTSA. The proposed assignment by bin would have fixed (by rule) the aerodynamic characteristics of the vehicle. However, the agencies, while working with industry, concluded for the final rulemaking that an approach which identified a reference aerodynamic test method and a procedure to align results from other aerodynamic test procedures with the reference method is a simpler, more accurate approach than deciphering and interpreting written descriptions of aerodynamic components.</P>
                    <P>
                        Therefore, we are finalizing an approach, as described in Section V.B.3.d and § 1037.501, which uses an 
                        <PRTPAGE P="57149"/>
                        enhanced coastdown procedure as a reference method and defines a process for manufacturers to align drag results from each of their own test methods to the reference method results. 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. The results from the aerodynamic testing will be the single determining factor for aerodynamic bin assignments.
                    </P>
                    <P>
                        EPA and NHTSA recognize that wind conditions, most notably wind direction, have a greater impact on real world CO
                        <E T="52">2</E>
                         emissions and fuel consumption of heavy-duty trucks than of light-duty vehicles. As noted in the NAS report,
                        <SU>73</SU>
                        <FTREF/>
                         the wind average drag coefficient is about 15 percent higher than the zero degree coefficient of drag. In addition, the agencies received comments that supported the use of wind averaged drag results for the aerodynamic determination. The agencies considered finalizing the use of a wind averaged drag coefficient in this regulatory program, but ultimately decided to finalize drag values which represent zero yaw (
                        <E T="03">i.e.</E>
                        , representing wind from directly in front of the vehicle, not from the side) instead. We are taking this approach recognizing that the reference method is coastdown testing which is not capable of determining wind averaged yaw. Wind tunnels are currently the only tool which can accurately assess the influence of wind speed and direction on a vehicle's aerodynamic performance. The agencies recognize, as NAS did, that the results of using the zero yaw approach may result in fuel consumption predictions that are offset slightly from real world performance levels, not unlike the offset we see today between fuel economy test results in the CAFE program and actual fuel economy performance observed in-use. We believe this approach will not impact overall technology effectiveness or change the kinds of technology decisions made by the tractor manufacturers in developing equipment to meet our final standards. However, the agencies are adopting provisions which allow manufacturers to generate credits reflecting performance of technologies which improve the aerodynamic performance in crosswind conditions, similar to those experienced by vehicles in use through innovative technologies, as described in Section IV.
                    </P>
                    <FTNT>
                        <P>
                            <SU>73</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 21, Finding 2-4 on page 39.
                        </P>
                    </FTNT>
                    <P>As just noted, the agencies are adopting an approach for this final action where the manufacturer would determine a tractor's aerodynamic drag force using their own aerodynamic assessment tools and correlating the results back to the reference aerodynamic test method of enhanced coastdown testing. The manufacturer determines the appropriate predefined aerodynamic bin based on the correlated test results and then inputs the predefined Cd value for that aerodynamic bin into the GEM. Coefficient of drag and frontal area of the tractor-trailer combination go hand-in-hand to determine the force required to overcome aerodynamic drag. The agencies proposed that the Cd value would be a GEM input derived by the manufacturer and that the agencies would specify the vehicle's frontal area for each regulatory subcategory. The agencies sought and received comment recommending an alternate approach where the aerodynamic input tables (as shown in Table 0-7 and Table 0-8) represent the drag force as defined as Cd multiplied by the frontal area. Because both approaches are essentially equivalent and the use of CdA more directly relates back to the aerodynamic testing, the agencies are finalizing the use of CdA as recommended by manufacturers.</P>
                    <P>
                        The agencies are finalizing aerodynamic technology bins which divide the wide spectrum of tractor aerodynamics into five bins (
                        <E T="03">i.e.,</E>
                         categories) for high roof tractors. The first high roof category, Bin I, is designed to represent tractor bodies which prioritize appearance or special duty capabilities over aerodynamics. These Bin I trucks incorporate few, if any, aerodynamic features and may have several features which detract from aerodynamics, such as bug deflectors, custom sunshades, B-pillar 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 which 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 which 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.
                    </P>
                    <P>
                        The agencies had proposed five aerodynamic bins for each tractor regulatory subcategory. The agencies received comments from ATA, EMA/TMA, and Volvo indicating that this approach was not consistent with the aerodynamics of low and mid roof tractors. High roof tractors are consistently paired with box trailer designs, and therefore manufacturers can design the tractor aerodynamics as a tractor-trailer unit and target specific areas like the gap between the tractor and trailer. In addition, the high roof tractors tend to spend more time at high speed operation which increases the impact of aerodynamics on fuel consumption and GHG emissions. On the other hand, low and mid roof tractors are designed to pull variable trailer loads and shapes. They may pull trailers such as flat bed, low boy, tankers, or bulk carriers. The loads on flat bed trailers can range from rectangular cartons with tarps, to a single roll of steel, to a front loader. Due to these variables, manufacturers do not design unique low and mid roof tractor aerodynamics but instead use derivatives from their high roof tractor designs. The aerodynamic improvements to the bumper, hood, windshield, mirrors, and doors are developed for the high roof tractor application and then carried over into the low and mid roof applications. As mentioned above, the types of designs that would move high roof tractors from a Bin III to Bins IV and V include features such as gap reducers and integral roof fairings which would not be appropriate on low and mid roof tractors. The agencies considered and largely agree with these comments and are therefore finalizing only two aerodynamic bins for low and mid roof tractors. The agencies are reducing the number of bins to reflect the actual range of aerodynamic technologies effective in low and mid roof tractor applications. Thus, the agencies are differentiating the aerodynamic performance for low and mid roof applications into two bins—conventional and aerodynamic.
                        <SU>74</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>74</SU>
                             As explained in Section IV, there are no ABT implications to this change from proposal, since all 
                            <PRTPAGE/>
                            Class 8 combination tractors are considered to be a single averaging set for ABT purposes. Similarly, all Class 7 tractors are considered to be a single averaging set for ABT purposes.
                        </P>
                    </FTNT>
                    <PRTPAGE P="57150"/>
                    <P>For high roof combination tractor compliance determination, a manufacturer would use the aerodynamic results determined through testing to establish the appropriate bin. The manufacturer would then input into GEM the Cd value specified for each bin as defined in Table II-7 and Table II-8. For example, if a manufacturer tests a Class 8 sleeper cab high roof tractor and the test produces a CdA value between 5.8 and 6.6, the manufacturer would assign this tractor to the Class 8 Sleeper Cab High Roof Bin III. The manufacturer would then use the Cd value identified for Bin III of 0.60 as the input to GEM.</P>
                    <P>The Cd values in Table II-7 and Table II-8 differ from proposal based on a change in the reference method (enhanced coastdown procedure) and additional testing conducted by EPA. Details of the test program and results are included in RIA Chapter 2.5.1.4.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,10,10,10">
                        <TTITLE>Table II-7—Aerodynamic Input Definitions to GEM for High Roof Tractors</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Class 7</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="1">Class 8</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="2">Sleeper cab</CHED>
                            <CHED H="3">High roof&gt;</CHED>
                        </BOXHD>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Aerodynamic Test Results (CdA in m
                                    <SU>2</SU>
                                    )
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Bin I</ENT>
                            <ENT>≥ 8.0</ENT>
                            <ENT>≥ 8.0</ENT>
                            <ENT>≥ 7.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin II</ENT>
                            <ENT>7.1-7.9</ENT>
                            <ENT>7.1-7.9</ENT>
                            <ENT>6.7-7.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin III</ENT>
                            <ENT>6.2-7.0</ENT>
                            <ENT>6.2-7.0</ENT>
                            <ENT>5.8-6.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin IV</ENT>
                            <ENT>5.6-6.1</ENT>
                            <ENT>5.6-6.1</ENT>
                            <ENT>5.2-5.7</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Bin V</ENT>
                            <ENT>≤ 5.5</ENT>
                            <ENT>≤ 5.5</ENT>
                            <ENT>≤ 5.1</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                <E T="02">Aerodynamic Input to GEM (Cd)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Bin I</ENT>
                            <ENT>0.79</ENT>
                            <ENT>0.79</ENT>
                            <ENT>0.75</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin II</ENT>
                            <ENT>0.72</ENT>
                            <ENT>0.72</ENT>
                            <ENT>0.68</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin III</ENT>
                            <ENT>0.63</ENT>
                            <ENT>0.63</ENT>
                            <ENT>0.60</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin IV</ENT>
                            <ENT>0.56</ENT>
                            <ENT>0.56</ENT>
                            <ENT>0.52</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin V</ENT>
                            <ENT>0.51</ENT>
                            <ENT>0.51</ENT>
                            <ENT>0.47</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>The CdA values in Table II-8 are based on testing using the enhanced coastdown test procedures adopted for the final rulemaking, which includes aerodynamic assessment of the low and mid roof tractors without a trailer. The removal of the trailer significantly reduces the CdA value of mid roof tractors with tanker trailers because of the poor aerodynamic performance of the tanker trailer. The agencies developed the Cd input for each of the low and mid roof tractor bins to represent the Cd of the tractor, its frontal area, and the impact of the Cd value due to the trailer such that the GEM value is representative of a tractor-trailer combination, as it is for the high roof tractors.</P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,10,10,10,10,10,10">
                        <TTITLE>Table II-8—Aerodynamic Input Definitions to GEM for Low and Mid Roof Tractors </TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Class 7 </CHED>
                            <CHED H="2">  </CHED>
                            <CHED H="2">Day Cab </CHED>
                            <CHED H="3">  </CHED>
                            <CHED H="3">Low Roof </CHED>
                            <CHED H="3">Mid Roof </CHED>
                            <CHED H="1">Class 8 </CHED>
                            <CHED H="2">Day Cab </CHED>
                            <CHED H="3">Low Roof </CHED>
                            <CHED H="3">Mid Roof </CHED>
                            <CHED H="2">Sleeper Cab </CHED>
                            <CHED H="3">Low Roof </CHED>
                            <CHED H="3">Mid Roof </CHED>
                        </BOXHD>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Aerodynamic Test Results (CdA in m
                                    <SU>2</SU>
                                    )
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Bin I</ENT>
                            <ENT>≥ 5.1</ENT>
                            <ENT>≥ 5.6</ENT>
                            <ENT>≥ 5.1</ENT>
                            <ENT>≥ 5.6</ENT>
                            <ENT>≥ 5.1</ENT>
                            <ENT>≥ 5.6 </ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Bin II</ENT>
                            <ENT>≤ 5.0</ENT>
                            <ENT>≤ 5.5</ENT>
                            <ENT>≤ 5.0</ENT>
                            <ENT>≤ 5.5</ENT>
                            <ENT>≤ 5.0</ENT>
                            <ENT>≤ 5.5 </ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">Aerodynamic Input to GEM (Cd)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Bin I</ENT>
                            <ENT>0.77</ENT>
                            <ENT>0.87</ENT>
                            <ENT>0.77</ENT>
                            <ENT>0.87</ENT>
                            <ENT>0.77</ENT>
                            <ENT>0.87 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin II</ENT>
                            <ENT>0.71</ENT>
                            <ENT>0.82</ENT>
                            <ENT>0.71</ENT>
                            <ENT>0.82</ENT>
                            <ENT>0.71</ENT>
                            <ENT>0.82 </ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(d) Tire Rolling Resistance Assessment</HD>
                    <P>
                        NHTSA and EPA are finalizing as proposed that the tractor's tire rolling resistance input to the GEM be determined by either the tire manufacturer or tractor manufacturer using the test method adopted by the International Organization for Standardization, ISO 28580:2009.
                        <SU>75</SU>
                        <FTREF/>
                         The agencies believe the ISO test procedure is appropriate for this program because the procedure is the same one used by NHTSA in its fuel efficiency tire labeling program 
                        <SU>76</SU>
                        <FTREF/>
                         and is consistent with the testing direction being taken by 
                        <PRTPAGE P="57151"/>
                        the tire industry both in the United States and Europe. The rolling resistance from this test would be used to specify the rolling resistance of each tire on the steer and drive axle of the tractor. The results would be expressed as a rolling resistance coefficient (CRR) and measured as kilogram per metric ton (kg/metric ton). The agencies are finalizing as proposed that three tire samples within each tire model be tested three times each to account for some of the production variability and the average of the nine tests would be the rolling resistance coefficient for the tire. The GEM will use the steer and drive tire rolling resistance inputs and distribute 15 percent of the gross weight of the tractor and trailer to the steer axle, 42.5 percent to the drive axles, and 42.5 percent to the trailer axles.
                        <SU>77</SU>
                        <FTREF/>
                         The trailer tires' rolling resistance is prescribed by the agencies as part of the standardized trailer used for demonstrating compliance at 6 kg/metric ton, which was the average trailer tire rolling resistance measured during the SmartWay tire testing.
                        <SU>78</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>75</SU>
                             ISO, 2009, Passenger Car, Truck, and Bus Tyres—Methods of Measuring Rolling Resistance—Single Point Test and Correlation of Measurement Results: ISO 28580:2009(E), First Edition, 2009-07-01
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>76</SU>
                             NHTSA, 2009. “NHTSA Tire Fuel Efficiency Consumer Information Program Development: Phase 1—Evaluation of Laboratory Test Protocols.” DOT HS 811 119. June. (
                            <E T="03">http://www.regulations.gov,</E>
                             Docket ID: NHTSA-2008-0121-0019).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>77</SU>
                             This distribution is equivalent to the federal over-axle weight limits for an 80,000 GVWR 5-axle tractor-trailer: 12,000 pounds over the steer axle, 34,000 pounds over the tandem drive axles (17,000 pounds per axle) and 34,000 pounds over the tandem trailer axles (17,000 pounds per axle).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>78</SU>
                             U.S. Environmental Protection Agency. 
                            <E T="03">SmartWay Transport Partnership July 2010 e-update</E>
                             accessed July 16, 2010, from 
                            <E T="03">http://www.epa.gov/smartwaylogistics/newsroom/documents/e-update-july-10.pdf.</E>
                        </P>
                    </FTNT>
                    <P>EPA and NHTSA conducted additional evaluation testing on HD trucks tires used for tractors, and also for vocational vehicles. The agencies also received several comments on the suitability of low rolling resistance tires for various HD vehicle applications. The summary of the agencies' findings and a response to issues raised by commenters is presented in Section II.D(1)(a).</P>
                    <HD SOURCE="HD3">(e) Weight Reduction Assessment</HD>
                    <P>
                        The agencies proposed that the tractor standards reflect improved CO
                        <E T="52">2</E>
                         emissions and fuel consumption performance of a 400 pound weight reduction in Class 7 and 8 tractors through the substitution of single wide tires and light-weight wheels for dual tires and steel wheels. This approach was taken since there is a large variation in the baseline weight among trucks that perform roughly similar functions with roughly similar configurations. Because of this, the only effective way to quantify the exact CO
                        <E T="52">2</E>
                         and fuel consumption benefit of mass reduction using GEM is to estimate baseline weights for specific components that can be replaced with light weight components. If the weight reduction is specified for light weight versions of specific components, then both the baseline and weight differentials for these are readily quantifiable and well-understood. Lightweight wheels are commercially available as are single wide tires and thus data on the weight reductions attributable to these two approaches are readily available.
                    </P>
                    <P>
                        The agencies received comments on this approach from Volvo, ATA, MEMA, Navistar, American Chemistry Council, the Auto Policy Center, Iron and Steel Institute, Arvin Meritor, Aluminum Association, and environmental groups and NGOs. Volvo and ATA stated that not all fleets can use single wide tires and if this is the case the 400 pound weight reduction target cannot be met. Volvo stated that without the use of single wide drive tires, a 6x4 tractor will have a maximum weight reduction of 300 pounds if the customer selects all ten wheels to be outfitted with light weight aluminum wheels. A number of additional commenters—including American Chemistry Council, The Auto Policy Center, Iron and Steel Institute, Aluminum Association, Arvin Meritor, MEMA, Navistar, Volvo, and environmental and nonprofit groups—stated that manufacturers should be allowed to use additional light weight components in order to meet the tractor fuel consumption and CO
                        <E T="52">2</E>
                         emissions standards. These groups stated that weight reductions should not be limited to wheels and tires. They asked that cab doors, cab sides and backs, cab underbodies, frame rails, cross members, clutch housings, transmission cases, axle differential carrier cases, brake drums, and other components be allowed to be replaced with light-weight versions. Materials suggested for substitution included aluminum, light-weight aluminum, high strength steel, and plastic composites. The American Iron and Steel Institute stated there are opportunities to reduce mass by replacing mild steel—which currently dominates the heavy-duty industry—with high strength steel.
                    </P>
                    <P>In addition, The American Auto Policy Center asked that manufacturers be allowed to use materials other than aluminum and high strength steel to comply with the regulations. DTNA asked that weight reduction due to engine downsizing be allowed to receive credit. Volvo requested that weight reductions due to changes in axle configuration be credited. They used the example of a customer selecting a 4 X 2 over a 6 X 4 axle tractor. In this case, they assert there would be a 1,000 pound weight savings from removing an axle.</P>
                    <P>
                        As proposed, many of the material substitutions could have been considered as innovative technologies for tractors and hence eligible for off cycle credits (so that the commenters overstated that these technologies were `disallowed'). Nonetheless in response to the above summarized comments, the agencies evaluated whether additional materials and components could be used directly for compliance with the tractor weight reduction through the primary program (
                        <E T="03">i.e.</E>
                         be available as direct inputs to the GEM). The agencies reviewed comments and data received in response to the NPRM and additional studies cited by commenters. A summary of this review is provided in the following paragraphs.
                    </P>
                    <P>
                        TIAX, in their report to the NAS, cited information from Alcoa identifying several mass reduction opportunities from material substitution in the tractor cab components which were similar to the ones identified by the Aluminum Association in their comments to this rulemaking.
                        <SU>79</SU>
                        <FTREF/>
                         TIAX included studies submitted by Alcoa showing the potential to reduce the weight of a tractor-trailer combination by 3,500 to 4,500 pounds.
                        <SU>80</SU>
                        <FTREF/>
                         In addition, the U.S. Department of Energy has several projects underway to improve the freight efficiency of Class 8 trucks which provide relevant data: 
                        <SU>81</SU>
                        <FTREF/>
                         DOE reviewed prospective lightweighting alternative materials and found that aluminum has a potential to reduce mass by 40 to 60 percent, which is in line with the estimates of mass reductions of various components provided by Alcoa, and by the Aluminum Association in their comments and as cited in the TIAX report. These combined studies, comments, and additional data provided information on specific components that could be replaced with aluminum components.
                    </P>
                    <FTNT>
                        <P>
                            <SU>79</SU>
                             TIAX, LLC. “Assessment of Fuel Economy Technologies for Medium- and Heavy-Duty Vehicles,” Final Report to National Academy of Sciences, November 19, 2009. Pages 4-62 through 4-64.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>80</SU>
                             Alcoa. “Improving Sustainability of Transport: Aluminum is Part of the Solution.” 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>81</SU>
                             Schutte, Carol. U.S. Department of Energy, Vehicle Technologies Program. “Losing Weight—an enabler for a Systems Level Technology Development, Integration, and Demonstration for Efficient Class 8 Trucks (SuperTruck) and Advanced Technology Powertrains for Light-Duty Vehicles.”
                        </P>
                    </FTNT>
                    <P>
                        With regard to high strength steel, the Iron and Steel Institute found that the use of high strength steel and redesign can reduce the weight of light-duty trucks by 25 percent.
                        <SU>82</SU>
                        <FTREF/>
                         Approximately 
                        <PRTPAGE P="57152"/>
                        10 percent of this reduction results from material substitution and 15 percent from vehicle re-design. While this study evaluated light-duty trucks, the agencies believe that a similar reduction could be achieved in heavy-duty trucks since the reductions from material substitution would likely be similar in heavy-trucks as in light-trucks. U.S. DOE, in the report noted above, identified opportunities to reduce mass by 10 percent through high strength steel.
                        <SU>83</SU>
                        <FTREF/>
                         This study was also for light-duty vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>82</SU>
                             American Iron and Steel Institute. “A Cost Benefit Analysis Report to the North American 
                            <PRTPAGE/>
                            Steel Industry on Improved Materials and Powertrain Architectures for 21st Century Trucks.”
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>83</SU>
                             Schutte, Carol. U.S. Department of Energy, Vehicle Technologies Program. “Losing Weight—an enabler for a Systems Level Technology Development, Integration, and Demonstration for Efficient Class 8 Trucks (SuperTruck) and Advanced Technology Powertrains for Light-Duty Vehicles”.
                        </P>
                    </FTNT>
                    <P>The agencies considered other materials such as plastic composites and magnesium substitutes but were not able to obtain weights for specific components made from these materials. We have therefore not included components made from these materials as possible substitutes in the primary program, but they may be considered through the innovative technology/off-cycle credits provision. We may consider including these materials as part of the primary compliance option in a subsequent regulation if data become available.</P>
                    <P>Based on this analysis, the agencies developed an expanded list of weight reduction opportunities for the final rulemaking that may be reflected in the GEM, as listed in Table II-9. The list includes additional components, but not materials, from those proposed. For high strength steel, the weight reduction value is equal to 10 percent of the presumed baseline component weight, as the agencies used a conservative value based on the DOE report. We recognize that there may be additional potential for weight reduction in new high strength steel components which combine the reduction due to the material substitution along with improvements in redesign, as evidenced by the studies done for light-duty vehicles. In the development of the high strength steel component weights, we are only assuming a reduction from material substitution and no weight reduction from redesign, since we do not have any data specific to redesign of heavy-duty components nor do we have a regulatory mechanism to differentiate between material substitution and improved design. We are finalizing for wheels that both aluminum and light weight aluminum are eligible to be used as light-weight materials. Aluminum, but not light-weight aluminum, can be used as a light-weight material for other components. The reason for this is that data were available for light weight aluminum for wheels but were not available for other components.</P>
                    <P>
                        The agencies received comments on the proposal from the American Chemistry Council highlighting the role of plastics and composites in heavy-duty vehicles. As they stated, composites can be low density while having high strength and are currently used in applications such as oil pans and buses. The DOE mass reduction program demonstrated for heavy vehicles proof of concept designs for hybrid composite doors with an overall mass savings of 40 percent; 30 percent mass reduction of a hood system with carbon fiber sheet molding compound; 50 percent mass reduction from composite tie rods, trailing arms, and axles; and superplastically formed aluminum body panels.
                        <SU>84</SU>
                        <FTREF/>
                         While the agencies recognize these opportunities, we do not believe the technologies have advanced far enough to quantify the benefits of these materials because they are very dependent on the actual composite material. The agencies may consider such lightweighting opportunities in future actions, but are not including them as part of this primary program. Manufacturers which opt to pursue composite and plastic material substitutions may seek credits through the innovative technology provisions.
                    </P>
                    <FTNT>
                        <P>
                            <SU>84</SU>
                             Schutte, Carol. U.S. Department of Energy, Vehicle Technologies Program. “Losing Weight—an enabler for a Systems Level Technology Development, Integration, and Demonstration for Efficient Class 8 Trucks (SuperTruck) and Advanced Technology Powertrains for Light-Duty Vehicles”.
                        </P>
                    </FTNT>
                    <P>
                        With regard to Volvo's request that manufacturers be allowed to receive credit for trucks with fewer axles, the agencies recognize that vehicle options exist today which have less mass than other options. However, we believe the decisions to add or subtract such components will be made based on the intended use of the vehicle and not based on a crediting for the mass difference in our compliance program. It is not our intention to create a tradeoff between the right vehicle to serve a need (
                        <E T="03">e.g.</E>
                         one with more or fewer axles) and compliance with our final standards. Therefore, we are not including provisions to credit (or penalize) vehicle performance based on the subtraction (or addition) of specific vehicle components. Table II-9 provides weight reduction values for different components and materials.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,p1,8/9,i1" CDEF="s100,12,12">
                        <TTITLE>Table II-9—Weight Reduction Values</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW RUL="s">
                            <ENT I="21">Weight reduction technology</ENT>
                            <ENT A="01" O="oi0">Weight reduction (lb per tire/wheel)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="11">Single Wide Drive Tire with: </ENT>
                            <ENT A="01"> </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Steel Wheel</ENT>
                            <ENT A="01">84</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Aluminum Wheel</ENT>
                            <ENT A="01">139</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Light Weight Aluminum Wheel</ENT>
                            <ENT A="01">147</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="11">Steer Tire or Dual Wide Drive Tire with:</ENT>
                            <ENT A="01"> </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">High Strength Steel Wheel</ENT>
                            <ENT A="01">8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Aluminum Wheel</ENT>
                            <ENT A="01">21</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="03">Light Weight Aluminum Wheel</ENT>
                            <ENT A="01">30</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="21">Weight reduction technologies</ENT>
                            <ENT O="oi0">Aluminum weight reduction (lb.)</ENT>
                            <ENT O="oi0">High strength steel weight reduction (lb.)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Door</ENT>
                            <ENT>20</ENT>
                            <ENT>6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Roof</ENT>
                            <ENT>60</ENT>
                            <ENT>18</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Cab rear wall</ENT>
                            <ENT>49</ENT>
                            <ENT>16</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Cab floor</ENT>
                            <ENT>56</ENT>
                            <ENT>18</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Hood Support Structure</ENT>
                            <ENT>15</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57153"/>
                            <ENT I="01">Fairing Support Structure</ENT>
                            <ENT>35</ENT>
                            <ENT>6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Instrument Panel Support Structure</ENT>
                            <ENT>5</ENT>
                            <ENT>1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Brake Drums—Drive (4)</ENT>
                            <ENT>140</ENT>
                            <ENT>11</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Brake Drums—Non Drive (2)</ENT>
                            <ENT>60</ENT>
                            <ENT>8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Frame Rails</ENT>
                            <ENT>440</ENT>
                            <ENT>87</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Crossmember—Cab</ENT>
                            <ENT>15</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Crossmember—Suspension</ENT>
                            <ENT>25</ENT>
                            <ENT>6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Crossmember—Non Suspension (3)</ENT>
                            <ENT>15</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fifth Wheel</ENT>
                            <ENT>100</ENT>
                            <ENT>25</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Radiator Support</ENT>
                            <ENT>20</ENT>
                            <ENT>6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Tank Support Structure</ENT>
                            <ENT>40</ENT>
                            <ENT>12</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Steps</ENT>
                            <ENT>35</ENT>
                            <ENT>6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bumper</ENT>
                            <ENT>33</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Shackles</ENT>
                            <ENT>10</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Front Axle</ENT>
                            <ENT>60</ENT>
                            <ENT>15</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Suspension Brackets, Hangers</ENT>
                            <ENT>100</ENT>
                            <ENT>30</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Transmission Case</ENT>
                            <ENT>50</ENT>
                            <ENT>12</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Clutch Housing</ENT>
                            <ENT>40</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Drive Axle Hubs (8)</ENT>
                            <ENT>160</ENT>
                            <ENT>4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Non Drive Front Hubs (2)</ENT>
                            <ENT>40</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Driveshaft</ENT>
                            <ENT>20</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Transmission/Clutch Shift Levers</ENT>
                            <ENT>20</ENT>
                            <ENT>4</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>EPA and NHTSA are specifying the baseline vehicle weight for each regulatory vehicle subcategory (including the tires, wheels, frame, and cab components) in the GEM in aggregate based on weight of vehicles used in EPA's aerodynamic test program, but allow manufacturers to specify the use of light-weight components. The GEM then quantifies the weight reductions based on the pre-determined weight of the baseline component minus the pre-determined weight of the component made from light-weight material. Manufacturers cannot specify the weight of the light-weight component themselves, only the material used in the substitute component. The agencies assume the baseline wheel and tire configuration contains dual tires with steel wheels, along with steel frame and cab components, because these represent the vast majority of new vehicle configurations today. The weight reduction due to replacement of components with light weight versions will be reflected partially in the payload tons and partially in reducing the overall weight of the vehicle run in the GEM. The specified payload in the GEM will be set to the prescribed payload plus one third of the weight reduction amount to recognize that approximately one third of the truck miles are travelled at maximum payload, as discussed below in the payload discussion. The other two thirds of the weight reduction will be subtracted from the overall vehicle weight prescribed in the GEM.</P>
                    <P>
                        The agencies continue to believe that the 400 pound weight target is appropriate to use as a basis for setting the final combination tractor CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards. The agencies agree with the commenter that 400 pounds of weight reduction without the use of single wide tires may not be achievable for all tractor configurations. As noted, the agencies have extended the list of weight reduction components in order to provide the manufacturers with additional means to comply with the combination tractors and to further encourage reductions in vehicle weight. The agencies considered increasing the target value beyond 400 pounds given the additional reduction potential identified in the expanded technology list; however, lacking information on the capacity for the industry to change to these lightweight components across the board by the 2014 model year, we have decided to maintain the 400 pound target. The agencies intend to continue to study the potential for additional weight reductions in our future work considering a second phase of vehicle fuel efficiency and GHG regulations. In the context of the current rulemaking for HD fuel consumption and GHG standards, one would expect that reducing the weight of medium-duty trucks similarly would, if anything, have a positive impact on safety. However, given the large difference in weight between light-duty and medium-duty vehicles, and even larger difference between light-duty vehicles and heavy-duty vehicles with loads, the agencies believe that the impact of weight reductions of medium- and heavy-duty vehicles would not have a noticeable impact on safety for any of these classes of vehicles.
                        <SU>85</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>85</SU>
                             For more information on the estimated safety effects of this rule, see Chapter 9 of the RIA.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(f) Extended Idle Reduction Technology Assessment</HD>
                    <P>
                        Extended idling from Class 8 heavy-duty long haul combination tractors contributes to significant CO
                        <E T="52">2</E>
                         emissions and fuel consumption in the United States. The Federal Motor Carrier Safety Administration regulations require a certain amount of driver rest for a corresponding period of driving hours.
                        <SU>86</SU>
                        <FTREF/>
                         Extended idle occurs when Class 8 long haul drivers rest in the sleeper cab compartment during rest periods as drivers find it both convenient and less expensive to rest in the tractor cab itself than to pull off the road and find accommodations.
                        <SU>87</SU>
                        <FTREF/>
                         During this rest period a driver will idle the tractor engine in order to provide heating or cooling, or to run on-board appliances. In some cases the engine can idle in excess of 10 hours. During this period, the engine will consume approximately 0.8 gallons of fuel and emit over 8,000 grams of CO
                        <E T="52">2</E>
                         per hour. An average tractor engine can consume 8 gallons of fuel and emit over 80,000 grams of CO
                        <E T="52">2</E>
                         during overnight idling in such a case.
                    </P>
                    <FTNT>
                        <P>
                            <SU>86</SU>
                             Federal Motor Carrier Safety Administration. Hours of Service Regulations. Last accessed on August 2, 2010 at 
                            <E T="03">http://www.fmcsa.dot.gov/rules-regulations/topics/hos/.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>87</SU>
                             The agencies note that some sleeper cabs may be classified as vocational tractors and therefore are expected to primarily travel locally and would not benefit from an idle reduction technology.
                        </P>
                    </FTNT>
                    <P>
                        Idling reduction technologies (IRT) are available to allow for driver comfort while reducing fuel consumptions and CO
                        <E T="52">2</E>
                         emissions. Auxiliary power units, fuel operated heaters, battery supplied air conditioning, and thermal storage systems are among the technologies 
                        <PRTPAGE P="57154"/>
                        available today. The agencies are adopting a provision for use of extended idle reduction technology as an input to the GEM for Class 8 sleeper cabs. As discussed further in Section III, if a manufacturer wishes to receive credit for using IRT to meet the standard, then an automatic main engine shutoff must be programmed and enabled, such that engine shutdown occurs after 5 minutes of idling, to help ensure the reductions are realized in-use. A discussion of the provisions the agencies are adopting for allowing an override of this automatic shutdown can be found in RIA Chapter 2. As with all of the technology inputs discussed in this section, the agencies are not mandating the use of idle reductions or idle shutdown, but rather allowing their use as one part of a suite of technologies feasible for reducing fuel consumption and meeting the final standards and using these technologies as the inputs to the GEM. The default value (5 g CO
                        <E T="52">2</E>
                        /ton-mile or 0.5 gal/1,000 ton-mile) for the use of automatic engine shutdown (AES) with idle reduction technologies was determined as the difference between a baseline main engine with idle fuel consumption of 0.8 gallons per hour that idles 1,800 hours and travels 125,000 miles per year, and a diesel auxiliary power unit operating in lieu of main engine during those same idling hours. The agencies received various comments from ACEEE and MEMA regarding the assumptions used to derive the idle reduction value. ACEEE argued that the agencies should use a fuel consumption rate of 0.47 gallon/hour for main engine idling based on a paper written by Kahn. MEMA argued that the agencies should use a main engine idling fuel consumption rate of 0.87 gal/hr, which is the midpoint of a DOE calculator reporting fuel consumption rates from 0.64 to 1.15 gal/hr at idling conditions, and between 800 and 1200 rpm with the air conditioning on and off, respectively. The agencies respectfully disagree with the 0.47 gal/hr recommendation because the same paper by Kahn shows that while idling fuel consumption is 0.47 gal/hr on average at 600 rpm, CO
                        <E T="52">2</E>
                         emissions increase by 25 percent with A/C on at 600 rpm, and increase by 165 percent between 600 rpm and 1,100 rpm with A/C on.
                        <SU>88</SU>
                        <FTREF/>
                         MEMA recommended using 2,500 hours per year for APU operation. They cited the SmartWay Web site which uses 2,400 hours per year (8 hours per day and 300 days per year). Also, they cited an Argonne study which assumed 7 hours per day and 303 days per year, which equals 2,121 hours per year. Lastly, they referred to the FMCSA 2010 driver guidelines which reduce the number of hours driven per day by one to two hours, which would lead to 2,650 to 2,900 hours per year. The agencies reviewed other studies to quantify idling operations, as discussed in greater detail in RIA Section 2.5.4.2, and believe that the entirety of the research does not support a change from the proposed calculation. Therefore, the agencies are finalizing the calculation as proposed. Additional details regarding the comments, calculations, and agency decisions are included in RIA Section 2.5.4.2.
                    </P>
                    <FTNT>
                        <P>
                            <SU>88</SU>
                             
                            <E T="03">See</E>
                             Gaines, L., A. Vyas, J. Anderson. “Estimation of Fuel Used by Idling Commercial Trucks,” Page 9 (2006).
                        </P>
                    </FTNT>
                    <P>The agencies are adopting a provision to allow manufacturers to provide an AES system which is active for only a portion of a vehicle's life. In this case, a discounted idle reduction value would be entered into GEM. A discussion of the calculation of a discounted IRT credit can be found in Section III. Additional details on the emission and fuel consumption reduction values are included in RIA Section 2.5.4.2.</P>
                    <HD SOURCE="HD3">(g) Vehicle Speed Limiters</HD>
                    <P>
                        The NPRM proposed to allow combination tractors that use vehicle speed limiters (VSL) to include the maximum governed speed value as an input to the GEM for purposes of determining compliance with the vehicle standards. The agencies also proposed not to assume the use of a mandatory vehicle speed limiter because of concerns about how to set a realistic application rate that avoids unintended consequences. 
                        <E T="03">See</E>
                         75 FR at 74223. Governing the top speed of a vehicle can reduce fuel consumption and GHG emissions, because fuel consumption and CO
                        <E T="52">2</E>
                         emissions increase proportionally to the square of vehicle speed.
                        <SU>89</SU>
                        <FTREF/>
                         Limiting the speed of a vehicle reduces the fuel consumed, which in turn reduces the amount of CO
                        <E T="52">2</E>
                         emitted. The specific input to the GEM would be the maximum governed speed limit of the VSL that is programmed into the powertrain control module (PCM). The agencies stressed in the NPRM that in order to obtain a benefit in the GEM, a manufacturer must preset the limiter in such a way that the setting will not be “capable of being easily overridden by the fleet or the owner.” If the top speed could be easily overridden, the fuel consumption/CO
                        <E T="52">2</E>
                         benefits of the VSL might not be realized, and the agencies did not want to allow the technology to be used for compliance if the technology could be disabled easily and the real world benefits not achieved.
                    </P>
                    <FTNT>
                        <P>
                            <SU>89</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 21, Page 28. Road Load Force Equation defines the aerodynamic portion of the road load as ½ * Coefficient of Drag * Frontal Area * air density * vehicle speed squared.
                        </P>
                    </FTNT>
                    <P>
                        Both the Center for Biological Diversity (CBD) and New York State Department of Transportation and Environmental Conservation commented that the application of speed limiters should be used to set the tractor standards.
                        <SU>90</SU>
                        <FTREF/>
                         CBD urged the agencies to reconsider the position and adopt a speed limitation technology. NY State commented that the technologies are cost effective, reduce emissions, and appear to be generally acceptable to the trucking industry. They continued to say that the vehicle speed limit could be set without compromising operational logistics.
                    </P>
                    <FTNT>
                        <P>
                            <SU>90</SU>
                             One commenter mistakenly thought that the agencies were rejecting consideration of VSLs due to perceived jurisdictional obstacles. In fact, both the CAA and EISA allow consideration of VSL technology and the agencies considered the appropriateness of basing standards on performance of the technology.
                        </P>
                    </FTNT>
                    <P>
                        Many commenters (Cummins, Daimler, EMA/TMA, ATA, AAPC, NADA) supported the use of VSLs as an input to the GEM, but requested clarification of what the specific requirements would be to ensure the VSL setting would not be capable of being easily overridden. Cummins and Daimler requested that the final rules explicitly allow vehicle manufacturers to access and adjust the VSL control feature for setting the maximum governed speed, arguing that the diverse needs of the commercial vehicle industry warrant flexibility in electronic control features, and that otherwise supply chain issues 
                        <SU>91</SU>
                        <FTREF/>
                         may result from the use of VSLs. NADA and EMA/TMA also requested that VSLs have override features and be adjustable, citing various needs for flexibility by the fleets. EMA/TMA and ATA requested that VSLs be adjustable downward by fleets in order to obtain greater benefit in GEM, if company policies change or if a subsequent vehicle owner needs a different VSL setting. EMA/TMA stated that the agencies should prohibit tampering with VSLs, and both EMA and TRALA requested more information on how the agencies intended to address tampering with VSLs.
                    </P>
                    <FTNT>
                        <P>
                            <SU>91</SU>
                             Commenters stated that OEMs need access for setting appropriate trims for managing the VSL, otherwise significant supply chain issues could result such as parts shortages caused by the need for unique speed governed PCMs.
                        </P>
                    </FTNT>
                    <P>
                        In addition to features governing the maximum vehicle speed, commenters requested adding other programmable flexibilities to mitigate potential drawbacks to VSLs. Cummins, DTNA, 
                        <PRTPAGE P="57155"/>
                        and EMA/TMA requested that a programmable “soft top” speed be added to PCMs which would allow a vehicle to exceed the speed limit setting governed by a VSL for a short period of time. A “soft top” feature could be used for a limited duration in order to maneuver and pass other on-road vehicles at speeds greater than that governed by the VSL. The commenters argued this was important for vehicle passing and safety-related situations where, without a soft top feature, it could be possible for speed limited trucks to obstruct other vehicles on the road and cause severe road congestion.
                    </P>
                    <P>ATA and EMA/TMA also requested that manufacturers be allowed to program a mileage based expiration into the VSL control feature, in order to preserve the value of vehicles for second owners who may require operation at higher speeds. ATA further commented that manufacturers should be allowed to account for additional GEM input benefits if the speed governor is reprogrammed to a lower speed within the useful life of the vehicle.</P>
                    <P>
                        After carefully considering the comments, the agencies have decided, for these final rules, to retain most of the elements in the proposal. Manufacturers will be allowed to implement a fixed maximum governed vehicle speed through a VSL feature and to use the maximum governed vehicle speed as an input to the GEM for certification. Also consistent with the proposal, the agencies are not premising the final standards on the use of VSLs. The comments received from stakeholders did not address the agencies' concerns discussed in the proposal, specifically the risk of requiring VSL in situations that are not appropriate from an efficiency perspective because it may lead to additional vehicle trips to deliver the same amount of freight.
                        <SU>92</SU>
                        <FTREF/>
                         The agencies continue to believe that we are not in a position to determine how many additional vehicles would benefit from the use of a VSL with a setting of less than 65 mph (a VSL with a speed set at or above 65 mph will show no CO
                        <E T="52">2</E>
                         emissions or fuel consumption benefit on the drive cycles included in this program). The agencies further believe that manufacturers will not utilize VSLs unless it is in their interest to do so, so that these unintended consequences should not occur when manufacturers use VSLs as a compliance strategy. We will monitor the industry's use of VSL in this program and may consider using this technology in standard setting in the future.
                    </P>
                    <FTNT>
                        <P>
                            <SU>92</SU>
                             
                            <E T="03">See</E>
                             75 FR at page 74223.
                        </P>
                    </FTNT>
                    <P>
                        The agencies have decided to adopt commenters' suggestions to allow adjustable lower limits that can be set and governed by VSLs independent of the one governing the maximum certified speed limit to provide the desired flexibility requested by the trucking industry. We believe that this flexibility would not decrease the anticipated fuel consumption or CO
                        <E T="52">2</E>
                         benefits of VSLs because the adjustable limits would be lower values. Issues identified by the commenters including the ability to change delivery routes requiring lower governed speeds or when a fleet's business practices change resulting in a desire for greater fuel consumption savings are not in conflict with the purpose and benefit of VSLs. As such, the agencies have decided to allow a manufacturer to install features for its fleet customers to set their own lower adjustable limits below the maximum VSL specified by the agencies. However, the agencies have decided to not allow any additional benefit in the GEM to a manufacturer for allowing a lower governed speed in-use than the certified maximum limit for this first phase of the HD National Program because we can only be certain that the VSL will be at the maximum setting.
                    </P>
                    <P>Both agencies also agree that manufacturers can provide a “soft top” and expiration features to be programmed into PCMs to provide additional flexibility for fleet owners and so that fleets who purchase used vehicles have the ability to have different VSL policies than the original owner of the vehicle. Although the agencies considered limiting the soft top maximum level due to safety and fuel consumption/GHG benefit concerns, we have decided to allow the soft top maximum level to be set to any level higher than the maximum speed governed by the VSL. This approach will provide drivers with the ability to better navigate through traffic. However, the agencies are requiring that manufacturers providing a soft top feature must design the system so it cannot be modified by the fleets and will not decrement the vehicle speed limit causing the vehicle to decelerate while the driver is operating a vehicle above the normal governed vehicle speed limit. For example, if a manufacturer designs a vehicle speed limiter that has a normal governed speed limiter setting of 62 mph, and a “soft top” speed limiter value of 65 mph, the algorithm shall not cause the vehicle speed to decrement causing the vehicle to decelerate while the driver is operating the vehicle at a speed greater that 62 mph (between 62 and 65 mph). The agencies are concerned that a forced deceleration when a driver is attempting to pass or maneuver could have an adverse impact on safety.</P>
                    <P>
                        In using a soft top feature, a manufacturer will be required to provide to the agencies a functional description of the “soft top” control strategy including calibration values, the speed setting for both the hard limit and the soft top and the maximum time per day the control strategy could allow the vehicle to operate at the “soft top” speed limit at the time of certification. This information will be used to derive a factor to discount the VSL input used in the GEM to determine the fuel consumption and GHG emissions performance of the vehicle. The agencies also agree with comments that VSLs should be adjustable so as not to potentially limit a vehicle's resale value. However, manufacturers choosing the option to override the VSL after a specified number of miles would be required to discount the benefit of the VSL relative to the tractor's full lifetime miles. The VSL discount benefits for using soft-top and expiration features must be calculated using Equation II-1.
                        <SU>93</SU>
                        <FTREF/>
                         Additional details regarding the derivation of the discounted equation are included in RIA Chapter 2. The agencies are also requiring that any vehicle that has a “soft top” VSL to identify the use of the “soft top” VSL on the vehicle emissions label.
                    </P>
                    <FTNT>
                        <P>
                            <SU>93</SU>
                             
                            <E T="03">See</E>
                             § 1037.640.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD1">Equation II-1: Discounted Vehicle Speed Limiter Equation</HD>
                    <FP SOURCE="FP-2">VSL input for GEM = Expiration Factor * [Soft Top Factor* Soft Top VSL + (1-Soft Top Factor) * VSL] + (1-Expiration Factor)*65 mph</FP>
                    <P>The agencies will require that the VSL algorithm be designed to assure that over the useful life of the vehicle that the vehicle will not operate in the soft top mode for more miles than would be expected based on the values used in Equation 0-1, as specified by the expiration factor and the soft top factor. In addition, any time the cumulative percentage of operation in the soft top mode (based on miles) exceeds the maximum ratio that could occur at the full lifetime mileage, or at the expiration mileage if used, the algorithm must not allow the vehicle to exceed the VSL value. In this case, the soft top feature remain disabled until the vehicle mileage reaches a point where the ratio no longer meets this condition.</P>
                    <P>
                        In response to the comments about how the agencies will evaluate 
                        <PRTPAGE P="57156"/>
                        tampering, NHTSA and EPA have added a number of requirements in these final rules relating to the VSL control feature. VSL control features should be designed so they cannot be easily overridden. Manufacturers must ensure that the governed speed limit programmed into the VSL must also be verifiable through on-board diagnostic scanning tools, and must provide a description of the coding to identify the governed maximum speed limit and the expiration mileage both at the time of the initial vehicle certification and in-use. The agencies believe both manufacturers and fleets should work toward maintaining the integrity of VSLs, and the agencies may conduct new-vehicle and in-use random audits to verify that inputs into GEM are accurate.
                    </P>
                    <P>The agencies are aware that some fleets/owners make changes to vehicles, such as installing different diameter tires, changing the axle (final drive) ratio and transmission gearing, such that a vehicle could travel at speeds higher than the speed limited by its VSL. Vehicles subject to FMCSA requirements must be in compliance with 49 CFR 393.82. The requirements apply to speedometers and states as follows:</P>
                    <EXTRACT>
                        <P>Each bus, truck, and truck-tractor must be equipped with a speedometer indicating vehicle speed in miles per hour and/or kilometers per hour. The speedometer must be accurate to within plus or minus 8 km/hr (5 mph) at a speed of 80 km/hr (50 mph).</P>
                    </EXTRACT>
                    <P>To facilitate adjustments for component changes affecting vehicle speed, manufacturers should provide a fleet/owner with the means to do so unless the adjustments would affect the VSL setting or operation.</P>
                    <P>
                        DTNA and ATA additionally requested that the agencies ensure that any VSL provisions adopted under the GHG emissions and fuel efficiency rules align with existing NHTSA standards. The agencies agree and note that there are no existing standards for a VSL outside of this current rulemaking activity. However, NHTSA has announced its intent to publish a proposal in 2012 for a VSL.
                        <SU>94</SU>
                        <FTREF/>
                         While both agencies have taken steps to avoid potential conflicts between the rulemaking being finalized today for fuel consumption and GHG emissions and the anticipated safety rulemaking, different conclusions may be reached in a safety-based rulemaking on VSLs, particularly in the approach to specifying soft top parameters and VSL expiration.
                    </P>
                    <FTNT>
                        <P>
                            <SU>94</SU>
                             76 FR 78.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(h) Defined Vehicle Configurations in the GEM</HD>
                    <P>As discussed above, the agencies are adopting methodologies that manufacturers will use to quantify the values input into the GEM for these factors affecting vehicle efficiency: Coefficient of Drag, Tire Rolling Resistance Coefficient, Weight Reduction, Vehicle Speed Limiter, and Extended Idle Reduction Technology. The other aspects of the vehicle configuration are fixed within the model and are not varied for the purpose of compliance. The defined inputs include the tractor-trailer combination curb weight, payload, engine characteristics, and drivetrain for each vehicle type, and others.</P>
                    <HD SOURCE="HD3">(i) Vehicle Drive Cycles</HD>
                    <P>
                        The GEM simulation model uses various inputs to characterize a vehicle's configuration (such as weight, aerodynamics, and rolling resistance) and predicts how the vehicle would behave on the road when it follows a driving cycle (vehicle speed versus time). As noted by the 2010 NAS Report,
                        <SU>95</SU>
                        <FTREF/>
                         the choice of a drive cycle used in compliance testing has significant consequences on the technology that will be employed to achieve a standard as well as the ability of the technology to achieve real world reductions in emissions and improvements in fuel consumption. Manufacturers naturally will design vehicles to ensure they satisfy regulatory standards. An ill-suited drive cycle for a regulatory category could encourage GHG emissions and fuel consumption technologies which satisfy the test but do not achieve the same benefits in use. For example, requiring all trucks to use a constant speed highway drive cycle will drive significant aerodynamic improvements. However, in the real world a combination tractor used for local delivery may spend little time on the highway, reducing the benefits achieved by this technology. In addition, the extra weight of the aerodynamic fairings will actually penalize the GHG and fuel consumption performance in urban driving and may reduce the freight carrying capability. The unique nature of the kinds of CO
                        <E T="52">2</E>
                         emissions control and fuel consumption technology means that the same technology can be of benefit during some operation but cause a reduced benefit under other operation.
                        <SU>96</SU>
                        <FTREF/>
                         To maximize the GHG emissions and fuel consumption benefits and avoid unintended reductions in benefits, the drive cycle should focus on promoting technology that produces benefits during the primary operation modes of the application. Consequently, drive cycles used in GHG emissions and fuel consumption compliance testing should reasonably represent the primary actual use, notwithstanding that every vehicle has a different drive cycle in-use.
                    </P>
                    <FTNT>
                        <P>
                            <SU>95</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 21, Chapters 4 and 8.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>96</SU>
                             This situation does not typically occur for heavy-duty emission control technology designed to control criteria pollutants such as PM and NO
                            <E T="52">X</E>
                            .
                        </P>
                    </FTNT>
                    <P>
                        The agencies proposed a modified version of the California ARB Heavy Heavy-duty Truck 5 Mode Cycle 
                        <SU>97</SU>
                        <FTREF/>
                        , using the basis of three of the cycles which best mirror Class 7 and 8 combination tractor driving patterns, based on information from EPA's MOVES model.
                        <SU>98</SU>
                        <FTREF/>
                         The key advantage of the California ARB 5 mode cycle is that it provides the flexibility to use several different modes and weight the modes to fit specific vehicle application usage patterns. For the proposal, EPA analyzed the five cycles and found that some modifications to the cycles were required to allow sufficient flexibility in weightings. The agencies proposed the use of the Transient mode, as defined by California ARB, because it broadly covers urban driving. The agencies also proposed altered versions of the High Speed Cruise and Low Speed Cruise modes which reflected only constant speed cycles at 65 mph and 55 mph respectively. In the NPRM, the agencies proposed to use three cycles which were the ARB transient cycle, a 55 mph steady state cruise, and a 65 mph steady state cruise.
                    </P>
                    <FTNT>
                        <P>
                            <SU>97</SU>
                             California Air Resources Board. Heavy Heavy-duty Diesel Truck chassis dynamometer schedule, Transient Mode. Last accessed on August 2, 2010 at 
                            <E T="03">http://www.dieselnet.com/standards/cycles/hhddt.html.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>98</SU>
                             EPA's MOVES (Motor Vehicle Emission Simulator). 
                            <E T="03">See http://www.epa.gov/otaq/models/moves/index.htm</E>
                             for additional information.
                        </P>
                    </FTNT>
                    <P>
                        The agencies received comment from NACAA recommending an increase in the high speed cruise cycle speed from the proposed value of 65 mph to 75 mph because trucks travel at higher speeds. The agencies analyzed the urban and rural interstate truck speed limits in each state to determine the national average truck speed limit. State interstate speed limits for trucks vary between 55 and 75 mph, depending on the state.
                        <SU>99</SU>
                        <FTREF/>
                         Based on this information, the national median truck speed limit is 
                        <PRTPAGE P="57157"/>
                        65 mph. The agencies also analyzed the national average truck speed limit weighted by VMT for each state based on VMT data by state from the Federal Highway Administration as described in RIA Section 3.4.2. Based on this information, the national average VMT-weighted truck speed limit is 63 mph. The agencies continue to believe that the appropriate high speed cruise speed should be set at the national average truck speed limit to appropriately balance the evaluation of technologies such as aerodynamics, but not overstate the benefits of these technologies. Therefore, the agencies are adopting as proposed a speed of 65 mph for the high speed cruise cycle.
                    </P>
                    <FTNT>
                        <P>
                            <SU>99</SU>
                             Governors Highway Safety Association. Speed Limit Laws May 2011. Last viewed on May 9, 2011 at 
                            <E T="03">http://www.ghsa.org/html/stateinfo/laws/speedlimit_laws.html.</E>
                        </P>
                    </FTNT>
                    <P>
                        The agencies also received comments from Allison which disagreed with proposed drive cycles for combination tractors because the cycles did not account for external factors such as grades, wind, traffic condition, 
                        <E T="03">etc.</E>
                         Allison also believes that the acceleration rates are too low. The agencies recognize that the proposed drive cycles do not incorporate the external factors described by Allison. Parallel to the approach used to evaluate light-duty vehicles, the drive cycles do not incorporate either grade or wind which can be difficult to simulate in chassis dynamometer cells. In the final rules, the agencies are defining an approach that manufacturers may take to evaluate their aerodynamic packages in a wind-averaged condition and use a modified Cd value in GEM.
                        <SU>100</SU>
                        <FTREF/>
                         The agencies are also adopting provisions for the innovative technology demonstration that allows for the use of on-road testing which includes grades for technologies whose benefits are reflected with grade. Lastly, the agencies' final drive cycles for highway operation contain a constant speed, as proposed. The acceleration and deceleration rates are only used to bring the vehicle to the cruising speed and the CO
                        <E T="52">2</E>
                         emissions and fuel consumption from these portions of the drive cycle are not included in the composite emissions and fuel consumption results. The agencies did not include the speed dithering, which is representative of actual driving and traffic conditions, in the proposed constant speed portion of the cycles because the dithering does not provide any additional distinction between technologies but only added complexity to the cycle. The agencies believe this approach is still appropriate for the final action.
                    </P>
                    <FTNT>
                        <P>
                            <SU>100</SU>
                             
                            <E T="03">See</E>
                             Section IV.B.3.b below.
                        </P>
                    </FTNT>
                    <P>Allison referred the agencies to the Oak Ridge National Laboratory and SmartWay program to review the amount of time long-haul vehicles spend on the highway. They believe the steady state highway speeds are overestimated. Data provided by Allison indicates that day cabs spend only 14 percent of miles traveling at speeds greater than 60 mph. NHTSA and EPA recognize that there is a variation in the amount of miles day cabs travel under different operations. As described above, the agencies are adopting an approach where tractors which operate like vocational vehicles may be regulated as such in the HD program. Thus, these day cabs will have a drive cycle weighting representative of vocational vehicles with more weighting on the transient operation and less on the highway speed operation.</P>
                    <P>
                        For proposal, EPA and NHTSA relied on the EPA MOVES analysis of Federal Highway Administration data to develop the mode weightings to characterize typical operations of heavy-duty trucks, per Table II-10 below.
                        <SU>101</SU>
                        <FTREF/>
                         A detailed discussion of drive cycles is included in RIA Chapter 3.
                        <SU>102</SU>
                        <FTREF/>
                         The agencies are adopting the proposed drive cycle weightings for combination tractors.
                    </P>
                    <FTNT>
                        <P>
                            <SU>101</SU>
                             The Environmental Protection Agency. Draft MOVES2009 Highway Vehicle Population and Activity Data. EPA-420-P-09-001, August 2009 
                            <E T="03">http://www.epa.gov/otaq/models/moves/techdocs/420p09001.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>102</SU>
                             In the light-duty vehicle rule, EPA and NHTSA based compliance with tailpipe standards on use of the FTP and HFET, and declined to use alternative tests. 
                            <E T="03">See</E>
                             75 FR 25407. NHTSA is mandated to use the FTP and HFET tests for CAFE standards, and all relevant data was obtained by FTP and HFET testing in any case. Id. Neither of these constraints exists for Class 7-8 tractors. The little data which exist on current performance are principally measured by the ARB Heavy Heavy-duty Truck 5 Mode Cycle testing, and NHTSA is not mandated to use the FTP to establish heavy-duty fuel economy standards. 
                            <E T="03">See</E>
                             49 U.S.C. 32902(k)(2) authorizing NHTSA, among other things, to adopt and implement appropriate “test methods, measurement metrics, * * * and compliance protocols”.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,10,10,10">
                        <TTITLE>Table II-10—Drive Cycle Mode Weightings</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Transient</CHED>
                            <CHED H="1">55 mph cruise</CHED>
                            <CHED H="1">65 mph cruise</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Day Cabs</ENT>
                            <ENT>19%</ENT>
                            <ENT>17%</ENT>
                            <ENT>64%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Sleeper Cabs</ENT>
                            <ENT>5%</ENT>
                            <ENT>9%</ENT>
                            <ENT>86%</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(ii) Standardized Trailers</HD>
                    <P>
                        As proposed, NHTSA and EPA are adopting provisions so that the tractor performance in the GEM is judged assuming the tractor is pulling a standardized trailer. The agencies did not receive any adverse comments related to this approach. The agencies believe that an assessment of the tractor fuel consumption and CO
                        <E T="52">2</E>
                         emissions should be conducted using a tractor-trailer combination. We believe this approach best reflects the impact of the overall weight of the tractor-trailer and the aerodynamic technologies in actual use, where tractors are designed and used with a trailer. The GEM will continue to use a predefined typical trailer in assessing overall performance. The high roof sleeper cabs are paired with a standard box trailer; the mid roof tractors are paired with a tanker trailer; and the low roof tractors are paired with a flat bed trailer.
                    </P>
                    <HD SOURCE="HD3">(iii) Empty Weight and Payload</HD>
                    <P>The total weight of the tractor-trailer combination is the sum of the tractor curb weight, the trailer curb weight, and the payload. The total weight of a vehicle is important because it in part determines the impact of technologies, such as rolling resistance, on GHG emissions and fuel consumption. In this final action, the agencies are specifying each of these aspects of the vehicle, as proposed.</P>
                    <P>
                        In use, trucks operate at different weights at different times during their operations. The greatest freight transport efficiency (the amount of fuel required to move a ton of payload) would be achieved by operating trucks at the maximum load for which they are designed all of the time. However, logistics such as delivery demands which require that trucks travel without full loads, the density of payload, and the availability of full loads of freight limit the ability of trucks to operate at their highest efficiency all the time. M.J. Bradley analyzed the Truck Inventory and Use Survey and found that 
                        <PRTPAGE P="57158"/>
                        approximately 9 percent of combination tractor miles travelled empty, 61 percent are “cubed-out” (the trailer is full before the weight limit is reached), and 30 percent are “weighed out” (operating weight equal 80,000 pounds which is the gross vehicle weight limit on the Federal Interstate Highway System or greater than 80,000 pounds for vehicles traveling on roads outside of the interstate system).
                        <SU>103</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>103</SU>
                             M.J. Bradley &amp; Associates. Setting the Stage for Regulation of Heavy-Duty Vehicle Fuel Economy and GHG Emissions: Issues and Opportunities. February 2009. Page 35. Analysis based on 1992 Truck Inventory and Use Survey data, where the survey data allowed developing the distribution of loads instead of merely the average loads.
                        </P>
                    </FTNT>
                    <P>
                        As described above, the amount of payload that a tractor can carry depends on the category (or GVWR and GCWR) of the vehicle. For example, a typical Class 7 tractor can carry less payload than a Class 8 tractor. For proposal, the agencies used the Federal Highway Administration Truck Payload Equivalent Factors using Vehicle Inventory and Use Survey (VIUS) and Vehicle Travel Information System data to determine the proposed payloads. FHWA's results found that the average payload of a Class 8 vehicle ranged from 36,247 to 40,089 pounds, depending on the average distance travelled per day.
                        <SU>104</SU>
                        <FTREF/>
                         The same results found that Class 7 vehicles carried between 18,674 and 34,210 pounds of payload also depending on average distance travelled per day. Based on this data, the agencies proposed to prescribe a fixed payload of 25,000 pounds for Class 7 tractors and 38,000 pounds for Class 8 tractors for their respective test procedures. The agencies proposed a common payload for Class 8 day cabs and sleeper cabs as predefined GEM input because the data available do not distinguish based on type of Class 8 tractor. These payload values represent a heavily loaded trailer, but not maximum GVWR, since as described above the majority of tractors “cube-out” rather than “weigh-out.”
                    </P>
                    <FTNT>
                        <P>
                            <SU>104</SU>
                             The U.S. Federal Highway Administration. Development of Truck Payload Equivalent Factor. Table 11. Last viewed on March 9, 2010 at 
                            <E T="03">http://ops.fhwa.dot.gov/freight/freight_analysis/faf/faf2_reports/reports9/s510_11_12_tables.htm.</E>
                        </P>
                    </FTNT>
                    <P>
                        The agencies developed the proposed tractor curb weight inputs from actual tractor weights measured in two of EPA's test programs and based on information from the manufacturers. The proposed trailer curb weight inputs were derived from actual trailer weight measurements conducted by EPA and weight data provided to ICF International by the trailer manufacturers.
                        <SU>105</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>105</SU>
                             ICF International. Investigation of Costs for Strategies to Reduce Greenhouse Gas Emissions for Heavy-Duty On-road Vehicles. July 2010. Pages 4-15. Docket Number EPA-HQ-OAR-2010-0162-0044.
                        </P>
                    </FTNT>
                    <P>The agencies received comments from UMTRI and ATA regarding the values assumed for the combination tractor weights. UMTRI recommended using 80,000 pounds for the total weight for tractor-trailer combinations. ATA based on their analysis of the Federal Highway Administration's Long Term Pavement Database, recommended 5,000 to 10,000 pound payload for Class 7 tractors and 25,000 to 30,000 pounds for Class 8 tractors. ATA also determined from the same database that 20 percent of tractor miles are empty, 67 percent cube-out, and 13 percent weigh-out. The agencies are adopting the proposed tractor-trailer weights because we do not have strong evidence to select other values and because changing the assumed values would not change the impact on GHG emissions or fuel consumption of the technologies included in this phase of the HD program (the relative stringency of the standards and the projected emission reductions do not change with assumed payload). NHTSA and EPA intend to continue evaluating additional sources of weight information in future phases of the program.</P>
                    <P>Details of the final individual weight inputs by regulatory category, as shown in Table II-11, are included in RIA Chapter 3.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10">
                        <TTITLE>Table II-11—Final Combination Tractor Weights</TTITLE>
                        <BOXHD>
                            <CHED H="1">Model type</CHED>
                            <CHED H="1">Regulatory subcategory</CHED>
                            <CHED H="1">Tractor tare weight (lbs)</CHED>
                            <CHED H="1">Trailer weight (lbs)</CHED>
                            <CHED H="1">Payload (lbs)</CHED>
                            <CHED H="1">Total weight (lbs)</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Class 8</ENT>
                            <ENT>Sleeper Cab High Roof</ENT>
                            <ENT>19,000</ENT>
                            <ENT>13,500</ENT>
                            <ENT>38,000</ENT>
                            <ENT>70,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 8</ENT>
                            <ENT>Sleeper Cab Mid Roof</ENT>
                            <ENT>18,750</ENT>
                            <ENT>10,000</ENT>
                            <ENT>38,000</ENT>
                            <ENT>66,750</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 8</ENT>
                            <ENT>Sleeper Cab Low Roof</ENT>
                            <ENT>18,500</ENT>
                            <ENT>10,500</ENT>
                            <ENT>38,000</ENT>
                            <ENT>67,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 8</ENT>
                            <ENT>Day Cab High Roof</ENT>
                            <ENT>17,500</ENT>
                            <ENT>13,500</ENT>
                            <ENT>38,000</ENT>
                            <ENT>69,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 8</ENT>
                            <ENT>Day Cab Mid Roof</ENT>
                            <ENT>17,100</ENT>
                            <ENT>10,000</ENT>
                            <ENT>38,000</ENT>
                            <ENT>65,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 8</ENT>
                            <ENT>Day Cab Low Roof</ENT>
                            <ENT>17,000</ENT>
                            <ENT>10,500</ENT>
                            <ENT>38,000</ENT>
                            <ENT>65,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 7</ENT>
                            <ENT>Day Cab High Roof</ENT>
                            <ENT>11,500</ENT>
                            <ENT>13,500</ENT>
                            <ENT>25,000</ENT>
                            <ENT>50,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 7</ENT>
                            <ENT>Day Cab Mid Roof</ENT>
                            <ENT>11,100</ENT>
                            <ENT>10,000</ENT>
                            <ENT>25,000</ENT>
                            <ENT>46,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 7</ENT>
                            <ENT>Day Cab Low Roof</ENT>
                            <ENT>11,000</ENT>
                            <ENT>10,500</ENT>
                            <ENT>25,000</ENT>
                            <ENT>46,500</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iv) Standardized Drivetrain</HD>
                    <P>The agencies' assessment at proposal of the current vehicle configuration process at the truck dealer's level was that the truck companies provide tools to specify the proper drivetrain matched to the buyer's specific circumstances. These dealer tools allow a significant amount of customization for drive cycle and payload to provide the best specification for each individual customer. The agencies are not seeking to disrupt this process. Optimal drivetrain selection is dependent on the engine, drive cycle (including vehicle speed and road grade), and payload. Each combination of engine, drive cycle, and payload has a single optimal transmission and final drive ratio. The agencies received comments from ArvinMeritor and ICCT which suggested that the agencies incorporate the actual drivetrain configuration (axle configuration, driveline efficiency, and transmission) into the GEM. The agencies continue to believe, and therefore are adopting as proposed, that it is appropriate to specify the engine's fuel consumption map, drive cycle, and payload; therefore, it makes sense to also specify the drivetrain that matches.</P>
                    <HD SOURCE="HD3">(v) Engine Input to the GEM for Tractors</HD>
                    <P>
                        As proposed, the agencies are defining the engine characteristics used in the GEM, including the fuel consumption map which provides the fuel consumption at hundreds of engine speed and torque points. If the agencies did not standardize the fuel map, then a tractor that uses an engine with emissions and fuel consumption better than the standards would require fewer vehicle reductions than those technically feasible reductions reflected in the final standards. The agencies are finalizing two distinct fuel consumption maps for use in the GEM. The first fuel 
                        <PRTPAGE P="57159"/>
                        consumption map would be used in the GEM for the 2014 through 2016 model years and represents an average engine which meets EPA's final 2014 model year engine CO
                        <E T="52">2</E>
                         emissions standards. The same fuel map would be used for NHTSA's voluntary standards in the 2014 and 2015 model years, as well as its mandatory program in the 2016 model year. A second fuel consumption map will be used beginning in the 2017 model year and represents an engine which meets the 2017 model year CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards and accounts for the increased stringency in the final MY 2017 standard. The agencies have modified the 2017 MY fuel map used in the GEM for the final rulemaking to address comments received. Details regarding this change can be found in RIA Chapter 4.4.4. Effectively there is no change in stringency of the tractor vehicle (not including the engine standards over the full rulemaking period).
                        <SU>106</SU>
                        <FTREF/>
                         These inputs are appropriate given the separate regulatory requirement that Class 7 and 8 combination tractor manufacturers use only certified engines.
                    </P>
                    <FTNT>
                        <P>
                            <SU>106</SU>
                             As noted earlier, use of the 2017 model year fuel consumption map as a GEM input results in numerically more stringent final vehicle standards for MY 2017.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(i) Heavy-Duty Engine Test Procedure for Engines Installed in Combination Tractors</HD>
                    <P>The HD engine test procedure consists of two primary aspects—a duty cycle and a metric to evaluate the emissions and fuel consumption.</P>
                    <P>
                        EPA proposed that the GHG emission standards for heavy-duty engines under the CAA would be expressed as g/bhp-hr while NHTSA's proposed fuel consumption standards under EISA, in turn, be represented as gal/100 bhp-hr. The NAS panel did not specifically discuss or recommend a metric to evaluate the fuel consumption of heavy-duty engines. However, as noted above they did recommend the use of a load-specific fuel consumption metric for the evaluation of vehicles.
                        <SU>107</SU>
                        <FTREF/>
                         An analogous metric for engines is the amount of fuel consumed per unit of work. The g/bhp-hr metric is also consistent with EPA's current standards for non-GHG emissions for these engines. The agencies did not receive any adverse comments related to the metrics for HD engines; therefore, we are adopting the metrics as proposed.
                    </P>
                    <FTNT>
                        <P>
                            <SU>107</SU>
                             
                            <E T="03">See</E>
                             NAS Report, Note 21, at page 39.
                        </P>
                    </FTNT>
                    <P>The agencies believe it is appropriate to set standards based on a single test procedure, either the Heavy-duty FTP or SET, depending on the primary expected use of the engine. This approach differs from EPA's criteria pollutant standards for engines which currently require that manufacturers demonstrate compliance over the transient FTP cycle; over the steady-state SET procedure; and during not-to-exceed testing. EPA created this multi-layered approach to criteria emissions control in response to engine designs that optimized operation for lowest fuel consumption at the expense of very high criteria emissions when operated off the regulatory cycle. EPA's use of multiple test procedures for criteria pollutants helps to ensure that manufacturers calibrate engine systems for compliance under all operating conditions. We are not concerned if manufacturers further calibrate engines off-cycle to give better in-use fuel consumption while maintaining compliance with the criteria emissions standards as such calibration is entirely consistent with the goals of our joint program. Further, we believe that setting GHG and fuel consumption standards based on both transient and steady-state operating conditions for all engines could lead to undesirable outcomes.</P>
                    <P>It is critical to set standards based on the most representative test cycles in order for performance in-use to obtain the intended (and feasible) air quality and fuel consumption benefits. Tractors spend the majority of their operation at steady state conditions, and will obtain in-use benefit of technologies such as turbocompounding and other waste heat recovery technologies during this kind of typical engine operation. Turbocompounding is a very effective approach to lower fuel consumption under steady driving conditions typified by combination tractor trailer operation and is well reflected in testing over the SET test procedure. However, when used in driving typified by transient operation as we expect for vocational vehicles and as is represented by the Heavy-duty FTP, turbocompounding shows very little benefit. Setting an emission standard based on the Heavy-duty FTP for engines intended for use in combination tractor trailers could lead manufacturers to not apply turbocompounding even though it can be a highly cost effective means to reduce GHG emissions and lower fuel consumption. (It is for this reason that turbocompounding is not part of the technology basis for MHD or HHD engines installed in vocational vehicles.)</P>
                    <P>
                        The agencies proposed that engines installed in tractors demonstrate compliance with the CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards over the SET cycle. Commenters such as Cummins, Bosch, Daimler, and Honeywell supported the proposed approach. ACEEE recommended adopting a new test cycle, such as the World Harmonized Duty Cycle which was developed using newer data, to evaluate HD engines. Daimler also supported the WHDC for future phases of the program. The agencies continue to believe the important issues and technical work related to setting new criteria pollutant emissions standards appropriate for the World Harmonized Duty Cycle are significant and beyond the scope of this rulemaking. The SET cycle remains representative of typical driving cycles for combination tractors (and engines installed in them). Therefore, the agencies are adopting the SET cycle to evaluate CO
                        <E T="52">2</E>
                         emissions and fuel consumption of HD engines installed in tractors, as proposed.
                    </P>
                    <P>
                        The current non-GHG emissions engine test procedures also require the development of regeneration emission rates and frequency factors to account for the emission changes during a regeneration event (40 CFR 86.004-28). EPA and NHTSA proposed not to include these emissions from the calculation of the compliance levels over the defined test procedures. Cummins and Daimler supported this approach and stated that sufficient incentives already exist for manufacturers to limit regeneration frequency. Conversely, Volvo opposed the omission of IRAF requirements for CO
                        <E T="52">2</E>
                         emissions because emissions from regeneration can be a significant portion of the expected improvement and a significant variable between manufacturers
                    </P>
                    <P>
                        At proposal, we considered including regeneration in the estimate of fuel consumption and GHG emissions and decided not to do so for two reasons. 
                        <E T="03">See</E>
                         75 FR at 74188. First, EPA's existing criteria emission regulations already provide a strong motivation to engine manufacturers to reduce the frequency and duration of infrequent regeneration events. The very stringent 2010 NO
                        <E T="52">X</E>
                         emission standards cannot be met by engine designs that lead to frequent and extend regeneration events. Hence, we believe engine manufacturers are already reducing regeneration emissions to the greatest degree possible. In addition to believing that regenerations are already controlled to the extent technologically possible, we believe that attempting to include regeneration emissions in the standard setting could lead to an inadvertently lax emissions standard. In order to include regeneration and set appropriate standards, EPA and NHTSA would have needed to project the regeneration 
                        <PRTPAGE P="57160"/>
                        frequency and duration of future engine designs in the time frame of this program. Such a projection would be inherently difficult to make and quite likely would underestimate the progress engine manufacturers will make in reducing infrequent regenerations. If we underestimated that progress, we would effectively be setting a more lax set of standards than otherwise would be expected. Hence in setting a standard including regeneration emissions we faced the real possibility that we would achieve less effective CO
                        <E T="52">2</E>
                         emissions control and fuel consumption reductions than we will achieve by not including regeneration emissions. Therefore, the agencies are finalizing an approach as proposed which does not include the regenerative emissions.
                    </P>
                    <HD SOURCE="HD3">(j) Chassis-Based Test Procedure</HD>
                    <P>In the proposal, the agencies considered proposing a chassis-based vehicle test to evaluate Class 7 and 8 tractors based on a laboratory test of the engine and vehicle together. A “chassis dynamometer test” for heavy-duty vehicles would be similar to the Federal Test Procedure used today for light-duty vehicles.</P>
                    <P>
                        However, the agencies decided not to propose the use of a chassis test procedure to demonstrate compliance for tractor standards due to the significant technical hurdles to implementing such a program by the 2014 model year. The agencies recognize that such testing requires expensive, specialized equipment that is not yet widespread within the industry. The agencies have only identified approximately 11 heavy-duty chassis sites in the United States today and rapid installation of new facilities to comply with model year 2014 is not possible.
                        <SU>108</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>108</SU>
                             For comparison, engine manufacturers typically own a large number of engine dynamometer test cells for engine development and durability (up to 100 engine dynamometers per manufacturer).
                        </P>
                    </FTNT>
                    <P>
                        In addition, and of equal if not greater importance, because of the enormous numbers of vehicle configurations that have an impact on fuel consumption, we do not believe that it would be reasonable to require testing of many combinations of tractor model configurations on a chassis dynamometer. The agencies evaluated the options available for one tractor model (provided as confidential business information from a truck manufacturer) and found that the company offered three cab configurations, six axle configurations, five front axles, 12 rear axles, 19 axle ratios, eight engines, 17 transmissions, and six tire sizes—where each of these options could impact the fuel consumption and CO
                        <E T="52">2</E>
                         emissions of the tractor. Even using representative grouping of tractors for purposes of certification, this presents the potential for many different combinations that would need to be tested if a standard were adopted based on a chassis test procedure.
                    </P>
                    <P>The agencies received comments from ACEEE and UCS supporting a full vehicle testing approach, but these commenters recognized the difficulties in doing this in the first phase of the HD program. The agencies maintain that the full vehicle testing on chassis dynamometers is not feasible in the timeframe of this rulemaking, although we believe such an approach may be appropriate in the future, if more testing facilities become available and if the agencies are able to address the complexity of tractor configurations issue described above.</P>
                    <HD SOURCE="HD3">(4) Summary of Flexibility and Credit Provisions for Tractors and Engine Used in These Tractors</HD>
                    <P>
                        EPA and NHTSA are finalizing four flexibility provisions specifically for heavy-duty tractor and engine manufacturers, as discussed in Section IV below. These are an averaging, banking and trading program for emissions and fuel consumption credits, as well as provisions for early credits, advanced technology credits, and credits for innovative vehicle or engine technologies which are not included as inputs to the GEM or are not demonstrated on the engine SET test cycle. With the exception of the advanced technology credits, credits generated under these provisions can only be used within the same averaging set which generated the credit (for example, credits generated by HD engines installed in tractors can only be used by HD engines). EPA is also adopting a N
                        <E T="52">2</E>
                        O emission credit program, as described in Section IV below.
                    </P>
                    <HD SOURCE="HD3">(5) Deferral of Standards for Tractor and Engine Manufacturing Companies That Are Small Businesses</HD>
                    <P>
                        EPA and NHTSA are not adopting greenhouse gas emissions and fuel consumption standards for small tractor or engine manufacturers meeting the Small Business Administration (SBA) size criteria of a small business as described in 13 CFR 121.201.
                        <SU>109</SU>
                        <FTREF/>
                         The agencies will instead consider appropriate GHG and fuel consumption standards for these entities as part of a future regulatory action. This includes both U.S.-based and foreign small volume heavy-duty tractor and engine manufacturers.
                    </P>
                    <FTNT>
                        <P>
                            <SU>109</SU>
                             
                            <E T="03">See</E>
                             § 1036.150 and § 1037.150.
                        </P>
                    </FTNT>
                    <P>
                        The agencies have identified two entities that fit the SBA size criterion of a small business.
                        <SU>110</SU>
                        <FTREF/>
                         The agencies estimate that these small entities comprise less than 0.5 percent of the total heavy-duty combination tractors in the United States based on Polk Registration Data from 2003 through 2007,
                        <SU>111</SU>
                        <FTREF/>
                         and therefore that the exemption will have a negligible impact on the GHG emissions and fuel consumption improvements from the final standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>110</SU>
                             The agencies have identified Ottawa Truck, Inc. and Kalmar Industries USA as two potential small tractor manufacturers.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>111</SU>
                             M.J. Bradley. Heavy-duty Vehicle Market Analysis. May 2009.
                        </P>
                    </FTNT>
                    <P>To ensure that the agencies are aware of which companies would be exempt, we are requiring that such entities submit a declaration to EPA and NHTSA containing a detailed written description of how that manufacturer qualifies as a small entity under the provisions of 13 CFR 121.201.</P>
                    <HD SOURCE="HD2">C. Heavy-Duty Pickup Trucks and Vans</HD>
                    <P>
                        The primary elements of the EPA and NHTSA programs for complete HD pickups and vans are presented in this section. These provisions also cover optional chassis certification of incomplete HD vehicles and of Class 4 and 5 vehicles, as discussed in detail in Section V.B(1)(e). Section II.C(1) explains the form of the CO
                        <E T="52">2</E>
                         and fuel consumption standards, the numerical levels for those standards, and the approach to phasing in the standards over time. The measurement procedure for determining compliance is discussed in Section II.C(2), and the EPA and NHTSA compliance programs are discussed in Section II.C(3). Section II.C(4) discusses implementation flexibility provisions. Section II.E discusses additional standards and provisions for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions, for vehicle air conditioning leakage, and for ethanol-fueled and electric vehicles. HD pickup and van air conditioning efficiency is not being regulated, for reasons discussed in Section II.E.
                    </P>
                    <HD SOURCE="HD3">(1) What are the levels and timing of HD pickup and van standards?</HD>
                    <HD SOURCE="HD3">(a) Vehicle-Based Standards</HD>
                    <P>
                        About 90 percent of Class 2b and 3 vehicles are pickup trucks, passenger vans, and work vans that are sold by the original equipment manufacturers as complete vehicles, ready for use on the road. In addition, most of these 
                        <PRTPAGE P="57161"/>
                        complete HD pickups and vans are covered by CAA vehicle emissions standards for criteria pollutants today (
                        <E T="03">i.e.,</E>
                         they are chassis tested similar to light-duty), expressed in grams per mile. This distinguishes this category from other, larger heavy-duty vehicles that typically have only the engines covered by CAA engine emission standards, expressed in grams per brake horsepower-hour. As a result, Class 2b and 3 complete vehicles share much more in common with light-duty trucks than with other heavy-duty vehicles.
                    </P>
                    <P>Three of these commonalities are especially significant: (1) Over 95 percent of the HD pickups and vans sold in the United States are produced by Ford, General Motors, and Chrysler—three companies with large light-duty vehicle and light-duty truck sales in the United States, (2) these companies typically base their HD pickup and van designs on higher sales volume light-duty truck platforms and technologies, often incorporating new light-duty truck design features into HD pickups and vans at their next design cycle, and (3) at this time most complete HD pickups and vans are certified to vehicle-based rather than engine-based EPA standards. There is also the potential for substantial GHG and fuel consumption reductions from vehicle design improvements beyond engine changes (such as through optimizing aerodynamics, weight, tires, and accessories), and the manufacturer is generally responsible for both engine and vehicle design. All of these factors together suggest that it is appropriate and reasonable to set standards for the vehicle as a whole, rather than to establish separate engine and vehicle GHG and fuel consumption standards, as is being done for the other heavy-duty categories. This approach for complete vehicles is consistent with Recommendation 8-1 of the NAS Report, which encourages the regulation of “the final stage vehicle manufacturers since they have the greatest control over the design of the vehicle and its major subsystems that affect fuel consumption.” There was consensus in the public comments supporting this approach.</P>
                    <HD SOURCE="HD3">(b) Work-Based Attributes</HD>
                    <P>In setting heavy-duty vehicle standards it is important to take into account the great diversity of vehicle sizes, applications, and features. That diversity reflects the variety of functions performed by heavy-duty vehicles, and this in turn can affect the kind of technology that is available to control emissions and reduce fuel consumption, and its effectiveness. EPA has dealt with this diversity in the past by making weight-based distinctions where necessary, for example in setting HD vehicle standards that are different for vehicles above and below 10,000 lb GVWR, and in defining different standards and useful life requirements for light-, medium-, and heavy-heavy-duty engines. Where appropriate, distinctions based on fuel type have also been made, though with an overall goal of remaining fuel-neutral.</P>
                    <P>The joint EPA GHG and NHTSA fuel economy rules for light-duty vehicles accounted for vehicle diversity in that segment by basing standards on vehicle footprint (the wheelbase times the average track width). Passenger cars and light trucks with larger footprints are assigned numerically higher target levels for GHGs and numerically lower target levels for fuel economy in acknowledgement of the differences in technology as footprint gets larger, such that vehicles with larger footprints have an inherent tendency to burn more fuel and emit more GHGs per mile of travel. Using a footprint-based attribute to assign targets also avoids interfering with the ability of the market to offer a variety of products to maintain consumer choice.</P>
                    <P>
                        In developing this rulemaking, the agencies emphasized creating a program structure that would achieve reductions in fuel consumption and GHGs based on how vehicles are used and on the work they perform in the real world, consistent with the NAS report recommendations to be mindful of HD vehicles' unique purposes. Despite the HD pickup and van similarities to light-duty vehicles, we believe that the past practice in EPA's heavy-duty program of using weight-based distinctions in dealing with the diversity of HD pickup and van products is more appropriate than using vehicle footprint. Work-based measures such as payload and towing capability are key among the things that characterize differences in the design of vehicles, as well as differences in how the vehicles will be used. Vehicles in this category have a wide range of payload and towing capacities. These work-based differences in design and in-use operation are the key factors in evaluating technological improvements for reducing CO
                        <E T="52">2</E>
                         emissions and fuel consumption. Payload has a particularly important impact on the test results for HD pickup and van emissions and fuel consumption, because testing under existing EPA procedures for criteria pollutants is conducted with the vehicle loaded to half of its payload capacity (rather than to a flat 300 lb as in the light-duty program), and the correlation between test weight and fuel use is strong.
                        <SU>112</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>112</SU>
                             Section II.C(2) discusses our decision that GHGs and fuel consumption for HD pickups and vans be measured using the same test conditions as in the existing EPA program for criteria pollutants.
                        </P>
                    </FTNT>
                    <P>Towing, on the other hand, does not directly factor into test weight as nothing is towed during the test. Hence only the higher curb weight caused by heavier truck components would play a role in affecting measured test results. However towing capacity can be a significant factor to consider because HD pickup truck towing capacities can be quite large, with a correspondingly large effect on design.</P>
                    <P>We note too that, from a purchaser perspective, payload and towing capability typically play a greater role than physical dimensions in influencing purchaser decisions on which heavy-duty vehicle to buy. For passenger vans, seating capacity is of course a major consideration, but this correlates closely with payload weight.</P>
                    <P>Although heavy-duty vehicles are traditionally classified by their GVWR, we do not believe that GVWR is the best weight-based attribute on which to base GHG and fuel consumption standards for this group of vehicles. GVWR is a function of not only payload capacity but of vehicle curb weight as well; in fact, it is the simple sum of the two. Allowing more GHG emissions from vehicles with higher curb weight tends to penalize lightweighted vehicles with comparable payload capabilities by making them meet more stringent standards than they would have had to meet without the weight reduction. The same would be true for another common weight-based measure, the gross vehicle combination weight, which adds the maximum combined towing and payload weight to the curb weight.</P>
                    <P>
                        Similar concerns about using weight-based attributes that include vehicle curb weight were raised in the EPA/NHTSA proposal for light-duty GHG and fuel economy standards: “footprint-based standards provide an incentive to use advanced lightweight materials and structures that would be discouraged by weight-based standards”, and “there is less risk of `gaming' (artificial manipulation of the attribute(s) to achieve a more favorable target) by increasing footprint under footprint-based standards than by increasing vehicle mass under weight-based standards—it is relatively easy for a manufacturer to add enough weight to a vehicle to decrease its applicable fuel economy target a significant amount, as compared to increasing vehicle footprint” (74 FR 49685, September 28, 
                        <PRTPAGE P="57162"/>
                        2009). The agencies believe that using payload and towing capacities as the work-based attributes avoids the above-mentioned disincentive for the use of lightweighting technology by taking vehicle curb weight out of the standards determination.
                    </P>
                    <P>After taking these considerations into account, EPA and NHTSA proposed to set standards for HD pickups and vans based on the proposed “work factor” attribute that combines vehicle payload capacity and vehicle towing capacity, in pounds, with an additional fixed adjustment for four-wheel drive (4wd) vehicles. This adjustment accounts for the fact that 4wd, critical to enabling the many off-road heavy-duty work applications, adds roughly 500 lb to the vehicle weight. There was consensus in the public comments supporting this attribute, and the agencies are adopting it as proposed. Target GHG and fuel consumption standards will be determined for each vehicle with a unique work factor (analogous to a target for each discrete vehicle footprint in the light-duty vehicle rules). These targets will then be production weighted and summed to derive a manufacturer's annual fleet average standard for its heavy-duty pickups and vans. Widespread support for the proposed work factor-based approach to standards and fleet average approach to compliance was expressed in the comments we received.</P>
                    <P>
                        To ensure consistency and help preclude gaming, we are finalizing the proposed provision that payload capacity be defined as GVWR minus curb weight, and towing capacity as GCWR minus GVWR. For purposes of determining the work factor, GCWR is defined according to the Society of Automotive Engineers (SAE) Recommended Practice J2807 APR2008, GVWR is defined consistent with EPA's criteria pollutants program, and curb weight is defined as in 40 CFR 86.1803-01. Based on analysis of how CO
                        <E T="52">2</E>
                         emissions and fuel consumption correlate to work factor, we believe that a straight line correlation is appropriate across the spectrum of possible HD pickups and vans, and that vehicle distinctions such as Class 2b versus Class 3 need not be made in setting standards levels for these vehicles.
                        <SU>113</SU>
                        <FTREF/>
                         This approach was supported by commenters.
                    </P>
                    <FTNT>
                        <P>
                            <SU>113</SU>
                             Memorandum from Anthony Neam and Jeff Cherry, U.S.EPA, to docket EPA-HQ-OAR-2010-0162, October 18, 2010.
                        </P>
                    </FTNT>
                    <P>
                        We note that payload/towing-dependent gram per mile and gallon per 100 mile standards for HD pickups and vans parallel the gram per ton-mile and gallon per 1,000 ton-mile standards being finalized for Class 7 and 8 combination tractors and for vocational vehicles. Both approaches account for the fact that more work is done, more fuel is burned, and more CO
                        <E T="52">2</E>
                         is emitted in moving heavier loads than in moving lighter loads. Both of these load-based approaches avoid penalizing vehicle designers wishing to reduce GHG emissions and fuel consumption by reducing the weight of their trucks. However, the sizeable diversity in HD work truck and van applications, which go well beyond simply transporting freight, and the fact that the curb weights of these vehicles are on the order of their payload capacities, suggest that setting simple gram/ton-mile and gallon/ton-mile standards for them is not appropriate. Even so, we believe that our setting of payload-based standards for HD pickups and vans is consistent with the NAS Report's recommendation in favor of load-specific fuel consumption standards. Again, commenters agreed with this approach to setting HD pickup and van standards.
                    </P>
                    <P>
                        These attribute-based CO
                        <E T="52">2</E>
                         and fuel consumption standards are meant to be relatively consistent from a stringency perspective. Vehicles across the entire range of the HD pickup and van segment have their respective target values for CO
                        <E T="52">2</E>
                         emissions and fuel consumption, and therefore all HD pickups and vans will be affected by the standard. With this attribute-based standards approach, EPA and NHTSA believe there should be no significant effect on the relative distribution of vehicles with differing capabilities in the fleet, which means that buyers should still be able to purchase the vehicle that meets their needs.
                    </P>
                    <HD SOURCE="HD3">(c) Standards</HD>
                    <P>The agencies are finalizing standards based on a technology analysis performed by EPA to determine the appropriate HD pickup and van standards. This analysis, described in detail in RIA Chapter 2, considered:</P>
                    <P>• The level of technology that is incorporated in current new HD pickups and vans,</P>
                    <P>
                        • The available data on corresponding CO
                        <E T="52">2</E>
                         emissions and fuel consumption for these vehicles,
                    </P>
                    <P>
                        • Technologies that would reduce CO
                        <E T="52">2</E>
                         emissions and fuel consumption and that are judged to be feasible and appropriate for these vehicles through the 2018 model year,
                    </P>
                    <P>• The effectiveness and cost of these technologies for HD pickup and vans, </P>
                    <P>• Projections of future U.S. sales for HD pickup and vans, and</P>
                    <P>• Forecasts of manufacturers' product redesign schedules.</P>
                    <P>
                        Based on this analysis, EPA is finalizing the proposed CO
                        <E T="52">2</E>
                         attribute-based target standards shown in Figure 0-2 and II-3, and NHTSA is finalizing the equivalent attribute-based fuel consumption target standards, also shown in Figure 0-2 and II-3, applicable in model year 2018. These figures also shows phase-in standards for model years before 2018, and their derivation is explained below, along with alternative implementation schedules to ensure equivalency between the EPA and NHTSA programs while meeting respective statutory obligations. Also, for reasons discussed below, the agencies proposed and are establishing separate targets for gasoline-fueled (and any other Otto-cycle) vehicles and diesel-fueled (and any other Diesel-cycle) vehicles. The targets will be used to determine the production-weighted fleet average standards that apply to the combined diesel and gasoline fleet of HD pickups and vans produced by a manufacturer in each model year.
                        <FTREF/>
                    </P>
                    <GPH SPAN="3" DEEP="349">
                        <PRTPAGE P="57163"/>
                        <GID>ER15SE11.002</GID>
                    </GPH>
                    <FTNT>
                        <P>
                            <SU>114</SU>
                             The NHTSA program provides voluntary standards for model years 2014 and 2015. Target line functions for 2016-2018 are for the second NHTSA alternative described in Section II.C(d)(ii).
                        </P>
                    </FTNT>
                    <GPH SPAN="3" DEEP="335">
                        <PRTPAGE P="57164"/>
                        <GID>ER15SE11.003</GID>
                    </GPH>
                    <P>
                        Described mathematically, EPA's and NHTSA's target standards are defined by the following
                        <FTREF/>
                         formulae:
                    </P>
                    <FTNT>
                        <P>
                            <SU>115</SU>
                             The NHTSA program provides voluntary standards for model years 2014 and 2015. Target line functions for 2016-2018 are for the second NHTSA alternative described in Section II.C(d)(ii).
                        </P>
                    </FTNT>
                    <FP SOURCE="FP-2">
                        EPA CO
                        <E T="52">2</E>
                         Target (g/mile) = [a × WF] + b
                    </FP>
                    <FP SOURCE="FP-2">NHTSA Fuel Consumption Target (gallons/100 miles) = [c × WF] + d</FP>
                    <EXTRACT>
                        <FP SOURCE="FP-2">Where:</FP>
                        <FP SOURCE="FP-2">WF = Work Factor = [0.75 × (Payload Capacity + xwd)] + [0.25 × Towing Capacity]</FP>
                        <FP SOURCE="FP-2">Payload Capacity = GVWR (lb) − Curb Weight (lb)</FP>
                        <FP SOURCE="FP-2">xwd = 500 lb if the vehicle is equipped with 4wd, otherwise equals 0 lb</FP>
                        <FP SOURCE="FP-2">Towing Capacity = GCWR (lb) − GVWR (lb)</FP>
                        <FP SOURCE="FP-2">
                            Coefficients a, b, c, and d are taken from Table II-12 or
                            <FTREF/>
                             Table II-13.
                        </FP>
                        <FTNT>
                            <P>
                                <SU>116</SU>
                                 The NHTSA program provides voluntary standards for model years 2014 and 2015. Target line functions for 2016-2018 are for the second NHTSA alternative described in Section II.C(d)(ii).
                            </P>
                        </FTNT>
                    </EXTRACT>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,6,6,10,6">
                        <TTITLE>
                            Table II-12—Coefficients for HD Pickup and Van Target Standards 
                            <SU>116</SU>
                            <FTREF/>
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Model year</CHED>
                            <CHED H="1">a</CHED>
                            <CHED H="1">b</CHED>
                            <CHED H="1">c</CHED>
                            <CHED H="1">d</CHED>
                        </BOXHD>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Diesel Vehicles</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">2014</ENT>
                            <ENT>0.0478</ENT>
                            <ENT>368</ENT>
                            <ENT>0.000470</ENT>
                            <ENT>3.61</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>0.0474</ENT>
                            <ENT>366</ENT>
                            <ENT>0.000466</ENT>
                            <ENT>3.60</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016</ENT>
                            <ENT>0.0460</ENT>
                            <ENT>354</ENT>
                            <ENT>0.000452</ENT>
                            <ENT>3.48</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017</ENT>
                            <ENT>0.0445</ENT>
                            <ENT>343</ENT>
                            <ENT>0.000437</ENT>
                            <ENT>3.37</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">2018 and later</ENT>
                            <ENT>0.0416</ENT>
                            <ENT>320</ENT>
                            <ENT>0.000409</ENT>
                            <ENT>3.14</ENT>
                        </ROW>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Gasoline Vehicles</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">2014</ENT>
                            <ENT>0.0482</ENT>
                            <ENT>371</ENT>
                            <ENT>0.000542</ENT>
                            <ENT>4.17</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>0.0479</ENT>
                            <ENT>369</ENT>
                            <ENT>0.000539</ENT>
                            <ENT>4.15</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016</ENT>
                            <ENT>0.0469</ENT>
                            <ENT>362</ENT>
                            <ENT>0.000528</ENT>
                            <ENT>4.07</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017</ENT>
                            <ENT>0.0460</ENT>
                            <ENT>354</ENT>
                            <ENT>0.000518</ENT>
                            <ENT>3.98</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2018 and later</ENT>
                            <ENT>0.0440</ENT>
                            <ENT>339</ENT>
                            <ENT>0.000495</ENT>
                            <ENT>3.81</ENT>
                        </ROW>
                    </GPOTABLE>
                    <PRTPAGE P="57165"/>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,6,6,10,6">
                        <TTITLE>Table II-13—Coefficients for NHTSA's First Alternative and EPA's Alternative HD Pickup and Van Target Standards</TTITLE>
                        <BOXHD>
                            <CHED H="1">Model year</CHED>
                            <CHED H="1">a</CHED>
                            <CHED H="1">b</CHED>
                            <CHED H="1">c</CHED>
                            <CHED H="1">d</CHED>
                        </BOXHD>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Diesel Vehicles</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                2014 
                                <E T="53">a</E>
                            </ENT>
                            <ENT>0.0478</ENT>
                            <ENT>368</ENT>
                            <ENT>0.000470</ENT>
                            <ENT>3.61</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                2015 
                                <E T="53">a</E>
                            </ENT>
                            <ENT>0.0474</ENT>
                            <ENT>366</ENT>
                            <ENT>0.000466</ENT>
                            <ENT>3.60</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016-2018</ENT>
                            <ENT>0.0440</ENT>
                            <ENT>339</ENT>
                            <ENT>0.000432</ENT>
                            <ENT>3.33</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">2019 and later</ENT>
                            <ENT>0.0416</ENT>
                            <ENT>320</ENT>
                            <ENT>0.000409</ENT>
                            <ENT>3.14</ENT>
                        </ROW>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Gasoline Vehicles</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                2014 
                                <E T="53">a</E>
                            </ENT>
                            <ENT>0.0482</ENT>
                            <ENT>371</ENT>
                            <ENT>0.000542</ENT>
                            <ENT>4.17</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                2015 
                                <E T="53">a</E>
                            </ENT>
                            <ENT>0.0479</ENT>
                            <ENT>369</ENT>
                            <ENT>0.000539</ENT>
                            <ENT>4.15</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016-2018</ENT>
                            <ENT>0.0456</ENT>
                            <ENT>352</ENT>
                            <ENT>0.000513</ENT>
                            <ENT>3.96</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2019 and later</ENT>
                            <ENT>0.0440</ENT>
                            <ENT>339</ENT>
                            <ENT>0.000495</ENT>
                            <ENT>3.81</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="53">a</E>
                             NHTSA standards will be voluntary in 2014 and 2015.
                        </TNOTE>
                    </GPOTABLE>
                    <P>These targets are based on a set of vehicle, engine, and transmission technologies assessed by the agencies and determined to be feasible and appropriate for HD pickups and vans in the 2014-2018 timeframe. See Section III.B for a detailed analysis of these vehicle, engine and transmission technologies, including their feasibility, costs, and effectiveness in HD pickups and vans.</P>
                    <P>
                        To calculate a manufacturer's HD pickup and van fleet average standard, the agencies are requiring that separate target curves be used for gasoline and diesel vehicles. The agencies estimate that in 2018 the target curves will achieve 15 and 10 percent reductions in CO
                        <E T="52">2</E>
                         and fuel consumption for diesel and gasoline vehicles, respectively, relative to a common baseline for current (model year 2010) HD pickup trucks and vans. An additional two percent reduction in GHGs will be achieved by the direct air conditioning leakage standard in the EPA standards. These reductions are based on the agencies' assessment of the feasibility of incorporating technologies (which differ significantly for gasoline and diesel powertrains) in the 2014-2018 model years, and on the differences in relative efficiency in the current gasoline and diesel vehicles. The resulting reductions represent roughly equivalent stringency levels for gasoline and diesel vehicles, which is important in ensuring our program maintains product choices available to vehicle buyers.
                    </P>
                    <P>In written comments on the proposal, Cummins objected to setting separate diesel and gasoline vehicle standards, on the basis that it increases the burden for diesel engine manufacturers more than for gasoline engine manufacturers, and thereby could shift market share away from diesels. EMA argued for fuel-neutrality based on historical precedent and the fact that GHGs emitted by one type of engine are no different than those emitted by another type of engine. We believe that both engine types have roughly equivalent redesign burdens as evidenced by the feasibility and cost analysis in RIA Chapter 2. Also, even though the emissions and fuel consumption reductions are expressed from a common diesel/gasoline baseline in these final rules, the actual starting base for diesels is at a lower level than for gasoline vehicles. Other industry commenters, including those with sizeable diesel sales, expressed general support for the standards. The agencies agree that standards that do not distinguish between fuel types are generally preferable where technological or market-based reasons do not strongly argue otherwise. These technological differences exist presently between gasoline and diesel engines for GHGs, as described above. The agencies emphasize, however, that they are not committed to perpetuating separate GHG standards for gasoline and diesel heavy-duty vehicles and engines, and expect to reexamine the need for separate gasoline/diesel standards in the next rulemaking.</P>
                    <P>Environmental groups and others commented that the proposed standards were not stringent enough, citing the heavy-duty vehicle NAS study finding that technologies such as hybridization are feasible. However, in the ambitious timeframe we are focusing on for these rules, targeting as it does technologies implementable in the HD pickup and van fleet starting in 2014 and phasing in with normal product redesign cycles through 2018, our assessment shows that the standards we are establishing are appropriate. More advanced technologies considered in the NAS report would be appropriate for consideration in future rulemaking activity. Additional conventional technologies identified by commenters as promising in light-duty applications and potentially useful for HD applications are discussed in RIA chapter 2.</P>
                    <P>
                        The NHTSA fuel consumption target curves and the EPA GHG target curves are equivalent. The agencies established the target curves using the direct relationship between fuel consumption and CO
                        <E T="52">2</E>
                         using conversion factors of 8,887 g CO
                        <E T="52">2</E>
                        /gallon for gasoline and 10,180 g CO
                        <E T="52">2</E>
                        /gallon for diesel fuel.
                    </P>
                    <P>
                        It is expected that measured performance values for CO
                        <E T="52">2</E>
                         will generally be equivalent to fuel consumption. However, as explained below in Section 0, EPA is finalizing a provision for manufacturers to use CO
                        <E T="52">2</E>
                         credits to help demonstrate compliance with N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions standards, by expressing any N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         undercompliance in terms of their CO
                        <E T="52">2</E>
                        -equivalent and applying the needed CO
                        <E T="52">2</E>
                         credits. For test families that do not use this compliance alternative, the measured performance values for CO
                        <E T="52">2</E>
                         and fuel consumption will be equivalent because the same test runs and measurement data will be used to determine both values, and calculated fuel consumption will be based on the same conversion factors that are used to establish the relationship between the CO
                        <E T="52">2</E>
                         and fuel consumption target curves (8,887 g CO
                        <E T="52">2</E>
                        /gallon for gasoline and 10,180 g CO
                        <E T="52">2</E>
                        /gallon for diesel fuel). For manufacturers that choose to use the EPA provision for CO
                        <E T="52">2</E>
                         credit use in demonstrating N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         compliance, compliance with the CO
                        <E T="52">2</E>
                         standard will not be directly equivalent to compliance with the NHTSA fuel consumption standard.
                        <PRTPAGE P="57166"/>
                    </P>
                    <HD SOURCE="HD3">(d) Implementation Plan</HD>
                    <HD SOURCE="HD3">(i) EPA Program Phase-In MY 2014-2018</HD>
                    <P>
                        EPA is finalizing the proposed provision that the GHG standards be phased in gradually over the 2014-2018 model years, with full implementation effective in the 2018 model year. Therefore, 100 percent of a manufacturer's vehicle fleet will need to meet a fleet-average standard that will become increasingly more stringent each year of the phase-in period. For both gasoline and diesel vehicles, this phase-in will be 15-20-40-60-100 percent of the model year 2018 stringency in model years 2014-2015-2016-2017-2018, respectively. These percentages reflect stringency increases from a baseline performance level for model year 2010, determined by the agencies based on EPA and manufacturer data. Because these vehicles are not currently regulated for GHG emissions, this phase-in takes the form of target line functions for gasoline and diesel vehicles that become increasingly stringent over the phase-in model years. These year-by-year functions have been derived in the same way as the 2018 function, by taking a percent reduction in CO
                        <E T="52">2</E>
                         from a common unregulated baseline. For example, in 2014 the reduction for both diesel and gasoline vehicles will be 15 percent of the fully-phased-in reductions. Figures II-2 and II-3, and Table 0-12, reflect this phase-in approach.
                    </P>
                    <P>
                        EPA is also providing manufacturers with an optional alternative implementation schedule in model years 2016 through 2018, equivalent to NHTSA's first alternative for standards that do not change over these model years, described below. Under this option the phase-in will be 15-20-67-67-67-100 percent of the model year 2019 stringency in model years 2014-2015-2016-2017-2018-2019, respectively. Table 0-13, above, provides the coefficients “a” and “b” for this manufacturer's alternative. As explained below, this alternative will provide roughly equivalent overall CO
                        <E T="52">2</E>
                         reductions and fuel consumption improvements as the 15-20-40-60-100 percent phase-in. In addition, as explained below, the stringency of this alternative was established by NHTSA such that a manufacturer with a stable production volume and mix over the model year 2016-2018 period could use Averaging, Banking and Trading to comply with either alternative and have a similar credit balance at the end of model year 2018.
                    </P>
                    <P>Under the above-described alternatives, each manufacturer will need to demonstrate compliance with the applicable fleet average standard using that year's target function over all of its HD pickups and vans starting with its MY 2014 fleet of HD pickups and vans. No comments were received in support of an alternative approach that EPA requested comment on, involving phasing in an annually increasing percentage of each manufacturer's sales volume.</P>
                    <HD SOURCE="HD3">(ii) NHTSA Program Phase-In 2016 and Later</HD>
                    <P>NHTSA is finalizing the proposed provision to allow manufacturers to select one of two fuel consumption standard alternatives for model years 2016 and later. Each manufacturer will select an alternative in its joint pre-model year report, discussed below, that is now required to be electronically submitted to the agencies; and, once selected, the alternative will apply for model years 2016 and later, and cannot be reversed. The first alternative will define a fuel consumption target line function for gasoline vehicles and a target line function for diesel vehicles that will not change for model years 2016 to 2018. The target line function coefficients are provided in Table II-13.</P>
                    <P>The second alternative will be equivalent to the EPA target line functions in each model year starting in 2016 and continuing afterwards. Stringency of fuel consumption standards will increase gradually for the 2016 and later model years. Relative to a model year 2010 unregulated baseline for both gasoline and diesel vehicles, stringency will be 40, 60, and 100 percent of the 2018 target line function in model years 2016, 2017, and 2018, respectively. The stringency of the target line functions in the first alternative for model years 2016-2017-2018-2019 is 67-67-67-100 percent, respectively, of the 2019 stringency in the second alternative. The stringency of the first alternative was established so that a manufacturer with a stable production volume and mix over the model year 2016-2018 period could use Averaging, Banking and Trading to comply with either alternative and have a similar credit balance at the end of model year 2018 under the EPA and NHTSA programs.</P>
                    <HD SOURCE="HD3">(iii) NHTSA Voluntary Standards Period</HD>
                    <P>NHTSA is finalizing the proposed provision that manufacturers may voluntarily opt into the NHTSA HD pickup and van program in model years 2014 or 2015. If a manufacturer elects to opt in to the program, it must stay in the program for all the optional model years. Manufacturers that opt in become subject to NHTSA standards for all regulatory categories. To opt into the program, a manufacturer must declare its intent to opt in to the program in its Pre-Model Year Report. The agencies have finalized new requirements for manufacturers to provide all early model declarations as a part of the pre-model year reports. See regulatory text for 49 CFR 535.8 for information related to the Pre-Model Year Report. A manufacturer would begin tracking credits and debits beginning in the model year in which they opt into the program. The handling of credits and debits would be the same as for the mandatory program.</P>
                    <P>For manufacturers that opt into NHTSA's HD pickup and van fuel consumption program in 2014 or 2015, the stringency would increase gradually each model year. Relative to a model year 2010 unregulated baseline, for both gasoline and diesel vehicles, stringency would be 15-20 percent of the model year 2019 target line function stringency (under the NHTSA first alternative) and 15-20 percent of the model year 2018 target line function stringency (under the NHTSA second alternative) in model years 2014-2015, respectively. The corresponding absolute standards target levels are provided in Figure II-2 and II-3, and the accompanying equations.</P>
                    <HD SOURCE="HD3">(2) What are the HD pickup and van test cycles and procedures?</HD>
                    <P>EPA and NHTSA are finalizing the proposed provision that HD pickup and van testing be conducted using the same heavy-duty chassis test procedures currently used by EPA for measuring criteria pollutant emissions from these vehicles, but with the addition of the highway fuel economy test cycle (HFET) currently required only for light-duty vehicle GHG emissions and fuel economy testing. Although the highway cycle driving pattern is identical to that of the light-duty test, other test parameters for running the HFET, such as test vehicle loaded weight, are identical to those used in running the current EPA Federal Test Procedure for complete heavy-duty vehicles.</P>
                    <P>
                        The GHG and fuel consumption results from vehicle testing on the Light-duty FTP and the HFET will be weighted by 55 percent and 45 percent, respectively, and then averaged in calculating a combined cycle result. This result corresponds with the data used to develop the work factor-based CO
                        <E T="52">2</E>
                         and fuel consumption standards, since the data on the baseline and technology efficiency was also 
                        <PRTPAGE P="57167"/>
                        developed in the context of these test procedures. The addition of the HFET and the 55/45 cycle weightings are the same as for the light-duty CO
                        <E T="52">2</E>
                         and CAFE programs, as we believe the real world driving patterns for HD pickups and vans are not too unlike those of light-duty trucks, and we are not aware of data specifically on these patterns that would lead to a different choice of cycles and weightings, nor did any commenters provide such data. More importantly, we believe that the 55/45 weightings will provide for effective reductions of GHG emissions and fuel consumption from these vehicles, and that other weightings, even if they were to more precisely match real world patterns, are not likely to significantly improve the program results.
                    </P>
                    <P>Another important parameter in ensuring a robust test program is vehicle test weight. Current EPA testing for HD pickup and van criteria pollutants is conducted with the vehicle loaded to its Adjusted Loaded Vehicle Weight (ALVW), that is, its curb weight plus ½ of the payload capacity. This is substantially more challenging than loading to the light-duty vehicle test condition of curb weight plus 300 pounds, but we believe that this loading for HD pickups and vans to ½ payload better fits their usage in the real world and will help ensure that technologies meeting the standards do in fact provide real world reductions. The choice is likewise consistent with use of an attribute based in considerable part on payload for the standard. We see no reason to set test load conditions differently for GHGs and fuel consumption than for criteria pollutants, and we are not aware of any new information (such as real world load patterns) since the ALVW was originally set this way that would support a change in test loading conditions, nor did any commenters provide such information. We are therefore using ALVW for test vehicle loading in GHG and fuel consumption testing.</P>
                    <P>Additional provisions for our final testing and compliance program are provided in Section V.B.</P>
                    <HD SOURCE="HD3">(3) How are the HD pickup and van standards structured?</HD>
                    <P>EPA and NHTSA are finalizing the proposed fleet average standards for new HD pickups and vans, based on a manufacturer's new vehicle fleet makeup. In addition, EPA is finalizing proposed in-use standards that apply to the individual vehicles in this fleet over their useful lives. The compliance provisions for these fleet average and in-use standards for HD pickups and vans are largely based on the recently promulgated light-duty GHG and fuel economy program, as described in detail in the proposal.</P>
                    <HD SOURCE="HD3">(a) Fleet Average Standards</HD>
                    <P>
                        In the programs we are finalizing, each manufacturer will have a GHG standard and a fuel consumption standard unique to its new HD pickup and van fleet in each model year, depending on the load capacities of the vehicle models produced by that manufacturer, and on the U.S.-directed production volume of each of those models in that model year. Vehicle models with larger payload/towing capacities have individual targets at numerically higher CO
                        <E T="52">2</E>
                         and fuel consumption levels than lower payload/towing vehicles, as discussed in Section II.C(1). The fleet average standard for a manufacturer is a production-weighted average of the work factor-based targets assigned to unique vehicle configurations within each model type produced by the manufacturer in a model year.
                    </P>
                    <P>
                        The fleet average standard with which the manufacturer must comply is based on its final production figures for the model year, and thus a final assessment of compliance will occur after production for the model year ends. Because compliance with the fleet average standards depends on actual test group production volumes, it is not possible to determine compliance at the time the manufacturer applies for and receives an EPA certificate of conformity for a test group. Instead, at certification the manufacturer will demonstrate a level of performance for vehicles in the test group, and make a good faith demonstration that its fleet, regrouped by unique vehicle configurations within each model type, is expected to comply with its fleet average standard when the model year is over. EPA will issue a certificate for the vehicles covered by the test group based on this demonstration, and will include a condition in the certificate that if the manufacturer does not comply with the fleet average, then production vehicles from that test group will be treated as not covered by the certificate to the extent needed to bring the manufacturer's fleet average into compliance. As in the light-duty program, additional “model type” testing will be conducted by the manufacturer over the course of the model year to supplement the initial test group data. The emissions and fuel consumption levels of the test vehicles will be used to calculate the production-weighted fleet averages for the manufacturer, after application of the appropriate deterioration factor to each result to obtain a full useful life value. 
                        <E T="03">See</E>
                         generally 75 FR 25470-25472.
                    </P>
                    <P>
                        EPA and NHTSA do not currently anticipate notable deterioration of CO
                        <E T="52">2</E>
                         emissions and fuel consumption performance, and are therefore requiring that an assigned deterioration factor be applied at the time of certification: an additive assigned deterioration factor of zero, or a multiplicative factor of one will be used. EPA and NHTSA anticipate that the deterioration factor may be updated from time to time, as new data regarding emissions deterioration for CO
                        <E T="52">2</E>
                         are obtained and analyzed. Additionally, EPA and NHTSA may consider technology-specific deterioration factors, should data indicate that certain control technologies deteriorate differently than others. 
                        <E T="03">See also</E>
                         75 FR 25474.
                    </P>
                    <HD SOURCE="HD3">(b) In-Use Standards</HD>
                    <P>Section 202(a)(1) of the CAA specifies that EPA set emissions standards that are applicable for the useful life of the vehicle. The in-use standards that EPA is finalizing apply to individual vehicles. NHTSA is not adopting in-use standards because they are not required under EISA, and because it is not currently anticipated that there will be any notable deterioration of fuel consumption. For the EPA program, compliance with the in-use standard for individual vehicles and vehicle models will not impact compliance with the fleet average standard, which will be based on the production-weighted average of the new vehicles.</P>
                    <P>EPA is finalizing the proposed provision that the in-use standards for HD pickups and vans be established by adding an adjustment factor to the full useful life emissions and fuel consumption results used to calculate the fleet average. EPA is also finalizing the proposed provision that the useful life for these vehicles with respect to GHG emissions be set equal to their useful life for criteria pollutants: 11 years or 120,000 miles, whichever occurs first (40 CFR 86.1805-04(a)).</P>
                    <P>
                        As discussed above, we are finalizing the proposed provision that certification test results obtained before and during the model year be used directly to calculate the fleet average emissions for assessing compliance with the fleet average standard. Therefore, this assessment and the fleet average standard itself do not take into account test-to-test variability and production variability that can affect measured in-use levels. For this reason, EPA is finalizing the proposed adjustment factor for the in-use standard to provide some margin for production and test-to-
                        <PRTPAGE P="57168"/>
                        test variability that could result in differences between the initial emission test results used to calculate the fleet average and emission results obtained during subsequent in-use testing. EPA is finalizing the proposed provision that each model's in-use CO
                        <E T="52">2</E>
                         standard be the model-specific level used in calculating the fleet average, plus 10 percent. This is the same as the approach taken for light-duty vehicle GHG in-use standards (
                        <E T="03">See</E>
                         75 FR 25473-25474). No adverse comments were received on this proposed provision.
                    </P>
                    <P>As it does now for heavy-duty vehicle criteria pollutants, EPA will use a variety of mechanisms to conduct assessments of compliance with the in-use standards, including pre-production certification and in-use monitoring once vehicles enter customer service. The full useful life in-use standards apply to vehicles that have entered customer service. The same standards apply to vehicles used in pre-production and production line testing, except that deterioration factors are not applied.</P>
                    <HD SOURCE="HD3">(4) What HD pickup and van flexibility provisions are being established?</HD>
                    <P>This program contains substantial flexibility in how manufacturers can choose to implement the EPA and NHTSA standards while preserving their timely benefits for the environment and energy security. Primary among these flexibilities are the gradual phase-in schedule, alternative compliance paths, and corporate fleet average approach which encompasses averaging, banking and trading described above. Additional flexibility provisions are described briefly here and in more detail in Section IV.</P>
                    <P>
                        As explained in Section II.C(3), we are finalizing the proposed provision that, at the end of each model year, when production for the model year is complete, a manufacturer calculate its production-weighted fleet average CO
                        <E T="52">2</E>
                         and fuel consumption. Under this approach, a manufacturer's HD pickup and van fleet that achieves a fleet average CO
                        <E T="52">2</E>
                         or fuel consumption level better than its standard will be allowed to generate credits. Conversely, if the fleet average CO
                        <E T="52">2</E>
                         or fuel consumption level does not meet its standard, the fleet would incur debits (also referred to as a shortfall).
                    </P>
                    <P>A manufacturer whose fleet generates credits in a given model year will have several options for using those credits to offset emissions from other HD pickups and vans. These options include credit carry-back, credit carry-forward, and credit trading. These provisions exist in the light-duty 2012-2016 MY vehicle rule, and similar provisions are part of EPA's Tier 2 program for light-duty vehicle criteria pollutant emissions, as well as many other mobile source standards issued by EPA under the CAA. The manufacturer will be able to carry back credits to offset a deficit that had accrued in a prior model year and was subsequently carried over to the current model year, with a limitation on the carry-back of credits to three model years, consistent with the light-duty program. We are finalizing the proposed provision that, after satisfying any need to offset pre-existing deficits, a manufacturer may bank remaining credits for use in future years, with a limitation on the carry-forward of credits to five model years. We are also finalizing the proposed provision that manufacturers may certify their HD pickup and van fleet a year early, in MY 2013, to generate credits against the MY 2014 standards. This averaging, banking, and trading program for HD pickups and vans is discussed in more detail in Section IV.A. For reasons discussed in detail in that section, we are not finalizing any credit transferability to or from other credit programs or averaging sets.</P>
                    <P>Consistent with the President's May 21, 2010, directive to promote advanced technology vehicles and with the agencies' respective statutory authorities, we are adopting flexibility provisions that parallel similar provisions adopted in the light-duty program. These include credits for advance technology vehicles such as electric vehicles, and credits for innovative technologies that are shown by the manufacturer to provide GHG and fuel consumption reductions in real world driving, but not on the test cycle. See Section IV.B.</P>
                    <HD SOURCE="HD2">D. Class 2b-8 Vocational Vehicles</HD>
                    <P>
                        Heavy-duty vehicles serve a vast range of functions including service for urban delivery, refuse hauling, utility service, dump, concrete mixing, transit service, shuttle service, school bus, emergency, motor homes,
                        <SU>117</SU>
                        <FTREF/>
                         and tow trucks to name only a small subset of the full range of vehicles. The vehicles designed to serve these functions are as unique as the jobs they do. They are vastly different—one from the other—in size, shape and function. The agencies were unable to develop a specific vehicle definition based on the characteristics of these vehicles. Instead at proposal, we proposed to define that Class 2b-8 vocational vehicles as all heavy-duty vehicles which are not included in the Heavy-duty Pickup Truck and Van or the Class 7 and 8 Tractor categories. In effect, we said everything that is not a combination tractor or a pickup truck or van is a vocational vehicle. We are finalizing that definition as proposed reflecting the same challenges we faced at proposal regarding defining the full range of heavy-duty vehicles. As at proposal, recreational vehicles are included under EPA's standards but are not included under NHTSA's final standards. The agencies note that we are adding vocational tractors to the vocational vehicle category in the final rulemaking, as described above in Section II.B.
                    </P>
                    <FTNT>
                        <P>
                            <SU>117</SU>
                             
                            <E T="03">See</E>
                             above for discussion of applicability of NHTSA's standards to non-commercial vehicles.
                        </P>
                    </FTNT>
                    <P>The agencies proposed that Class 4 pickup trucks although similar to Class 2b and 3 vehicles be included in the vocational vehicle category. Comments from EMA, Cummins, NTEA and Navistar supported the premise that Class 4 vehicles belong as part of the vocational vehicle program because they are specifically designed and engineered to meet vocational requirements. They stated that components such as transmissions, axles, frames, and tires differ from the similar pickup trucks and vans in the Class 2b and 3 market. We agree with commenters' arguments that there are a number of important differences between the Class 4 and Class 3 trucks it unreasonable to regulate Class 4 vehicles under the standards for heavy duty pickups and vans. As a result, we are keeping Class 4 vehicles in the vocational vehicle category, but are allowing the optional chassis certification of Class 4 and 5 vehicles. (See Section V.B(1)(e)).</P>
                    <P>As mentioned in Section I, vocational vehicles undergo a complex build process. Often an incomplete chassis is built by a chassis manufacturer with an engine purchased from an engine manufacturer and a transmission purchased from another manufacturer. A body manufacturer purchases an incomplete chassis which is then completed by attaching the appropriate features to the chassis.</P>
                    <P>
                        The diversity in the vocational vehicle segment can be primarily attributed to the variety of vehicle bodies rather than to the chassis. For example, a body builder can build either a Class 6 bucket truck or a Class 6 delivery truck from the same Class 6 chassis. The aerodynamic difference between these two vehicles due to their bodies will lead to different baseline fuel consumption and GHG emissions. However, the baseline fuel consumption and emissions due to the components included in the common chassis (such as the engine, drivetrain, frame, and 
                        <PRTPAGE P="57169"/>
                        tires) will be the same between these two types of complete vehicles.
                    </P>
                    <P>
                        The agencies face difficulties in establishing the baseline CO
                        <E T="52">2</E>
                         and fuel consumption performance for the wide variety of complete vocational vehicles because of the very large number of vehicle types and the need to conduct testing on each of the vehicle types to establish the baseline. To establish standards for a complete vocational vehicle, it would be necessary to assess the potential for fuel consumption and GHG emissions improvement for each of these vehicle types and to establish standards for each vehicle type. Because of the size and complexity of this task, the agencies judged it was not practical to regulate complete vocational vehicles for this first fuel consumption and GHG emissions program. To overcome the lack of baseline information from the different vehicle types and to still achieve improvements to fuel consumption and GHG emissions, the agencies proposed to set standards for the chassis manufacturers of vocational vehicles (but not the body builders) and the engine manufacturers. Chassis manufacturers represent a limited number of companies as compared to body builders, which are made up of a diverse set of companies that are typically small businesses. These companies would need to be regulated if whole vehicle standards were established.
                    </P>
                    <P>Similar to combination tractors, the agencies proposed to set separate vehicle and engine standards for vocational vehicles. A number of comments were received on the proposal to regulate chassis and engine manufacturers. The agencies received comments from DTNA supporting the proposal to regulate the chassis manufacturer but not body manufacturers. While organizations like Cummins and ICCT expressed support for separate engine and vehicle standards, Navistar, Pew, and Volvo, in contrast, opposed separate engine and chassis standards, stating that separate engine standards disadvantages integrated truck/engine manufacturers and full vehicle standards should be required. Volvo asked that the standards include an alternative integrated standard as well as complete vehicle modeling and testing beginning in 2017. ACEEE and Sierra Club stated that the proposed standards and test procedures should move the agencies closer to full vehicle testing.</P>
                    <P>Although the agencies understand that full vehicle standards would allow integrated truck/engine manufacturers—such as electrified accessories and weight reduction—the agencies are finalizing separate standards for vocational vehicles that apply to chassis manufacturers and engine standards for engines installed in these vehicles that apply to engine manufacturers. The agencies continue to believe that it is not practical to regulate complete vocational vehicles for this first fuel consumption and GHG emissions program because of the size and complexity of the task associated with assessing the potential for fuel consumption and GHG emissions improvement for each of the myriad types of vocational vehicles. This issue is discussed further in comment responses found in sections 5 and 6.1.4 of the Response to Comment Document, as well as in the following section of the preamble. Thus, the agencies are finalizing a set of standards for the chassis manufacturers of vocational vehicles (but not the body builders) and for the manufacturers of HD engines used in vocational vehicles.</P>
                    <HD SOURCE="HD3">
                        (1) What are the vocational vehicle and engine CO
                        <E T="52">2</E>
                         and fuel consumption standards and their timing?
                    </HD>
                    <P>
                        In the NPRM, the agencies proposed vehicle standards based on the agencies' assessment of the availability of low rolling resistance tires that could be applied generally to vocational vehicles across the entire category. The agencies considered the possibility of including other technologies in determining the proposed stringency of the vocational vehicle standards, such as aerodynamic improvements, but as discussed in the NPRM, tentatively concluded that such improvements would not be appropriate for basing vehicle standard stringency in this phase of the rulemaking.
                        <SU>118</SU>
                        <FTREF/>
                         For example, the aerodynamics of a recovery vehicle are impacted significantly by the equipment such as the arm located on the exterior of the truck.
                        <SU>119</SU>
                        <FTREF/>
                         The agencies found little opportunity to improve the aerodynamics of the equipment on the truck. The agencies also evaluated the aerodynamic opportunities discussed in the NAS report. The panel found that there was minimal fuel consumption reduction opportunity through aerodynamic technologies for bucket trucks, transit buses, and refuse trucks 
                        <SU>120</SU>
                        <FTREF/>
                         primarily due to the low vehicle speed in normal operation. The panel did report that there are opportunities to reduce the fuel consumption of straight trucks by approximately 1 percent for trucks which operate at the average speed typical of a pickup and delivery truck (30 mph), although the opportunity is greater for vehicles that operate at higher speeds.
                        <SU>121</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>118</SU>
                             
                            <E T="03">See</E>
                             75 FR at 74241.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>119</SU>
                             A recovery vehicle removes or recovers vehicles that are disabled (broken down).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>120</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 21, page 133.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>121</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 21, page 110.
                        </P>
                    </FTNT>
                    <P>The agencies received comments from the Motor Equipment Manufacturers Association, Eaton, NRDC, NESCAUM, NACAA, ACEEE, ICCT, Navistar, Arvin Meritor, the Union of Concerned Scientists and others that technologies such as idle reduction, advanced transmissions, advanced drivetrains, weight reduction, hybrid powertrains, and improved auxiliaries provide opportunities to reduce fuel consumption from vocational vehicles. Commenters asked that the agencies establish regulations that would reflect performance of these technologies and essentially force their utilization.</P>
                    <P>
                        The agencies assessed these technologies and have concluded that they may have the potential to reduce fuel consumption and GHG emissions from at least certain vocational vehicles, but the agencies have not been able to estimate baseline fuel consumption and GHG emissions levels for each type of vocational vehicle and for each type of technology, given the wide variety of models and uses of vocational vehicles. For example, idle reduction technologies such as APUs and cabin heaters can reduce workday idling associated with vocational vehicles. However, characterizing idling activity for the vocational segment in order to quantify the benefits of idle reduction technology is complicated by the variety of duty cycles found in the sector. Idling in school buses, fire trucks, pickup trucks, delivery trucks, and other types of vocational vehicles varies significantly. Given the great variety of duty cycles and operating conditions of vocational vehicles and the timing of these rules, it is not feasible at this time to establish an accurate baseline for quantifying the expected improvements which could result from use of idle reduction technologies. Similarly, for advanced drivetrains and advanced transmissions determining a baseline configuration, or a set of baseline configurations, is extremely difficult given the variety of trucks in this segment. The agencies do not believe that we can legitimately base standard stringency on the use of technologies for which we cannot identify baseline configurations, because absent baseline emissions and baseline fuel consumption, the emissions reductions achieved from introduction of the technology cannot be quantified. For some technologies, such as weight 
                        <PRTPAGE P="57170"/>
                        reduction and improved auxiliaries—such as electrically driven power steering pumps and the vehicle's air conditioning system—the need to limit technologies to those under the control of the chassis manufacturer further restricted the agencies' options for predicating standard stringency on use of these technologies. For example, lightweight components that are under the control of chassis manufacturers are limited to a very few components such as frame rails. Considering the fuel efficiency and GHG emissions reduction benefits that will be achieved by finalizing these rules in the time frame proposed, rather than delaying in order to gain enough information to include additional technologies, the agencies have decided to finalize standards that do not assume the use of these technologies and will consider incorporating them in a later action applicable to later model years. Cf. 
                        <E T="03">Sierra Club</E>
                         v. 
                        <E T="03">EPA</E>
                        , 325 F. 3d 374, 380 (DC Cir. 2003) (in implementing a technology-forcing provision of the CAA, EPA reasonably adopted modest initial controls on an industry sector in order to better assess rules' effects in preparation for follow-up rulemaking).
                    </P>
                    <P>As the program progresses and the agencies gather more information, we expect to reconsider whether vocational vehicle standards for MYs 2019 and beyond should be based on the use of additional technologies besides low rolling resistance tires.</P>
                    <P>
                        EPA is adopting CO
                        <E T="52">2</E>
                         standards and NHTSA is finalizing fuel consumption standards for manufacturers of chassis for new vocational vehicles and for manufacturers of heavy-duty engines installed in these vehicles. The final heavy-duty engine standards for CO
                        <E T="52">2</E>
                         emissions and fuel consumption focus on potential technological improvements in fuel combustion and overall engine efficiency and those controls would achieve most of the emission reductions. Further reductions from the Class 2b-8 vocational vehicle itself are possible within the time frame of these final regulations. Therefore, the agencies are also finalizing separate standards for vocational vehicles that will focus on additional reductions that can be achieved through improvements in vehicle tires. The agencies' analyses, as discussed briefly below and in more detail later in this preamble and in the RIA Chapter 2, show that these final standards appear appropriate under each agency's respective statutory authorities. Together these standards are estimated to achieve reductions of up to 10 percent from most vocational vehicles.
                    </P>
                    <P>
                        EPA is also adopting standards to control N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions from Class 2b-8 vocational vehicles through controlling these GHG emissions from the HD engines. The final heavy-duty engine standards for both N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         and details of the standard are included in the discussion in Section II.E.1.b and II.E.2.b. EPA neither proposed nor is adopting air conditioning leakage standards applying to vocational vehicle chassis manufacturers.
                    </P>
                    <P>
                        As discussed further below, the agencies are setting CO
                        <E T="52">2</E>
                         and fuel consumption standards for the chassis based on tire rolling resistance improvements and for the engines based on engine technologies. The fuel consumption and GHG emissions impact of tire rolling resistance is impacted by the mass of the vehicle. However, the impact of mass on rolling resistance is relatively small so the agencies proposed to aggregate several vehicle weight categories under a single category for setting the standards. The agencies proposed to divide the vocational vehicle segment into three broad regulatory subcategories—Light Heavy-Duty (Class 2b through 5), Medium Heavy-Duty (Class 6 and 7), and Heavy Heavy-Duty (Class 8) which is consistent with the nomenclature used in the diesel engine classification. The agencies received comments supporting the division of vocational vehicles into three regulatory categories from DTNA. The agencies also received comments from Bosch, Clean Air Task Force, and National Solid Waste Management Association supporting a finer resolution of vocational vehicle subcategories. Their concerns include that the agencies' vehicle configuration in GEM is not representative of a particular vocational application, such as refuse trucks. Another recommendation was to divide the category by both GVWR and by operational characteristics. Upon further consideration, the agencies are finalizing as proposed three vocational vehicle subcategories because we believe this adequately balances simplicity while still obtaining reductions in this diverse segment. (As noted in section IV.A below, these three subcategories also denominate separate averaging sets for purposes of ABT.) Finer distinctions in regulatory subcategories would not change the technology basis for the standards or the reductions expected from the vocational vehicle category. As the agencies move towards future heavy-duty fuel consumption and GHG regulations for post-2017 model years, we intend to gather GHG and fuel consumption data for specific vocational applications which could be used to establish application-specific standards in the future.
                    </P>
                    <P>
                        The agencies received comments supporting the exclusion of recreational vehicles, emergency vehicles, school buses from the vocational vehicle standards. The commenters argued that these individual vehicle types were small contributors to overall GHG emissions and that tires meeting their particular performance needs might not be available by 2014. The agencies considered these comments and the agencies have met with a number of tire manufacturers to better understand their expectations for product availability for the 2014 model year. Based on our review of the information shared, we are convinced that tires with rolling resistance consistent with our final vehicle standards and meeting the full range of other performance characteristics desired in the vehicle market, including for RVs, emergency vehicles, and school buses, will be broadly available by the 2014 model year.
                        <SU>122</SU>
                        <FTREF/>
                         Absent regulations for the vast majority of vehicles in this segment, feasible cost-effective reductions available at reasonable cost in the 2014-2018 model years will be needlessly foregone. Therefore, the agencies have decided to finalize the vocational vehicle standards as proposed with recreational vehicles, emergency vehicles and school buses included in the vocational vehicle category. As RVs were not included by NHTSA for proposed regulation, they are not within the scope of the NPRM and are therefore excluded in NHTSA's portion of the final program. NHTSA will revisit this issue in the next rulemaking. In developing the final standards, the agencies have evaluated the current levels of emissions and fuel consumption, the kinds of technologies that could be utilized by manufacturers to reduce emissions and fuel consumption and the associated lead time, the associated costs for the industry, fuel savings for the consumer, and the magnitude of the CO
                        <E T="52">2</E>
                         and fuel savings that may be achieved. After examining the possibility of vehicle improvements based on use of the technologies underlying the standards for Class 7 and 8 tractors, including improved aerodynamics, vehicle speed limiters, idle reduction technologies, tire rolling resistance, and weight reduction, as well as use of hybrid technologies, the agencies ultimately 
                        <PRTPAGE P="57171"/>
                        determined to base the final vehicle standards on performance of tires with superior rolling resistance. For standards for diesel engines installed in vocational vehicles, the agencies examined performance of engine friction reduction, aftertreatment optimization, air handling improvements, combustion optimization, turbocompounding, and waste heat recovery, ultimately deciding to base the final standards on the performance of all of the technologies except turbocompounding and waste heat recovery systems. The standards for gasoline engine installed in vocational vehicles are based on performance of technologies such as gasoline direct injection, friction reduction, and variable valve timing. The agencies' evaluation indicates that these technologies, as described in Section III.C, are available today in the heavy-duty tractor and light-duty vehicle markets, but have very low application rates in the vocational vehicle market. The agencies have analyzed the technical feasibility of achieving the CO
                        <E T="52">2</E>
                         and fuel consumption standards, based on projections of what actions manufacturers would be expected to take to reduce emissions and fuel consumption to achieve the standards, and believe that the standards are cost-effective and technologically feasible and appropriate within the rulemaking time frame. EPA and NHTSA also present the estimated costs and benefits of the vocational vehicle standards in Section III.
                    </P>
                    <FTNT>
                        <P>
                            <SU>122</SU>
                             Bachman, Joseph. Memorandum to the Docket. Heavy-Duty Tire Evaluation. 
                            <E T="03">See</E>
                             Docket #EPA-HQ-OAR-2010-0162. Pages 2-3 and Appendix B.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(a) Vocational Vehicle Chassis Standards</HD>
                    <P>
                        In the NPRM, the agencies defined tire rolling resistance as a frictional loss of energy, associated mainly with the energy dissipated in the deformation of tires under load that influences fuel efficiency and CO
                        <E T="52">2</E>
                         emissions. Tires with higher rolling resistance lose more energy in response to this deformation, thus using more fuel and producing more CO
                        <E T="52">2</E>
                         emissions in operation, while tires with lower rolling resistance lose less energy, and save more fuel and CO
                        <E T="52">2</E>
                         emissions in operation. Tire design characteristics (
                        <E T="03">e.g.,</E>
                         materials, construction, and tread design) influence durability, traction (both wet and dry grip), vehicle handling, ride comfort, and noise in addition to rolling resistance.
                    </P>
                    <P>
                        The agencies explained that a typical Low Rolling Resistance (LRR) tire's attributes, compared to a non-LRR tire, would include increased tire inflation pressure; material changes; and tire construction with less hysteresis, geometry changes (
                        <E T="03">e.g.,</E>
                         reduced height to width aspect ratios), and reduction in sidewall and tread deflection. When a manufacturer applies LRR tires to a vehicle, the manufacturer generally also makes changes to the vehicle's suspension tuning and/or suspension design in order to maintain vehicle handling and ride comfort.
                    </P>
                    <P>
                        The agencies also explained that while LRR tires can be applied to vehicles in all MD/HD classes, they may have special potential for improving fuel efficiency and reducing CO
                        <E T="52">2</E>
                         emissions for vocational vehicles. According to an energy audit conducted by Argonne National Lab, tires are the second largest contributor to energy losses of vocational vehicles, after engines.
                        <SU>123</SU>
                        <FTREF/>
                         Given this finding, the agencies considered the availability of LRR tires for vocational applications by examining the population of tires available, and concluded that there appeared to be few LRR tires for vocational applications. The agencies suggested in the NPRM that this low number of LRR tires for vocational vehicles could be due in part to the fact that the competitive pressure to improve rolling resistance of vocational vehicle tires has been less than in the line haul tire market, given that line haul vehicles generally drive significantly more miles and therefore have significantly higher operating costs for fuel than vocational vehicles, and much greater incentive to improve fuel consumption. The small number of LRR tires for vocational vehicles may perhaps also be due in part to the fact that vocational vehicles generally operate more frequently on secondary roads, gravel roads and roads that have less frequent winter maintenance, which leads vocational vehicle buyers to value tire traction and durability more than rolling resistance. The agencies recognized that this provided an opportunity to improve fuel consumption and GHG emissions by creating a regulatory program that encourages improvements in tire rolling resistance for both line haul and vocational vehicles. The agencies proposed to base standards for all segments of HD vehicles on the use of LRR tires. The agencies estimated that a 10 percent reduction in average tire rolling resistance would be attainable between model years 2010 and 2014 based on the tire development achievements over the last several years in the line haul truck market. This reduction in tire rolling resistance would correlate to a two percent reduction in fuel consumption as modeled by the GEM.
                        <SU>124</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>123</SU>
                             A Class 6 pick up and delivery truck at 50% load has tires as the second largest contributor at speeds up to 35 mph, a typical average speed of urban delivery vehicles. 
                            <E T="03">See</E>
                             Argonne National Laboratory. “Evaluation of Fuel Consumption Potential of Medium and Heavy Duty Vehicles through Modeling and Simulation.” October 2009. Page 91.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>124</SU>
                             
                            <E T="03">See</E>
                             75 FR at 74241.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(i) Summary of Comments</HD>
                    <P>The agencies received many comments on the subject of tire rolling resistance as applied to vocational vehicles. Comments included suggestions for alternative test procedures; whether LRR tires should be applied to certain types of vocational vehicles and whether certain vehicles should be exempted from the vocational vehicle standards if the standards are based on the ability to use LRR tires; the appropriateness of the proposed standards; and compliance issues (discussed below in Section II.D.2.b.</P>
                    <P>Regarding whether LRR tires should be applied to certain types of vocational vehicles, the agencies received many comments from stakeholders, such as Daimler Trucks North America, Fire Apparatus Manufacturers Association (FAMA), International Association of Fire Chiefs, National Ready Mix, National Solid Wastes Management Association (NSWMA), Spartan Motors, National Automobile Dealers Association, among others. There were comments regarding applicability of low rolling resistance tires to vocational vehicles based on LRR tire availability, suitability of the tires for the applications, fuel consumption and GHG emissions benefits and the appropriateness of standards. Many of these commenters focused particularly on the whether LRR tires would compromise the capability of emergency vehicles.</P>
                    <P>
                        Regarding whether LRR tires are available in the market for certain vocational vehicles and whether the vocational vehicle standards were therefore appropriate and feasible, both Ford and AAPC stated that the proposed model-based requirement for Class 2b-8 vocational chassis appeared to require tires with rolling resistance values of approximately 8.0-8.1 kg/metric ton or better, and that limited data available for smaller diameter tires, such as light-truck (LT) tires used on many light heavy-duty trucks and vans, suggested that there exist few if any choices for tires that would comply. Given this concern about the availability of compliant tires, particularly in the case of tires smaller than 22.5″, during the proposed regulatory time frame, AAPC and Ford requested revisions to the requirement, or the modeling method, to establish different standards for vehicles 
                        <PRTPAGE P="57172"/>
                        that use different tire classes, with separate requirements for LT tires, 19.5″ tires, and 22.5″ tires. AAPC argued that standards should be set based on data collected on high volume in-use tires, and that they should be set at a level that ensures the availability of multiple compliant tires. CRR
                    </P>
                    <HD SOURCE="HD3">(ii) Summary of Research Done Since the Notice of Proposed Rulemaking</HD>
                    <P>
                        Since the NPRM, the agencies have conducted additional research on tire rolling resistance for medium- and heavy-duty applications. This research involved direct discussions with tire suppliers,
                        <SU>125</SU>
                        <FTREF/>
                         assessment of the comments received, additional review of tire products available, and a more thorough review of tire use in the field. In addition, EPA has conducted tire rolling resistance testing to help inform the final rulemaking.
                        <SU>126</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>125</SU>
                             Records of these communications, and additional information submitted by the supplier companies and not CBI, are available at Docket No. EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>126</SU>
                             Bachman, Joseph. Memorandum to the Docket. Heavy-Duty Tire Evaluation. July 2011. Docket EPA-HQ-OAR-2010-0162, Pages 3-6.
                        </P>
                    </FTNT>
                    <P>
                        The agencies discussed many aspects of low rolling resistance tire technologies and their application to vocational vehicles with tire suppliers since publication of the NPRM. Several tire suppliers indicated to the agencies that low rolling resistance tires are currently available for vocational applications that would enable compliance with the proposed vocational vehicle standards, such as delivery vehicles, refuse vehicles, and other vocations. However, these conversations also made the agencies aware that availability of low rolling resistance tires varies by supplier. Some suppliers stated they focused their company resources on areas of the medium- and heavy-duty vehicle spectrum where fleet operators would see the most fuel efficiency benefits for the application of low rolling resistance technologies; specifically the long-haul, on-highway applications that drive many miles and use large amounts of fuel. These suppliers stated that this choice was driven by the significant capital investment that would be needed to improve tire rolling resistance across the relatively large number of product offerings in the vocational vehicle segment, based on the wide range of tire sizes, load ratings, and speed ratings, compared to the much narrower range of offerings for long-haul applications.
                        <SU>127</SU>
                        <FTREF/>
                         Other suppliers stated that they have made conscious efforts to reduce the rolling resistance of all of their medium- and heavy-duty vehicle tire offerings, including vocational applications, in an effort to become leaders in this technology.
                    </P>
                    <FTNT>
                        <P>
                            <SU>127</SU>
                             More tire types and sizes have been developed for vocational vehicle applications than for long-haul applications. In some cases, suppliers offer up to 17 different vocational tire designs, and for each design there may be 8-10 different tire sizes. In contrast, a line-haul application may have only 2-3 tire designs with a fewer range of sizes.
                        </P>
                    </FTNT>
                    <P>The agencies also discussed with tire suppliers the potential tire attribute tradeoffs that may be associated with incorporating designs that improve tire rolling resistance, given the driving patterns, environmental conditions, and on-road and off-road surface conditions that vocational vehicles are subjected to. Some vehicle manufacturer commenters had suggested that changes in tire tread block design that improve rolling resistance may adversely affect tire performance characteristics such as traction, resistance to tearing, and resistance to wear and damage from scrubbing on curbs and frequent tight radius turns that are important to customers for vocational vehicle performance. The suppliers agreed that providing tires unable to withstand these conditions or meet the vehicle application needs would adversely affect customer satisfaction and warranty expenses, and would have detrimental financial effects to their businesses. One supplier indicated that theoretically, tread-wear (tire life) could be compromised if suppliers choose to reduce the initial tire tread depth without any offsetting tire compound or design enhancements as the means to achieve rolling resistance reductions. That supplier argued that taking this approach could lead to more frequent tire replacements or re-treading of existing tire carcasses, and that the agencies should therefore take a total lifecycle view when evaluating the effects of driving rolling resistance reductions. That supplier also indicated that a correlation of a 20 percent reduction in rolling resistance achieved through tread depth reduction could lead to a 30 percent decrease in tread-life and 15 percent reduction in wet traction. The agencies note that when they inquired about potential `safety' related tradeoffs, such as traction (braking and handling) and tread wear when applying low rolling resistance technologies, tire suppliers which remain subject to safety standards regardless of this program, consistently responded that they would not produce a tire that compromises safety when fitted in its proper application.</P>
                    <P>In addition to the supplier discussions and evaluation of comments to the Notice of Proposed Rulemaking, EPA conducted a series of tire rolling resistance tests on medium- and heavy-duty vocational vehicle tires. The testing measured the CRR of tires representing 16 different vehicle applications for Class 4-8 vocational vehicles. The testing included approximately 5 samples each of both steer and drive tires for each application. The tests were conducted by two independent tire test labs, Standards Testing Lab (STL) and Smithers-Rapra (Smithers).</P>
                    <P>
                        Overall, a total of 156 medium- and heavy-duty tires
                        <SU>128</SU>
                        <FTREF/>
                         were included in this testing, which was comprised of 88 tires covering various commercial vocational vehicle types, such as bucket trucks, school buses, city delivery vehicles, city transit buses and refuse haulers among others; 47 tires intended for application to tractors; and 21 tires classified as light-truck (LT) tires intended for Class 4 vocational vehicles such as delivery vans. In addition, approximately 20 of the tires tested were exchanged between the labs to assess inter-laboratory variability.
                    </P>
                    <FTNT>
                        <P>
                            <SU>128</SU>
                             After the agencies completed their analysis of these data, the agencies received raw data on 43 additional tires. 
                            <E T="03">See</E>
                             Powell, Greg. Memorandum to the Docket. Additional Tire Testing Results. July 2011. Docket NHTSA-2010-0079. The agencies have not analyzed these additional data, nor included them in the final report, and the data therefore played no role in the agencies' determination of an appropriate standard for vocational vehicles. The agencies will analyze and consider these data, along with any future data received through continued testing, as appropriate, in the next rulemaking for the heavy duty sector.
                        </P>
                    </FTNT>
                    <P>
                        The test results for 88 commercial vocational vehicle tires (19.5″ and 22.5″ sizes) showed a test average CRR of 7.4 kg/metric ton, with results ranging from 5.1 to 9.8. To comply with the proposed vocational vehicle fuel consumption and GHG emissions standards using improved tire rolling resistance as the compliance strategy, a manufacturer would need to achieve an average tire CRR value of 8.1 kg/metric ton.
                        <SU>129</SU>
                        <FTREF/>
                         The measured average CRR of 7.4kg/metric ton is thus better than the average value that would be needed to meet vocational vehicle standards. Of those 173 tires tested, twenty tires had CRR values exceeding 8.1 kg/metric ton, two were at 8.1 kg/metric ton, and sixty-six tires were better than 8.1 kg/metric ton. Additional data analyses examining the tire data by tire size to determine the range and distribution of CRR values within each tire size showed each tire size generally had tires ranging from approximately 6.0 to 8.5 kg/metric ton, with a small number of tires in the 5.3-5.7 kg/metric ton range and a small 
                        <PRTPAGE P="57173"/>
                        number of tires in a range as high as 9.3-9.8 kg/ton. Review of the data showed that for each tire size and vehicle type, the majority of tires tested would enable compliance with vocational vehicle fuel consumption and GHG emission standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>129</SU>
                             
                            <E T="03">See</E>
                             75 FR at 74244.
                        </P>
                    </FTNT>
                    <P>
                        The test results for the 47 tires intended for tractor application showed an overall average of 6.9 kg/ton, the lowest overall average rolling resistance of the different tire applications tested.
                        <SU>130</SU>
                        <FTREF/>
                         This is consistent with what the agencies heard through comments and meetings with tire suppliers whose efforts have focused on tractor applications, particularly for long-haul applications, which yield the highest fuel efficiency benefits from LRR tire technology.
                    </P>
                    <FTNT>
                        <P>
                            <SU>130</SU>
                             The CRR values for these applications ranged from 5.4 to 9.2 kg/metric ton.
                        </P>
                    </FTNT>
                    <P>
                        Finally, the 21 LT tires intended for Class 4 vocational vehicles were comprised of two sizes; LT225/75R16 and LT245/75R16 with 11 and 10 samples tested, respectively. Some auto manufacturers have indicated that CRR values for tires fitted to these Class 4 vehicles typically have a higher CRR values than tires found on commercial vocational vehicles because of the smaller diameter wheel size and the ISO testing protocol.
                        <SU>131</SU>
                        <FTREF/>
                         The test data showed the average CRR for LT225/75R16 tires was 9.1 kg/metric ton and the average for LT245/75R16 tires was 8.6 kg/metric ton. The range for the LT225/75R16 tires spanned 7.4 to 11.0 
                        <SU>132</SU>
                        <FTREF/>
                         and the range for the LT245/75R16 tires ranged from 6.6 to 9.8 kg/metric ton. Overall, the average for the tested LT tires was 8.9 kg/metric ton.
                    </P>
                    <FTNT>
                        <P>
                            <SU>131</SU>
                             
                            <E T="03">See</E>
                             comments to docket EPA-HQ-OAR-2010-0162-1761; Ford Motor Company
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>132</SU>
                             The agency notes the highest CRR values recorded for LT tires, of 11.0 and 10.9, were for two tires of the same size and brand. The nearest recorded values to these two tires were 9.8; substantially beyond the differences between other tires tested.
                        </P>
                    </FTNT>
                    <P>Analysis of the EPA test data for all vocational vehicles, including LT tires, shows the test average CRR is 7.7 kg/metric ton with a standard deviation of 1.2 kg/metric ton. Review of the data thus shows that for each tire size and vehicle type, there are many tires available that would enable compliance with the proposed standards for vocational vehicles and tractors except for LT tires for Class 4 vocational vehicles where test results show the majority of these tires have CRR worse than 8.1 kg/metric ton.</P>
                    <P>The agencies also reviewed the CRR data from the tires that were tested at both the STL and Smithers laboratories to assess inter-laboratory and test machine variability. The agencies conducted statistical analysis of the data to gain better understanding of lab-to-lab correlation and developed an adjustment factor for data measured at each of the test labs. When applied, this correction factor showed that for 77 of the 80 tires tested, the difference between the original CRR and a value corrected CRR was 0.01 kg/metric ton. The values for the remaining three tires were 0.03 kg/metric ton, 0.05 kg/metric ton and 0.07 kg/metric ton. Based on these results, the agencies believe the lab-to-lab variation for the STL and Smithers laboratories would have very small effect on measured CRR values. Further, in analyzing the data, the agencies considered both measurement variability and the value of the measurements relative to proposed standards. The agencies concluded that although laboratory-to-laboratory and test machine-to-test machine measurement variability exists, the level observed is not excessive relative to the distribution of absolute measured CRR performance values and relative to the proposed standards. Based on this, the agencies concluded that the test protocol is reasonable for this program, but are making some revisions to the vehicle standards.</P>
                    <P>
                        The agencies also conducted a winter traction test of 28 tires to evaluate the impact of low rolling resistance designs on winter traction. The results of the study indicate that there was no statistical relationship between rolling resistance and snow traction.
                        <SU>133</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>133</SU>
                             Bachman, Joseph. Memorandum to Docket. Heavy-Duty Tire Evaluation. Docket EPA-HQ-OAR-2010-0162. Pages 3-6.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(iii) Summary of Final Rules</HD>
                    <P>For vocational vehicles, the agencies intend to keep rolling resistance as an input to the GEM but with modifications to the proposed targets as a result of the testing completed by EPA since the NPRM and information from tire suppliers. The agencies continue to believe that LRR tires, which are an available, cost-effective, and appropriate technology with demonstrated fuel efficiency and GHG reduction benefits, are reasonable for all on-highway vehicles.</P>
                    <P>The agencies acknowledge there can be tradeoffs when designing a tire for reduced rolling resistance. These tradeoffs can include characteristics such as wear resistance, cost and scuff resistance. However, the agencies have continued to review this issue and do not believe that LRR tires as specified in the rules present safety issues. The agencies continue to believe that LRR tires, which are an available, cost-effective, and appropriate technology with demonstrated fuel efficiency and GHG reduction benefits, are reasonable for all on-highway vehicles. The final program also provides exemptions for vehicles meeting “low-speed” or “off-road” criteria, including application of speed restricted tires. Vocational vehicles that have speed restricted tires in order to accommodate particular applications may be exempted from the program under the off-road or low-speed exemption, described in greater detail below in Section II.D.(1)(a)(iv).</P>
                    <P>As just noted, the agencies conducted independent testing of current tires available to assist confirming the finalized rolling resistance standards. The tire test samples were selected from those currently available on the market and therefore have no known safety issues and meet all current requirements to allow availability in commerce; including wear, scuff resistance, braking, traction under wet or icy conditions, and other requirements. These tires included a wide array of sizes and designs intended for most all vocational applications, including those used for school buses, refuse haulers, emergency vehicles, concrete mixers, and recreational vehicles. As the test results revealed, there are a significant number of tires available that meet or do better than the rolling resistance targets for vocational vehicles; both light-truck (with an adjustment factor described later in this preamble section) and non-LT tire types, while meeting all applicable safety standards.</P>
                    <P>The agencies also recognize the extreme conditions fire apparatus equipment must navigate to enable firefighters to perform their duties. As described below, the final rules contain provisions to allow for exemption of specific off-road capable vocational vehicles from the fuel efficiency and greenhouse gas standards. Included in the exemption criteria are provisions for vehicles equipped with specific tire types that would be fit to a vehicle to meet extreme demands, including those vehicles designed for off-road capability.</P>
                    <P>
                        As follow-up to the final rules and in support for development of a separate FMVSS rule, NHTSA plans to conduct additional performance-focused testing (beyond rolling resistance) for medium- and heavy-duty trucks. This testing is targeted for completion toward the end of this year. The agencies will review these performance data when available, in concert with any subsequent proposed rulemakings regarding fuel consumption and GHG emissions 
                        <PRTPAGE P="57174"/>
                        standards for medium- and heavy-duty vehicles.
                    </P>
                    <P>For vocational vehicles, the rolling resistance of each tire will be measured using the ISO 28850 test method for drive tires and steer tires planned for fitment to the vehicle being certified. Once the test CRR values are obtained, a manufacturer will input the CRR values for the drive and steer tires separately into the GEM where, for vocational vehicles, the vehicle load is distributed equally over the steer and drive tires. Once entered, the amount of GHG reduction attributed to tire rolling resistance will be incorporated into the overall vehicle compliance value. The following table provides the revised target CRR values for vocational vehicles for 2014 and 2017 model years that are used to determine the vehicle standards.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,r25,r25">
                        <TTITLE>Table II-14—Vocational Vehicle—Target CRR Values for GEM Input</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2014 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Tire Rolling Resistance (kg/metric ton)</ENT>
                            <ENT>7.7 kg/metric ton</ENT>
                            <ENT>7.7 kg/metric ton</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>These target values are being revised based on the significant availability of tires for vocational vehicles applications which have performance better than the originally proposed 8.1 kg/metric ton target. As just discussed, 63 of the 88 tires tested for vocational applications had CRR values better than the proposed target. The tires tested covered fitment to a wide range of vocational vehicle types and classes; thus agencies believe the original target value of 8.1 kg/metric ton was possibly too lenient after reviewing the testing data. Therefore, the agencies believe it is appropriate to reduce the proposed vehicle standard based on performance of a CRR target value of 7.7 kg/metric ton for non-LT tire type. As discussed previously, this value is the test average of all vocational tires tested (including LT) which takes a conservative approach over setting a target based on the average of only the non-LT vocational tires tested. For LT tires, based on both the test data and the comments from AAPC and Ford Motor Company, the agencies recognize the need to provide an adjustment. In lieu of having two sets of Light Heavy-Duty vocational vehicle standards, the agencies are finalizing an adjustment factor which applies to the CRR test results for LT tires. The agencies developed an adjustment factor dividing the overall vocational test average CRR of 7.7 by the LT vocational average of 8.9. This yields an adjustment factor of 0.87. For LT vocational vehicle tires, the measured CRR values will be multiplied by the 0.87 adjustment factor before entering the values in the GEM for compliance.</P>
                    <P>
                        Based on the tire rolling resistance inputs noted above, EPA is finalizing the following CO
                        <E T="52">2</E>
                         standards for the 2014 model year for the Class 2b through Class 8 vocational vehicle chassis, as shown in Table II-15. Similarly, NHTSA is finalizing the following fuel consumption standards for the 2016 model year, with voluntary standards beginning in the 2014 model year. For the EPA GHG program, the standard applies throughout the useful life of the vehicle. The agencies note that both the baseline performance and standards derived for the final rules slightly differ from the values derived for the NPRM. The first difference is due to the change in the target rolling resistance from 8.1 to 7.7 kg/metric ton based on the agencies' test results. Second, there are minor differences in the fuel consumption and CO
                        <E T="52">2</E>
                         emissions due to the small modifications made to the GEM, as noted in RIA Chapter 4. Lastly, the final HHD vocational vehicle standard uses a revised payload assumption of 15,000 pounds instead of the 38,000 pounds used in the NPRM, as described in Section II.D.3.c.iii. As a result, the emission standards shown in Table II-15 for vocational vehicles have changed from the standards published in the NPRM. The changes for light heavy and medium heavy-duty vehicles are modest. The change for heavy heavy-duty vocational vehicles is larger, due to the difference in assumed payload.
                    </P>
                    <P>
                        As with the 2017 MY standards for Class 7 and 8 tractors, EPA and NHTSA are adopting more stringent vocational vehicle standards for the 2017 model year which reflect the CO
                        <E T="52">2</E>
                         emissions reductions required through the 2017 model year engine standards. See also Section II.B.2 explaining the same approach for the standards for combination tractors. As explained in Section 0 below, engine performance is one of the inputs into the GEM compliance model that has a pre-defined (
                        <E T="03">i.e.</E>
                         fixed) value established by the agencies, and that input will change in the 2017 MY to reflect the 2017 MY engine standards. The 2017 MY vocational vehicle standards are not premised on manufacturers installing additional vehicle technologies, and a vocational vehicle that complies with the standards in MY 2016 will also comply in MY 2017 with no vehicle (tire) changes. Thus, although chassis manufacturers will not be required to make further improvements in the 2017 MY to meet the standards, the standards will be more stringent to reflect the engine improvements required in that year. This is because in 2017 MY GEM vehicle modeling outputs (in grams per ton mile and gallons per 1,000 ton mile) will automatically decrease since engine efficiency will improve in that year.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,p1,8/9,i1" CDEF="s50,r50,r50,r50">
                        <TTITLE>
                            Table II-15—Final Class 2
                            <E T="01">b</E>
                            -8 Vocational Vehicle CO
                            <E T="52">2</E>
                             and Fuel Consumption Standards
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                EPA CO
                                <E T="52">2</E>
                                 (gram/ton-mile) Standard Effective 2014 Model Year
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="22"> </ENT>
                            <ENT>Light Heavy-Duty Class 2b-5</ENT>
                            <ENT>Medium Heavy-Duty Class 6-7</ENT>
                            <ENT>Heavy Heavy-Duty Class 8</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Emissions
                            </ENT>
                            <ENT>388</ENT>
                            <ENT>234</ENT>
                            <ENT>226</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                NHTSA Fuel Consumption (gallon per 1,000 ton-mile) Standard Effective 2016 Model Year 
                                <SU>134</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="22"> </ENT>
                            <ENT>Light Heavy-DutyClass 2b-5</ENT>
                            <ENT>Medium Heavy-Duty Class 6-7</ENT>
                            <ENT>Heavy Heavy-Duty Class 8</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Fuel Consumption</ENT>
                            <ENT>38.1</ENT>
                            <ENT>23.0</ENT>
                            <ENT>22.2</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                EPA CO
                                <E T="52">2</E>
                                 (gram/ton-mile) Standard Effective 2017 Model Year
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="22"> </ENT>
                            <ENT>Light Heavy-Duty Class 2b-5</ENT>
                            <ENT>Medium Heavy-Duty Class 6-7</ENT>
                            <ENT>Heavy Heavy-Duty Class 8</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Emissions
                            </ENT>
                            <ENT>373</ENT>
                            <ENT>225</ENT>
                            <ENT>222</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <PRTPAGE P="57175"/>
                            <ENT I="21">NHTSA Fuel Consumption (gallon per ton-mile) Standard Effective 2017 Model Year</ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="22"> </ENT>
                            <ENT>Light Heavy-Duty Class 2b-5</ENT>
                            <ENT>Medium Heavy-Duty Class 6-7</ENT>
                            <ENT>Heavy Heavy-Duty Class 8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Consumption</ENT>
                            <ENT>36.7</ENT>
                            <ENT>22.1</ENT>
                            <ENT>21.8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iv) Off-Road and Low-Speed Vocational Vehicle Standards</HD>
                    <P>
                        Some
                        <FTREF/>
                         vocational vehicles, because they are primarily designed for off-road use, may not be good candidates for low rolling resistance tires. These vehicles may travel on-road for very limited periods of time, such as in traveling on an urban road, or if they are off-loaded from another vehicle onto a road and then are driven off-road. The infrequent and limited exposure to on-road environments makes these vehicles suitable candidates for providing an exemption from the CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards for vocational vehicles (although the standards for HD engines used in vocational vehicles would still apply).
                        <SU>135</SU>
                        <FTREF/>
                         The agencies are also targeting other vehicles that travel at low speeds and that are meant to be used both on- and off-road. The application of certain technologies to these vehicles may not provide the same level of benefits as it would for pure on-road vehicles, and moreover, could even reduce the functionality of the vehicle. In this case, the agencies want to ensure that vehicle functionality is maintained to the maximum extent possible, while avoiding the possibility that achievable benefits are not realized because of the structure of the regulations. The sections below explain this issue in more detail as it applies to tractors and vocational vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>134</SU>
                             Manufacturers may voluntarily opt-in to the NHTSA fuel consumption program in 2014 or 2015. Once a manufacturer opts into the NHTSA program it must stay in the program for all the optional MYs.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>135</SU>
                             
                            <E T="03">See</E>
                             75 FR at 74199.
                        </P>
                    </FTNT>
                    <P>
                        The agencies explained in the NPRM that certain vocational vehicles have very limited on-road usage, and that although they would be defined as “motor vehicles” per 40 CFR 85.1703, the fact that they spend the most of their operations off-road might be reason for excluding them from the vocational vehicle standards. Vocational vehicles, such as those used on oil fields and construction sites,
                        <SU>136</SU>
                        <FTREF/>
                         experience very little benefit from LRR tires or from any other technologies to reduce GHG emissions and fuel consumption. The agencies proposed to allow a narrow range of these 
                        <E T="03">de facto</E>
                         off-road vehicles to be excluded from the proposed vocational vehicle standards if equipped with special off-road tires having lug type treads. The agencies stated in the NPRM that on/off road traction is the only tire performance parameter which trades off with TRR so significantly that tire manufacturers could be unable to develop tires meeting both a TRR standard while maintaining or improving the characteristic allowing them to perform off-road. See generally 75 FR at 74199-200. Therefore, the agencies proposed to exempt these vehicles from the standards while requiring them to use certified engines, which would provide fuel consumption and CO
                        <E T="52">2</E>
                         emission reductions in all vocational applications. To ensure that these vehicles were in fact used chiefly off-road, the agencies proposed requirements that would allow exemption of a vehicle provided the vehicle and the tires were speed restricted. As mentioned, the agencies were aware that the majority of off road trucks primarily use off-road tires and are low speed vehicles as well. Based upon this understanding, the agencies specifically proposed that a vehicle must meet the following requirements to qualify for an exemption from vocational vehicle standards:
                    </P>
                    <FTNT>
                        <P>
                            <SU>136</SU>
                             Vehicles such as concrete mixers, off-road dump trucks, backhoes and wheel loaders.
                        </P>
                    </FTNT>
                    <P>• Tires which are lug tires or contain a speed rating of less than or equal to 60 mph; and</P>
                    <P>• A vehicle speed limiter governed to 55 mph.</P>
                    <P>
                        In response to the NPRM, EMA/TMA, Navistar and Volvo agreed with the proposal to exclude off-road vocational vehicles from the standards because these vehicles primarily operate off-road, but requested broadening the exclusion to cover other types of vocational vehicles. Several manufacturers (IAFC, FAMA, NTEA, NSWMA, AAPC, RMA, Navistar and DTNA) requested the exemption of specific vehicle types, such as on/off-road emergency vehicles, refuse vehicles, low speed transit buses or school buses, because their usage was viewed as being incompatible with LRR tires. Navistar opposed the application of the proposed regulations to school buses, arguing that LRR tires may impact the ride quality for children in school buses. However, Navistar also acknowledged that a significant portion of the national fleet of school buses already utilizes off-road tires designed with lug type tread patterns (
                        <E T="03">e.g.,</E>
                         Kentucky). IAFC, FAMA and NTEA commented that fire trucks and ambulances should also be exempted due to their part-time off-road use such as in responding to a wildland fire or hazardous materials incidents which would require operations on dirt and gravel roads, fields or other off-road environments. Commenters also contended that by requiring a 55-mph limitation, the proposed exemption would be impractical for emergency vehicles due to the need to respond quickly to life-threatening events. The refuse truck manufacturers and trade associations, NSWMA and AAPC, commented that the solid waste industry operates a variety of vocational vehicles that perform solely off-road at landfills. These comments also requested an exemption for certain refuse trucks (
                        <E T="03">i.e.,</E>
                         roll-off container trucks) that frequently go off-road at construction sites. Other commenters (FAMA, IAFC and Oshkosh) opposed compliance with the LRR standard for vocational vehicles for on/off road mixed service tires with aggressive or lug treads, stating that up to this point the industry has had very little interest in improving the LRR aspects of these tires or even to conducting testing to determine values for the coefficient of rolling resistance.
                    </P>
                    <P>
                        For the final rules, the agencies have considered the issues raised by commenters and have decided to adopt different criteria than proposed for exempting vocational vehicles and vocational tractors that primarily travel off-road. The agencies believe that the reasons for proposing the exemption are equally applicable to a wider class of vocational vehicles operating mostly off-road so that the proposals were either unsuitable for the industry or too restrictive to capture all the vehicles intended for the exemption. For example, the NPRM proposal, by using tire tread patterns and VSLs as the basis for qualifying vehicles for the exemption, was too restrictive because other non-lug type tread patterns exist in the market as well as other technologies which are equally capable of limiting the speed of the vehicle, as mentioned by Volvo. Therefore, the 
                        <PRTPAGE P="57176"/>
                        proposed exemption for off-road vocational vehicles will be replaced with new criteria based on the vehicle application, whether it operates at low speed and whether the vehicle has speed restricted tires. The exemption is in part based on existing industry standards established by NHTSA.
                        <SU>137</SU>
                        <FTREF/>
                         As such, any vocational vehicle including vocational tractors primarily used off-road or at low speeds must meet the following criteria to be exempt from GHG and fuel consumption vehicle standards:
                    </P>
                    <FTNT>
                        <P>
                            <SU>137</SU>
                             The heavy-duty off-road exemption is based in part on requirements existing in NHTSA's Federal Motor Vehicle Safety Standards (FMVSS) Nos. 119 and 121. In FMVSS No. 119, titled “New pneumatic tires for motor vehicles with a GVWR of more than 4,538 kilograms (10,000 pounds) and motorcycles,” speed restricted tires rated at a speed of 55 mph or less are subjected to lower test drum speeds in the endurance test to account for their low design speeds (
                            <E T="03">e.g.,</E>
                             off-road tires). The off-road vehicle exemptions adopted for this heavy-duty program were based on the requirements used in FMVSS No. 121, “Air brake systems,” to identify and exclude vocational vehicles based upon their inability to meet on-highway stopping distance requirements.
                        </P>
                    </FTNT>
                    <P>
                        • Any vehicle primarily designed to perform work off-road such as in oil fields, forests, or construction sites and having permanently or temporarily affixed components designed to work in an off-road environment (
                        <E T="03">i.e.,</E>
                         hazardous material equipment or off-road drill equipment) or vehicles operating at low speeds making them unsuitable for normal highway operation; and meeting one or more of the following criteria:
                    </P>
                    <P>• Any vehicle equipped with an axle that has a gross axle weight rating (GAWR) of 29,000 pounds; or</P>
                    <P>• Any truck or bus that has a speed attainable in 2 miles of not more than 33 mph; or</P>
                    <P>• Any truck that has a speed attainable in 2 miles of not more than 45 mph, an unloaded vehicle weight that is not less than 95 percent of its gross vehicle weight rating (GVWR), and no capacity to carry occupants other than the driver and operating crew.</P>
                    <P>
                        The agencies are also adopting in the final rules provisions to exempt any vocational vehicle that can operate in both on and off-road environments and has speed restricted tires rated at 55 mph or below.
                        <SU>138</SU>
                        <FTREF/>
                         The agencies' reasoning in adopting a speed restricted exemption for tires is that the majority of mixed service tires used for off-road use was identified as being restricted at 55 mph or less.
                        <SU>139</SU>
                        <FTREF/>
                         Also, as identified by FMVSS No. 119, speed restricted tires at a rating of 55 mph or less are incapable of meeting the same on-road performance standards as conventional tires. The agencies acknowledge that using a speed restriction criteria could allow certain vehicles to be exempted inappropriately (
                        <E T="03">i.e.,</E>
                         low speed city delivery tractors) but the agencies believe this is preferable to creating a situation where a segment of vehicles are precluded from performing their intended applications. Therefore, the final rules include an exemption for any mixed service (on and off-road) vocational vehicle equipped with off-road tires that are speed restricted at 55 mph or less.
                    </P>
                    <FTNT>
                        <P>
                            <SU>138</SU>
                             
                            <E T="03">See</E>
                             40 CFR 1037.631.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>139</SU>
                             Particular tire use was identified during the FMVSS 119 rulemaking and confirmed through subsequent market research. 
                            <E T="03">See</E>
                             “2010 Year Book the Tire and RIM Association Inc.”
                        </P>
                    </FTNT>
                    <P>Manufacturers choosing to exempt vehicles based on the above criteria will be required to provide a description of how they meet the qualifications for each vehicle family group in their end-of-the year and final year reports (see Section V).</P>
                    <P>A manufacturer having an off-road vehicle failing to meet the criteria under the agencies' off-road exemptions will be allowed to submit a petition describing how and why their vehicles should qualify for exclusion. The process of petitioning for an exemption is explained in § 1037.631 and § 535.8. For each request, the manufacturer will be required to describe why it believes an exemption is warranted and address the following factors which the agencies will consider in granting its petition:</P>
                    <P>• The agencies provide an exemption based on off-road capability of the vehicle or if the vehicle is fitted with speed restricted tires. Which exemption does your vehicle qualify under; and</P>
                    <P>• Are there any comparable tires that exist in the market to carry out the desired application both on and off road for the subject vehicle(s) of the petition which have LLR values that would enable compliance with the standard?</P>
                    <HD SOURCE="HD3">(b) Heavy-Duty Engine Standards for Engines Installed in Vocational Vehicles</HD>
                    <P>
                        EPA is finalizing GHG standards 
                        <SU>140</SU>
                        <FTREF/>
                         and NHTSA is finalizing fuel consumption standards for new heavy-duty engines installed in vocational vehicles. The standards will vary depending on whether the engines are diesel or gasoline powered since emissions and fuel consumption profiles differ significantly depending on whether the engine is gasoline or diesel powered. The agencies' analyses, as discussed briefly below and in more detail later in this preamble and in the RIA Chapter 2, show that these standards are appropriate and feasible under each agency's respective statutory authorities.
                    </P>
                    <FTNT>
                        <P>
                            <SU>140</SU>
                             Specifically, EPA is finalizing CO
                            <E T="52">2</E>
                            , N
                            <E T="52">2</E>
                            O, and CH
                            <E T="52">4</E>
                             emissions standards for new heavy-duty engines over an EPA specified useful life period (
                            <E T="03">See</E>
                             Section 0 for the N
                            <E T="52">2</E>
                            O and CH
                            <E T="52">4</E>
                             standards).
                        </P>
                    </FTNT>
                    <P>The agencies have analyzed the feasibility of achieving the GHG and fuel consumption standards, based on projections of what actions manufacturers are expected to take to reduce emissions and fuel consumption. EPA and NHTSA also present the estimated costs and benefits of the heavy-duty engine standards in Section III below. In developing the final rules, the agencies have evaluated the kinds of technologies that could be utilized by engine manufacturers compared to a baseline engine, as well as the associated costs for the industry and fuel savings for the consumer and the magnitude of the GHG and fuel consumption savings that may be achieved.</P>
                    <P>EPA's existing criteria pollutant emissions regulations for heavy-duty highway engines establish four service classes (three for compression-ignition or diesel engines and one for spark ignition or gasoline engines) that represent the engine's intended and primary vehicle application, as shown in Table II-16 (40 CFR 1036.140 and NHTSA's 49 CFR 535.4). The agencies proposed to use the existing service classes to define the engine subcategories in this HD GHG emissions and fuel consumption program. The agencies did not receive any adverse comments to using this approach. Thus, the agencies are adopting the four engine subcategories for this final action.</P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,r100">
                        <TTITLE>Table II-16—Engine Regulatory Subcategories</TTITLE>
                        <BOXHD>
                            <CHED H="1">Engine category</CHED>
                            <CHED H="1">Intended application</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Light Heavy-duty (LHD) Diesel</ENT>
                            <ENT>Class 2b through Class 5 trucks (8,501 through 19,500 pounds GVWR).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Medium Heavy-duty (MHD) Diesel</ENT>
                            <ENT>Class 6 and Class 7 trucks (19,501 through 33,000 pounds GVWR).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Heavy Heavy-duty (HHD) Diesel</ENT>
                            <ENT>Class 8 trucks (33,001 pounds and greater GVWR.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Gasoline</ENT>
                            <ENT>Incomplete vehicles less than 14,000 pounds GVWR and all vehicles (complete or incomplete) greater than 14,000 pounds GVWR.</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(i) Diesel Engine Standards for Engines Installed in Vocational Vehicles</HD>
                    <P>
                        In the NPRM, the agencies proposed the following CO
                        <E T="52">2</E>
                         and fuel consumption standards for HD diesel engines to be 
                        <PRTPAGE P="57177"/>
                        installed in vocational vehicles, as shown in Table II-17.
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s25,r50,12,12,12">
                        <TTITLE>Table II-17—Vocational Diesel Engine Standards Over the Heavy-Duty FTP Cycle</TTITLE>
                        <BOXHD>
                            <CHED H="1">Model year</CHED>
                            <CHED H="1">Standard</CHED>
                            <CHED H="1">Light heavy-duty diesel</CHED>
                            <CHED H="1">Medium heavy-duty diesel</CHED>
                            <CHED H="1">Heavy heavy-duty diesel</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2014-2016</ENT>
                            <ENT>
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>600</ENT>
                            <ENT>600</ENT>
                            <ENT>567</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Voluntary Fuel Consumption Standard (gallon/100 bhp-hr)</ENT>
                            <ENT>5.89</ENT>
                            <ENT>5.89</ENT>
                            <ENT>5.57</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017 and Later</ENT>
                            <ENT>
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>576</ENT>
                            <ENT>576</ENT>
                            <ENT>555</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Fuel Consumption (gallon/100 bhp-hr)</ENT>
                            <ENT>5.66</ENT>
                            <ENT>5.66</ENT>
                            <ENT>5.45</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>The agencies explained in the NPRM that the standards were based on our assessment of the findings of the 2010 NAS report and other literature sources that there are technologies available to reduce fuel consumption in all these engines by this level in the final time frame in a cost-effective manner. Similar to the technology basis for HD engines used in combination tractors, these technologies include improved turbochargers, aftertreatment optimization, low temperature exhaust gas recirculation, and engine friction reductions.</P>
                    <P>
                        The agencies proposed that the HD diesel engine CO
                        <E T="52">2</E>
                         standards for vocational vehicles would become effective in MY 2014 for EPA, with more stringent CO
                        <E T="52">2</E>
                         standards becoming effective in MY 2017, while NHTSA's fuel consumption standards would become effective in MY 2017, which would be both consistent with the EISA four-year minimum lead-time requirements and harmonized with EPA's timing for stringency increases. The agencies explained that the three-year timing, besides being required by EISA, made sense because EPA's heavy-duty highway engine program for criteria pollutants had begun to provide new emissions standards for the industry in three year increments, which had caused the heavy-duty engine and vehicle manufacturer product plans to fall largely into three year cycles reflecting this regulatory environment.
                        <SU>141</SU>
                        <FTREF/>
                         To further harmonize with EPA, NHTSA proposed voluntary fuel consumption standards for HD diesel engines for vocational vehicles in MYs 2014-2016, allowing manufacturers to opt into the voluntary standards in any of those model years.
                        <SU>142</SU>
                        <FTREF/>
                         Manufacturers opting into the program must declare by statement their intent to comply prior to or at the same time they submit their first application for a certificate of conformity. A manufacturer opting into the program would begin tracking credits and debits beginning in the model year in which they opt in. Both agencies proposed to allow manufacturers to generate and use credits to achieve compliance with the HD diesel engine standards for vocational vehicles, including averaging, banking, and trading (ABT), and deficit carry-forward.
                    </P>
                    <FTNT>
                        <P>
                            <SU>141</SU>
                             
                            <E T="03">See</E>
                             generally 75 FR at 74200-201.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>142</SU>
                             Once a manufacturer opts into the NHTSA program it must stay in the program for all the optional MYs and remain standardized with the implementation approach being used to meet the EPA emission program.
                        </P>
                    </FTNT>
                    <P>
                        The agencies proposed to require HD diesel engine manufacturers to achieve, on average, a three percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions for the 2014 standards over the baseline MY 2010 performance for the HHD diesel engines, and a five percent reduction for the LHD and MHD diesel engines. The standards for the LHD and MHD engine categories were proposed to be set at the same level because the agencies found that there is an overlap in the displacement of engines which are currently certified as LHDD or MHDD. The agencies developed the baseline 2010 model year CO
                        <E T="52">2</E>
                         emissions from data provided to EPA by manufacturers during the non-GHG certification process. Analysis of CO
                        <E T="52">2</E>
                         emissions from 2010 model year LHD and MHDD diesel engines showed little difference between LHD and MHD diesel engine baseline CO
                        <E T="52">2</E>
                         performance in the 2010 model year, which overall averaged 630 g CO
                        <E T="52">2</E>
                        /bhp-hr (6.19 gal/100 bhp-hr).
                        <SU>143</SU>
                        <FTREF/>
                         Furthermore, the technologies available to reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions from these two categories of engines are similar. The agencies considered combining these engine categories into a single category, but decided to maintain these two separate engine categories with the same standard level to respect the different useful life periods associated with each category.
                    </P>
                    <FTNT>
                        <P>
                            <SU>143</SU>
                             Calculated using the conversion 10,180 g CO
                            <E T="52">2</E>
                            /gallon for diesel fuel.
                        </P>
                    </FTNT>
                    <P>For vocational engines certified on the FTP cycle, the agencies proposed to require a five percent reduction for HHD engines and nine percent for LHD and MHD engines. For LHD and MHD engines in 2017 MY, the nine percent reduction is based on the assumption that valvetrain friction reduction can be achieved in LHD and MHD engines in addition to turbo efficiency and accessory (water, oil, and fuel pump) improvements, improved EGR cooler, and other approaches being used for HHD engines.</P>
                    <P>
                        Commenters who discussed the HD diesel engine standards generally did not differentiate between the standards for engines used in combination tractors and the engines used in vocational vehicles. As explained above in Section II.B.2.b, some commenters, such as EMA/TMA, Cummins, DTNA, and other manufacturers, supported the proposed standards, as long as the flexibilities proposed in the NPRM were finalized as proposed. Volvo argued that the standards are being phased in too quickly. Environmental groups and NGOs commented that the standards should be more stringent and reflect the potential for greater fuel consumption and CO
                        <E T="52">2</E>
                         emissions reductions through the use of additional technologies outlined in the 2010 NAS study.
                    </P>
                    <P>
                        In response to those comments, the agencies refer back to our discussion in Section II.B.2.b. The agencies believe that the additional reductions may be achieved through the increased development of the technologies evaluated for the 2014 model year standard, but the agencies' analysis indicates that this type of advanced engine development will require a longer development time than MY 2014. The agencies are therefore providing additional lead time to allow for the introduction of this additional technology, and waiting until 2017 to increase stringency to levels reflecting application of turbocompounding. 
                        <E T="03">See</E>
                         Chapter 2 of the RIA for more details.
                    </P>
                    <P>
                        While it made sense to set standards at the same level for LHD and MHD diesel engines for vocational vehicles, the agencies found that it did not make sense to set HHD standards at the same level. Based on manufacturer-submitted 
                        <PRTPAGE P="57178"/>
                        CO
                        <E T="52">2</E>
                         data for the non-GHG emissions certification process, the agencies found that the baseline for HHD diesel engines was much lower than for LHD/MHD diesel engines—584 g CO
                        <E T="52">2</E>
                        /bhp-hr (5.74 gal/100 bhp-hr) on average for HHD, compared to 630 g CO
                        <E T="52">2</E>
                        /bhp-hr (6.19 gal/100 bhp-hr) on average for LHD/MHD.
                        <SU>144</SU>
                        <FTREF/>
                         In addition to the differences in the baseline performance, the agencies believe that there may be some technologies available to reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions that may be appropriate for the HHD diesel engines but not for the LHD/MHD diesel engines, such as turbocompounding. Therefore, the agencies are setting a different standard level for HHD diesel engines to be used in vocational vehicles. Additional discussion on technical feasibility is included in Section III below and in Chapter 2 of the RIA.
                    </P>
                    <FTNT>
                        <P>
                            <SU>144</SU>
                             Calculated using the conversion 10,180 g CO
                            <E T="52">2</E>
                            /gallon for diesel fuel.
                        </P>
                    </FTNT>
                    <P>
                        After consideration of the comments, EPA and NHTSA are adopting as proposed the CO
                        <E T="52">2</E>
                         emission standards and fuel consumption standards for heavy-duty diesel engines installed in vocational vehicles are presented in Table II-17. Consistent with proposal, the first set of standards take effect with MY 2014 (mandatory standards for EPA, voluntary standards for NHTSA), and the second set take effect with MY 2017 (mandatory for both agencies).
                    </P>
                    <P>
                        Compliance with the standards for engines installed in vocational vehicles will be evaluated based on the composite HD FTP cycle. In the NPRM, the agencies proposed standards based on the Heavy-duty FTP cycle for engines used in vocational vehicles reflecting their primary use in transient operating conditions (typified by both frequent accelerations and decelerations), as well as in some steady cruise conditions as represented on the Heavy-duty FTP. The primary reason the agencies proposed two separate certification cycles for HD diesel engines—one for HD diesel engines used in combination tractors and the other for HD diesel engines used in vocational vehicles—is to encourage engine manufacturers to install technologies appropriate to the intended use of the engine with the vehicle.
                        <SU>145</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>145</SU>
                             
                            <E T="03">See</E>
                             generally 75 FR at 74201.
                        </P>
                    </FTNT>
                    <P>
                        DTNA, Cummins, EMA/TMA, and Honeywell commented that certain vocational vehicle applications would achieve greater fuel consumption and CO
                        <E T="52">2</E>
                         emissions reductions in-use by using an engine designed to meet the SET-based standard. They stated that some vocational vehicles operate at steady-state more frequently than in transient operation, such as motor coaches, and thus should be able to have an engine certified on a steady-state cycle to better reflect the vehicle's real use.
                    </P>
                    <P>
                        In response, while the agencies recognize the value to manufacturers of having additional flexibility that allows them to meet the standards in a way most consistent with how their vehicles and engines will ultimately be used, we remain concerned about increasing flexibility in ways that might impair fuel consumption and CO
                        <E T="52">2</E>
                         emissions reductions. The agencies are therefore providing the option in these final rules for some vocational vehicles, but not others, to have SET certified engines. Heavy heavy-duty vocational engines will be allowed to be SET certified for vocational vehicles, since SET certified HHD engines must meet more stringent GHG and fuel consumption standards than FTP certified engines. We believe this will provide manufacturers additional flexibility while still achieving the expected fuel consumption and CO
                        <E T="52">2</E>
                         emissions reductions. However, medium heavy-duty vocational engines will not be allowed to be SET-certified, because medium heavy-duty engines certified on the FTP must meet a more stringent standard than engines certified on the SET, and the agencies are not confident that fuel consumption and CO
                        <E T="52">2</E>
                         emissions reduction levels would necessarily be maintained.
                    </P>
                    <P>
                        As discussed above in Section II.B.2.b, the agencies place important weight in making our decisions about the cost-effectiveness of the standards and the availability of lead time on the fact that engine manufacturers are expected to redesign and upgrade their products during MYs 2014-2017. The final two-step CO
                        <E T="52">2</E>
                         emission and fuel consumption standards recognize the opportunity for technology improvements over the rulemaking time frame, while reflecting the typical diesel truck manufacturers' and diesel engine manufacturers' product plan cycles. Over these four model years there will be an opportunity for manufacturers to evaluate almost every one of their engine models and add technology in a cost-effective way, consistent with existing redesign schedules, to control GHG emissions and reduce fuel consumption. The time-frame and levels for the standards, as well as the ability to average, bank and trade credits and carry a deficit forward for a limited time, are expected to provide manufacturers the time needed to incorporate technology that will achieve the final GHG and fuel consumption reductions, and to do this as part of the normal engine redesign process. This is an important aspect of the final rules, as it will avoid the much higher costs that would occur if manufacturers needed to add or change technology at times other than these scheduled redesigns.
                        <SU>146</SU>
                        <FTREF/>
                         This time period will also provide manufacturers the opportunity to plan for compliance using a multi-year time frame, again in accord with their normal business practice. Further details on lead time, redesigns and technical feasibility can be found in Section III.
                    </P>
                    <FTNT>
                        <P>
                            <SU>146</SU>
                             
                            <E T="03">See</E>
                             75 FR at 25467-68.
                        </P>
                    </FTNT>
                    <P>The agencies recognize, however, that the schedule of changes for the final standards may not be the most cost-effective one for all manufacturers. For HD diesel engines for use in tractors, the agencies discussed above in Section II.B.2.b our decision in this final program to allow an “OBD phase-in” option for meeting the standards, based on comments received from several industry organizations indicating that aligning technology changes for multiple regulatory requirements would provide them with greater flexibility. In the context of HD diesel engines for use in vocational vehicles, Volvo, EMA/TMA, and DDC specifically requested an “OBD phase-in” option in its comments to the NPRM. DDC argued that bundling design changes where possible can reduce the burden on industry for complying with regulations, so aligning the introduction of the OBD, GHG, and fuel consumption standards could help reduce the resources devoted to validation of new product designs and certification.</P>
                    <P>
                        The agencies have the same interest in providing this flexibility for manufacturers of HD diesel engines for use in vocational vehicles as in providing it for manufacturers of HD diesel engines for use in combination tractors, as long as equivalent emissions and fuel savings are maintained. Thus, in order to provide additional flexibility for manufacturers looking to align their technology changes with multiple regulatory requirements, the agencies are finalizing an alternate “OBD phase-in” option for meeting the HD diesel engine standards which delivers equivalent CO
                        <E T="52">2</E>
                         emissions and fuel consumption reductions as the primary standards for the engines built in the 2013 through 2017 model years, as shown in Table II-18.
                        <PRTPAGE P="57179"/>
                    </P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,10,10,10,10,10,10">
                        <TTITLE>
                            Table II-18—Comparison of CO
                            <E T="52">2</E>
                             reductions for the Engine Standards Under the Alternative OBD Phase-in and Primary Phase-In
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">HHD FTP</CHED>
                            <CHED H="2"> </CHED>
                            <CHED H="2">
                                Primary phase-in standard
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Optional phase-in standard
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Difference in lifetime CO
                                <E T="52">2</E>
                                 engine emissions (MMT)
                            </CHED>
                            <CHED H="1">LHD/MHD FTP</CHED>
                            <CHED H="2">
                                Primary phase-in standard
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Optional phase-in standard
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="2">
                                Difference in lifetime CO
                                <E T="52">2</E>
                                 engine emissions (MMT)
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Baseline</ENT>
                            <ENT>584</ENT>
                            <ENT>584</ENT>
                            <ENT/>
                            <ENT>630</ENT>
                            <ENT>630</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2013 MY Engine</ENT>
                            <ENT>584</ENT>
                            <ENT>577</ENT>
                            <ENT>20</ENT>
                            <ENT>630</ENT>
                            <ENT>618</ENT>
                            <ENT>14</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2014 MY Engine</ENT>
                            <ENT>567</ENT>
                            <ENT>577</ENT>
                            <ENT>−28</ENT>
                            <ENT>600</ENT>
                            <ENT>618</ENT>
                            <ENT>−22</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015 MY Engine</ENT>
                            <ENT>567</ENT>
                            <ENT>577</ENT>
                            <ENT>−28</ENT>
                            <ENT>600</ENT>
                            <ENT>618</ENT>
                            <ENT>−22</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016 MY Engine</ENT>
                            <ENT>567</ENT>
                            <ENT>555</ENT>
                            <ENT>34</ENT>
                            <ENT>600</ENT>
                            <ENT>576</ENT>
                            <ENT>29</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017 MY Engine</ENT>
                            <ENT>555</ENT>
                            <ENT>555</ENT>
                            <ENT>0</ENT>
                            <ENT>576</ENT>
                            <ENT>576</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Net Reductions (MMT)</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>−3</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>0</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                         Table II-19 presents the final HD diesel engine CO
                        <E T="52">2</E>
                         emission and fuel consumption standards under the optional “OBD phase-in” option.
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s20,r50,12,12,12">
                        <TTITLE>Table II-19—Optional Heavy-Duty Engine Standard Phase-in</TTITLE>
                        <BOXHD>
                            <CHED H="1">Model year</CHED>
                            <CHED H="1">Standard</CHED>
                            <CHED H="1">Light heavy-duty diesel</CHED>
                            <CHED H="1">Medium heavy-duty diesel</CHED>
                            <CHED H="1">Heavy heavy-duty diesel</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2013</ENT>
                            <ENT>
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>618</ENT>
                            <ENT>618</ENT>
                            <ENT>577</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Voluntary Fuel Consumption Standard (gallon/100 bhp-hr)</ENT>
                            <ENT>6.07</ENT>
                            <ENT>6.07</ENT>
                            <ENT>5.67</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016 and Later</ENT>
                            <ENT>
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>576</ENT>
                            <ENT>576</ENT>
                            <ENT>555</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Fuel Consumption (gallon/100 bhp-hr)</ENT>
                            <ENT>5.66</ENT>
                            <ENT>5.66</ENT>
                            <ENT>5.45</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        In order to ensure equivalent CO
                        <E T="52">2</E>
                         and fuel consumption reductions and orderly compliance, and to avoid gaming, the agencies are requiring that if a manufacturer selects the OBD phase-in option, it must certify its engines starting in the 2013 model year and continue using this phase-in through the 2016 model year. Manufacturers may opt into the OBD phase-in option through the voluntary NHTSA program, but must opt in in the 2013 model year and continue using this phase-in through the 2016 model year. Manufacturers that opt in to the voluntary NHTSA program in 2014 and 2015 will be required to meet the primary phase-in schedule and may not adopt the OBD phase-in option.
                    </P>
                    <P>
                        As discussed above in Section II.B.2.b, while the agencies believe that the HD diesel engine standards are appropriate, cost-effective, and technologically feasible in the rulemaking time frame, we also recognize that when regulating a category of engines for the first time, there will be individual products that may deviate significantly from the baseline level of performance, whether because of a specific approach to criteria pollution control, or due to engine calibration for specific applications or duty cycles. That earlier discussion described HD diesel engines for use in combination tractors, but the same supporting information is relevant to the agencies' consideration of an alternate standard for HD diesel engines installed in vocational vehicles. In the NPRM, the agencies proposed an optional engine standard for HD diesel engines installed in vocational vehicles based on a five percent reduction from the engine's own 2011 model year baseline level, but requested comment on whether a two percent reduction would be more appropriate.
                        <SU>147</SU>
                        <FTREF/>
                         The comments received in response did not directly address engines for vocational vehicles, but the agencies believe that the information provided by Navistar and others is equally applicable to HD diesel engines for combination tractors and for vocational vehicles. Our assessment for the final standards is that a 2.5 percent reduction is appropriate for LHD and MHD engines installed in vocational vehicles and 3 percent is appropriate for HHD engines installed in vocational vehicles given the technologies available for application to legacy products by model year 2014.
                        <SU>148</SU>
                        <FTREF/>
                         Unlike the majority of engine products in this segment, engine manufacturers have devoted few resources to developing technologies for these legacy products reasoning that the investment would have little value if the engines are to be substantially redesigned or replaced in the next five years. Hence, although the technologies we have identified to achieve the proposed five percent reduction would theoretically work for these legacy products, there is inadequate lead time for manufacturers to complete the pre-application development needed to add the technology to these engines by 2014. The mix of technologies available off the shelf for legacy engines varies between engine lines within OEMs and varies among OEMs as well. On average, based on our review of manufacturer development history and current plans, we project that for the legacy products approximately half of the defined technologies appropriate for the 2014 standard will be available and ready for application by 2014 for older legacy engine designs. Hence, we have concluded that if we limit the reductions to those improvements which reflect further enhancements of already installed systems rather than the addition or replacement of technologies with fully developed new on the shelf components, the potential improvement for the 2014 model year will be 2.5 percent for LHD and MHD engines and 3 percent HHD engines.
                    </P>
                    <FTNT>
                        <P>
                            <SU>147</SU>
                             
                            <E T="03">See</E>
                             75 FR at 74202.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>148</SU>
                             To be codified at 40 CFR 1036.620.
                        </P>
                    </FTNT>
                    <P>
                        Just as for HD diesel engines used in combination tractors, the agencies stress that this option for HD engines used in vocational vehicles is temporary and 
                        <PRTPAGE P="57180"/>
                        limited and is being adopted to address diverse manufacturer needs associated with complying with this first phase of the regulations. This optional, alternative standard will be available only for the 2014 through 2016 model years, because we believe that manufacturers will have had ample opportunity to make appropriate changes to bring their product performance into line with the rest of the industry after that time. This optional standard will not be available unless and until a manufacturer has exhausted all available credits and credit opportunities, and engines under the alternative standard could not generate credits.
                    </P>
                    <P>The agencies note that manufacturers choosing to utilize this option in MYs 2014-2016 will have to make a greater relative improvement in MY 2017 than the rest of the industry, since they will be starting from a worse level. For compliance purposes, in MYs 2014-2016 emissions from engines certified and sold at the alternate level will be averaged with emissions from engines certified and sold at more stringent levels to arrive at a weighted average emissions level for all engines in the subcategory. Again, this option can only be taken if all other credit opportunities have been exhausted and the manufacturer still cannot meet the primary standards. If a manufacturer chooses this option to meet the EPA emission standards in MY 2014-2016, and wants to opt into the NHTSA fuel consumption program in these same MYs it must follow the exact path followed under the EPA program utilizing equivalent fuel consumption standards.</P>
                    <P>As discussed above in Section II.B.2.b, Volvo argued that manufacturers could game the standard by establishing an artificially high 2011 baseline emission level. This could be done, for example, by certifying an engine with high fuel consumption and GHG emissions that is either: (1) Not sold in significant quantities; or (2) later altered to emit fewer GHGs and consume less fuel through service changes. In order to mitigate this possibility, the agencies are requiring either that the 2011 model year baseline must be developed by averaging emissions over all engines in an engine averaging set certified and sold for that model year so as to prevent a manufacturer from developing a single high GHG output engine solely for the purpose of establishing a high baseline or meet additional criteria. The agencies are allowing manufacturers to combine light heavy-duty and medium heavy-duty diesel engines into a single averaging set for this provision because the engines have the same GHG emissions and fuel consumption standards. If a manufacturer does not certify all engine families in an averaging set to the alternate standards, then the tested configuration of the engine certified to the alternate standard must have the same engine displacement and its rated power within 5 percent of the highest rated power as the baseline engine. In addition, the tested configurations must have a BSFC equivalent to or better than all other configurations within the engine family and represent a configuration that is sold to customers.</P>
                    <HD SOURCE="HD3">(ii) Gasoline Engine Standard</HD>
                    <P>
                        Heavy-duty gasoline engines are also used in vocational vehicle applications. The number of engines certified in the past for this segment of vehicles is very limited and has ranged between three and five engine models.
                        <SU>149</SU>
                        <FTREF/>
                         Unlike the heavy-duty diesel engines typical of this segment which are built for vocational vehicles, these gasoline engines are developed for heavy-duty pickup trucks and vans primarily, but are also sold as loose engines to vocational vehicle manufacturers, for use in vocational vehicles such as some delivery trucks. Some fleets still prefer gasoline engines over diesel engines. In the past, this was the case since gasoline stations were more prevalent than stations that sold diesel fuel. Because they are developed for HD pickups and vans, the agencies evaluated these engines in parallel with the heavy-duty pickup truck and van standard development. As in the pickup truck and van segment, the agencies anticipated that the manufacturers will have only one engine re-design within the 2014-2018 model years under consideration within the proposal. The agencies therefore proposed fuel consumption and CO
                        <E T="52">2</E>
                         emissions standards for gasoline engines for use in vocational vehicles, which represent a five percent reduction in CO
                        <E T="52">2</E>
                         emissions and fuel consumption in the 2016 model year over the 2010 MY baseline through use of technologies such as coupled cam phasing, engine friction reduction, and stoichiometric gasoline direct injection.
                    </P>
                    <FTNT>
                        <P>
                            <SU>149</SU>
                             EPA's heavy-duty engine certification database at 
                            <E T="03">http://www.epa.gov/otaq/certdata.htm#largeng.</E>
                        </P>
                    </FTNT>
                    <P>
                        In our meetings with all three of the major manufacturers in the HD pickup and van segment, confidential future product plans were shared with the agencies. Reflecting those plans and our estimates for when engine changes will be made in alignment with those product plans, we had concluded for proposal that the 2016 model year reflects the most logical model year start date for the heavy-duty gasoline engine standards. In order to meet the standards we are finalizing for heavy-duty pickups and vans, we project that all manufacturers will have redesigned their gasoline engine offerings by the start of the 2016 model year. Given the small volume of loose gasoline engine sales relative to complete heavy-duty pickup sales, we think it is appropriate to set the timing for the heavy-duty gasoline engine standard in line with our projections for engine redesigns to meet the heavy-duty pickup truck standards. Therefore, NHTSA's final fuel consumption standard and EPA's final CO
                        <E T="52">2</E>
                         standard for heavy-duty gasoline engines are first effective in the 2016 model year.
                    </P>
                    <P>
                        The baseline 2010 model year CO
                        <E T="52">2</E>
                         performance of these heavy-duty gasoline engines over the Heavy-duty FTP cycle is 660 g CO
                        <E T="52">2</E>
                        /bhp-hr (7.43 gal/100 bhp-hr) in 2010 based on non-GHG certification data provided to EPA by the manufacturers. The agencies are finalizing 2016 model year standards that require manufacturers to achieve a five percent reduction in CO
                        <E T="52">2</E>
                         compared to the 2010 MY baseline through use of technologies such as coupled cam phasing, engine friction reduction, and stoichiometric gasoline direct injection. Additional detail on technology feasibility is included in Section III and in the RIA Chapter 2. As shown in Table II-20, NHTSA is finalizing as proposed a 7.06 gallon/100 bhp-hr standard for fuel consumption while EPA is adopting as proposed a 627 g CO
                        <E T="52">2</E>
                        /bhp-hr standard tested over the Heavy-duty FTP, effective in the 2016 model year. Similar to EPA's non-GHG standards approach, manufacturers may generate and use credits by the same engine averaging set to show compliance with both agencies' standards.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s25,r50,12">
                        <TTITLE>Table II-20—Heavy-Duty Gasoline Engine Standards</TTITLE>
                        <BOXHD>
                            <CHED H="1">Model year</CHED>
                            <CHED H="1"> </CHED>
                            <CHED H="1">
                                Gasoline 
                                <LI>engine</LI>
                                <LI>standard</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2016 and Later</ENT>
                            <ENT>
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>627</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Fuel Consumption (gallon/100 bhp-hr)</ENT>
                            <ENT>7.06</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(c) In-Use Standards</HD>
                    <P>
                        Section 202(a)(1) of the CAA specifies that emissions standards are to be applicable for the useful life of the vehicle. The in-use standards that EPA 
                        <PRTPAGE P="57181"/>
                        is finalizing apply to individual vehicles and engines. NHTSA is not finalizing in-use standards that would apply to the vehicles and engines in a similar fashion.
                    </P>
                    <P>EPA proposed that the in-use standards for heavy-duty engines installed in vocational vehicles be established by adding an adjustment factor to the full useful life emissions results projected in the EPA certification process to account for measurement variability inherent in testing done at different laboratories with different engines. The agency proposed a two percent adjustment factor and requested comments and additional data during the proposal to assist in developing an appropriate factor level. The agency received additional data during the comment period which identified production variability which was not accounted for at proposal. Details on the development of the final adjustment factor are included in RIA Chapter 3. Based on the data received, EPA determined that the adjustment factor in the final rules should be higher than the proposed level of two percent. EPA is finalizing a three percent adjustment factor for the in-use standard to provide a reasonable margin for production and test-to-test variability that could result in differences between the initial emission test results and emission results obtained during subsequent in-use testing.</P>
                    <P>We are finalizing regulatory text (in § 1036.150) to allow engine manufacturers to used assigned deterioration factors (DFs) without performing their own durability emission tests or engineering analysis. However, the engines would still be required to meet the standards in actual use without regard to whether the manufacturer used the assigned DFs. This allowance is being adopted as an interim provision applicable only for this initial phase of standards.</P>
                    <P>
                        Manufacturers will be allowed to use an assigned additive DF of 0.0 g/bhp-hr for CO
                        <E T="52">2</E>
                         emissions from any conventional engine (
                        <E T="03">i.e.,</E>
                         an engine not including advance or innovative technologies). Upon request, we could allow the assigned DF for CO
                        <E T="52">2</E>
                         emissions from engines including advance or innovative technologies, but only if we determine that it would be consistent with good engineering judgment. We believe that we have enough information about in-use CO
                        <E T="52">2</E>
                         emissions from conventional engines to conclude that they will not increase as the engines age. However, we lack such information about the more advanced technologies.
                    </P>
                    <P>
                        EPA proposed that the useful life for these engines and vehicles with respect to GHG emissions be set equal to the respective useful life periods for criteria pollutants. EPA proposed that the existing engine useful life periods, as included in Table II-21, be broadened to include CO
                        <E T="52">2</E>
                         emissions and fuel consumption for both engines and vocational vehicles. The agency did not receive any adverse comments with this approach and is finalizing the useful life periods as proposed (
                        <E T="03">see</E>
                         40 CFR 1036.108(d) and 1037.105). While NHTSA will use useful life considerations for establishing fuel consumption performance for initial compliance and for ABT, NHTSA does not intend to implement an in-use compliance program for fuel consumption, because it is not required under EISA and because it is not currently anticipated there will be notable deterioration of fuel consumption over the engines' useful life.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,12,12">
                        <TTITLE>Table II-21—Useful Life Periods</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Years</CHED>
                            <CHED H="1">Miles</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Class 2b-5 Vocational Vehicles, Spark Ignited, and Light Heavy-Duty Diesel Engines</ENT>
                            <ENT>10</ENT>
                            <ENT>110,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 6-7 Vocational Vehicles and Medium Heavy-Duty Diesel Engines</ENT>
                            <ENT>10</ENT>
                            <ENT>185,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Class 8 Vocational Vehicles and Heavy Heavy-Duty Diesel Engines</ENT>
                            <ENT>10</ENT>
                            <ENT>435,000</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(2) Test Procedures and Related Issues</HD>
                    <P>
                        The agencies are finalizing test procedures to evaluate fuel consumption and CO
                        <E T="52">2</E>
                         emissions of vocational vehicles in a manner very similar to Class 7 and Class 8 combination tractors. This section describes the simulation model for demonstrating compliance, engine test procedures, and a test procedure for evaluating hybrid powertrains (a potential means of generating credits, although not part of the technology package on which the final standard for vocational vehicles is premised).
                    </P>
                    <HD SOURCE="HD3">(a) Computer Simulation Model</HD>
                    <P>As previously mentioned, to achieve the goal of reducing emissions and fuel consumption for both trucks and engines, we are finalizing separate engine and vehicle-based emission and fuel consumption standards for vocational vehicles and engines used in those vehicles. For the vocational vehicles, engine manufacturers are subject to the engine standards, and chassis manufacturers are required to install certified engines in their chassis. The chassis manufacturer is subject to a separate vehicle-based standard that uses the final vehicle simulation model, the GEM, to evaluate the impact of the tire design to determine compliance with the vehicle standard.</P>
                    <P>A simulation model, in general, uses various inputs to characterize a vehicle's properties (such as weight, aerodynamics, and rolling resistance) and predicts how the vehicle would behave on the road when it follows a driving cycle (vehicle speed versus time). On a second-by-second basis, the model determines how much engine power needs to be generated for the vehicle to follow the driving cycle as closely as possible. The engine power is then transmitted to the wheels through transmission, driveline, and axles to move the vehicle according to the driving cycle. The second-by-second fuel consumption of the vehicle, which corresponds to the engine power demand to move the vehicle, is then calculated according to the fuel consumption map embedded in the compliance model. Similar to a chassis dynamometer test, the second-by-second fuel consumption is aggregated over the complete drive cycle to determine the fuel consumption of the vehicle.</P>
                    <P>
                        NHTSA and EPA are finalizing an approach consistent with the proposal to evaluate fuel consumption and CO
                        <E T="52">2</E>
                         emissions respectively through a simulation of whole-vehicle operation, consistent with the NAS recommendation to use a truck model to evaluate truck performance. The EPA developed the GEM for the specific purpose of this rulemaking to evaluate vehicle performance. The GEM is similar in concept to a number of vehicle simulation tools developed by commercial and government entities. The model developed by the EPA and finalized here was designed for the express purpose of vehicle compliance demonstration and is therefore simpler and less configurable than similar 
                        <PRTPAGE P="57182"/>
                        commercial products. This approach gives a compact and quicker tool for evaluating vehicle compliance without the overhead and costs of a more complicated model. Details of the model, including changes made to the model to address concerns of the peer reviewers and commenters are included in Chapter 4 of the RIA. An example of the GEM input screen is shown in Figure II-4.
                    </P>
                    <GPH SPAN="3" DEEP="339">
                        <GID>ER15SE11.004</GID>
                    </GPH>
                    <P>
                        EPA and NHTSA have validated the GEM simulation of vocational vehicles against a commonly used simulation tool used in industry, GT-Drive, for each vocational vehicle subcategory. Prior to using GT-Drive as a comparison tool, the agencies first benchmarked a GT-Drive simulation of the combination tractor tested at Southwest Research against the experimental test results from the chassis dynamometer in the same manner as done for GEM. Then the EPA developed three vocational vehicle models (LHD, MHD, and HHD) and simulated them using both GEM and GT-Drive. Overall, the GEM and GT-Drive predicted the fuel consumption and CO
                        <E T="52">2</E>
                         emissions for all three vocational vehicle subcategories with differences of less than 2 percent for the three test cycles—the California ARB Transient cycle, 55 mph cruise, and 65 mph cruise cycle.
                        <SU>150</SU>
                        <FTREF/>
                         The final simulation model is described in greater detail in RIA Chapter 4 and is available for download by interested parties at (
                        <E T="03">http://www.epa.gov/otaq/</E>
                        ).
                    </P>
                    <FTNT>
                        <P>
                            <SU>150</SU>
                             
                            <E T="03">See</E>
                             RIA Chapter 4, Table 4-8.
                        </P>
                    </FTNT>
                    <P>The agencies are requiring that for demonstrating compliance, a chassis manufacturer would measure the performance of tires, input the values into GEM, and compare the model's output to the standard. As explained earlier, low rolling resistance tires are the only technology on which the agencies' own feasibility analysis for these vehicles is predicated. The input values for the simulation model will be derived by the manufacturer from the final tire test procedure described in this action. The remaining model inputs will be fixed values pre-defined by the agencies. These are detailed in the RIA Chapter 4, including the engine fuel consumption map to be used in the simulation.</P>
                    <HD SOURCE="HD3">(b) Tire Rolling Resistance Assessment</HD>
                    <P>
                        In terms of how tire rolling resistance would be measured, the agencies proposed to require that the tire rolling resistance input to the GEM be determined using ISO 28580:2009(E), 
                        <E T="03">Passenger car, truck and bus tyres—Methods of measuring rolling resistance—Single point test and correlation of measurement results.</E>
                        <SU>151</SU>
                        <FTREF/>
                         The agencies stated that they believed the ISO test method was the most appropriate for this program because the method is the same one used by the NHTSA tire fuel efficiency consumer information program,
                        <SU>152</SU>
                        <FTREF/>
                         by European regulations,
                        <SU>153</SU>
                        <FTREF/>
                         and by the EPA SmartWay program.
                    </P>
                    <FTNT>
                        <P>
                            <SU>151</SU>
                             
                            <E T="03">See http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=44770.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>152</SU>
                             75 FR 15893, March 30,2010.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>153</SU>
                             
                            <E T="03">See http://www.energy.ca.gov/2009publications/CEC-600-2009-010/CEC-600-2009-010-SD-REV.PDF</E>
                             (last accessed May 9, 2011).
                        </P>
                    </FTNT>
                    <P>
                        The NPRM also discussed the potential for tire-to-tire variability to confound rolling resistance measurement results for LRR tires—that is, different tires of the same tire model could turn out to have different rolling resistance measurements when run on 
                        <PRTPAGE P="57183"/>
                        the same test. NHTSA's research during the development of the light-duty vehicle tire fuel efficiency consumer information program identified several sources of variability including test procedures, test equipment and the tires themselves, but found that all of the existing test methods had similar levels of and sources of variability.
                        <SU>154</SU>
                        <FTREF/>
                         The agencies proposed to address production tire-to-tire variability by specifying that three tire samples within each tire model be tested three times each, and that the average of the nine tests would be used as the Rolling Resistance Coefficient (CRR) for the tire, which would be the basis for the rolling resistance value for that tire that the manufacturer would enter into the GEM. The agencies requested comment on this proposed method.
                        <SU>155</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>154</SU>
                             75 FR 15893, March 30, 2010.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>155</SU>
                             
                            <E T="03">See</E>
                             generally 75 FR at 74204.
                        </P>
                    </FTNT>
                    <P>
                        The agencies received many comments on the subject of tire rolling resistance, including suggestions for alternative test procedures and compliance issues. Regarding whether the agencies should base tire CRR inputs for the GEM on the use of the ISO 28580 test procedure, the American Automotive Policy Council (AAPC) argued that the agencies should instead require the SAE J2452 Coastdown test method for calculating tire rolling resistance, which the commenter stated was preferred by OEMs because it simulates the use of tires on actual vehicles rather than the ISO procedure which tests the tire by itself. The Rubber Manufacturers Association (RMA) argued, in contrast, that the agencies should use the SAE J1269 multi-point test, which is currently the basis for the EPA SmartWay
                        <SU>TM</SU>
                         CRR baseline values. RMA also argued that the SAE J1269 multi-point test can be used to accurately predict truck/bus tire CRR at various loads and inflations, including at the ISO 28580 load and inflation conditions, and that therefore the agencies should use the SAE test, or if the agencies want to use ISO, they should accept results from the SAE test and just correlate them. Regarding compliance obligations, RMA further argued that it was not clear how or in what format testing information would need to be provided in order to be in compliance with the proposed requirement at § 1037.125(i).
                    </P>
                    <P>
                        The agencies analyzed many comments on the subject of tire rolling resistance. One of the primary concerns raised in comments was that the proposed test protocol and measurement methodology would not adequately address production tire variability and measurement variability. Commenters stated that machine-to-machine differences are a significant source of variation, and this variation would make it difficult for manufacturers to be confident that the agency would assign the same CRR to a tire was tested for compliance purposes. Commenters argued that the ISO 28580 test method is unique in that it specifies a procedure to correlate results between different test equipment (
                        <E T="03">i.e.,</E>
                         different rolling resistance test machines), but not all aspects of the ISO procedure have been completely defined. Commenters stated that under ISO 28580, the lab alignment procedure depends on the specification of a reference test machine to which all other labs will align their measurement results. RMA particularly emphasized the need for establishing a tire testing reference lab for use with ISO 28580, referencing the European Tyre and Rim Technical Organization (ETRTO) estimate that CRR values could vary as much as 20 percent absent an inter-laboratory alignment procedure. RMA stated the agencies should specify a reference laboratory with the designation proposed in a supplemental notice that provides public comment. In addition, RMA commented that the extra burden proposed by the agencies for testing three tires, three times each is nine times more burdensome than what is required through the ISO procedure.
                    </P>
                    <P>Based on the additional tire rolling resistance research conducted by the agencies, we have decided to use the ISO 28580 test procedure, as proposed, to measure tire performance for these final rules.</P>
                    <P>
                        The agencies believe this test procedure provides two advantages over other test methods. First, the ISO 28580 test method is unique in that it specifies a procedure to correlate results between different test equipment (
                        <E T="03">i.e.,</E>
                         different tire rolling resistance test machines). This is important because NHTSA's research conducted for the light-duty tire fuel efficiency program indicated that machine-to-machine differences are a source of variation.
                        <SU>156</SU>
                        <FTREF/>
                         In addition, the ISO 28580 test procedure is either used, or proposed to be used, by several groups including the European Union through Regulation (EC) No 661/2009 
                        <SU>157</SU>
                        <FTREF/>
                        and the California Air Resources Board (CARB) through a staff recommendation for a California regulation,
                        <SU>158</SU>
                        <FTREF/>
                         and the EPA SmartWay program. Using the ISO 28580 may help reduce burden on manufacturers by allowing a single test protocol to be used for multiple regulations and programs. While we recognize that commenters recommended the use of other test procedures, like SAE J1269, the agencies have determined there is no established data conversion method from the SAE J1269 vehicle condition for vocational vehicle tires to the ISO 28580 single point condition at this time, and that given our reasonable preference for the ISO procedure, it would not be practical to attempt to include the use of the SAE J1269 procedure as an optional way of determining CRR values for the GEM inputs.
                    </P>
                    <FTNT>
                        <P>
                            <SU>156</SU>
                             75 FR 15893, March 30, 2010.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>157</SU>
                             
                            <E T="03">See http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2009:200:0001:0024:EN:PDF</E>
                             (last accessed May 8, 2011).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>158</SU>
                             
                            <E T="03">See http://www.energy.ca.gov/2009publications/CEC-600-2009-010/CEC-600-2009-010-SD-REV.PDF</E>
                             (last accessed May 9, 2011).
                        </P>
                    </FTNT>
                    <P>The agencies received comments from the Rubber Manufacturers Association, Michelin, and Bridgestone which identified the need to develop a reference lab and alignment tires. Because the ISO has not yet specified a reference lab and machine for the ISO 28580 test procedure, NHTSA announced in its March 2010 final rule concerning the light-duty tire fuel efficiency consumer information program that NHTSA would specify this laboratory for the purposes of implementing that rule so that tire manufacturers would know the identity of the machine against which they may correlate their test results. NHTSA has not yet announced the reference test machine(s) for the tire fuel efficiency consumer information program. Therefore, for the light-duty tire fuel efficiency rule, the agencies are postponing the specification of a procedure for machine-to-machine alignment until a tire reference lab is established. The agencies anticipate establishing this lab in the future with intentions for the lab to accommodate the light-duty tire fuel efficiency program.</P>
                    <P>
                        Under the ISO 28580 lab alignment procedure, machine alignment is conducted using batches of alignment tires of two models with defined differences in rolling resistance that are certified on a reference test machine. ISO 28580 specifies requirements for these alignment tires (“Lab Alignment Tires” or LATs), but exact tire sizes or models of LATs are not specifically identified in ISO 28580. Because the test procedure has not been finalized and heavy-duty LATs are not currently defined, the agencies are postponing the use of these elements of ISO 28580 to 
                        <PRTPAGE P="57184"/>
                        a future rulemaking. The agencies also note the lab-to-lab comparison conducted in the most recent EPA tire test program mentioned previously. The agencies reviewed the CRR data from the tires that were tested at both the STL and Smithers laboratories to assess inter-laboratory and machine variability. The agencies conducted statistical analysis of the data to gain better understanding of lab-to-lab correlation and developed an adjustment factor for data measured at each of the test labs. Based on these results, the agencies believe the lab-to-lab variation for the STL and Smithers laboratories would have very small effect on measured CRR values. Based on the test data, the agencies judge that it is reasonable to implement the HD program with current levels of variability, and to allow the use of either Smithers or STL laboratories for determining the CRR value in the HD program, or demonstrate that the test facilities will not bias results low relative to Smithers or STL laboratories.
                    </P>
                    <P>
                        RMA also commented that the extra burden proposed by the agencies for testing three tires, three times each is nine times more burdensome than what is required through the ISO procedure. Since the proposal, EPA obtained replicate test data for a number of Class 8 combination tractor tires from various manufacturers. Some of these were tires submitted to SmartWay for verification, while some were tires tested by manufacturers for other purposes. Three tire model samples for 11 tire models were tested using the ISO 28580 test.
                        <SU>159</SU>
                        <FTREF/>
                         A mean and a standard deviation were calculated for each set of three replicate measurements performed on each tire of the 3-tire sample. The coefficient of variability (COV) of the CRR was calculated by dividing the standard deviation by the mean. The values of COV ranged from 0 percent (no measurable variability) to six percent. In addition, during the period September 2010 and June 2011, EPA contracted with Smithers-Rapra to select and test for rolling resistance using ISO 28580 for a representative sample of Class 4-8 vocational vehicle tires. As part of the test, 10 tires were selected for replicate testing.
                        <SU>160</SU>
                        <FTREF/>
                         Three replicate tests were conducted for each of the tires, to evaluate test variability only. The COV of the RR
                        <E T="52">C</E>
                         results ranged from nearly 0 to 2 percent, with a mean of less than 1 percent. Based on the results of these two testing programs, the agencies determined that the impact of production variability is greater than the impact of measurement variability. Thus, the agencies concluded that the extra burden of testing a single tire three times was not necessary to obtain accurate results, but the variability of RR
                        <E T="52">C</E>
                         results due to manufacturing of the tires is significant to continue to require testing of three tire samples for each tire model. In summary, we are allowing manufacturers to determine the rolling resistance coefficient of the heavy-duty tires by testing three tire samples one time each.
                    </P>
                    <FTNT>
                        <P>
                            <SU>159</SU>
                             Bachman, Joseph. EPA Memorandum to the Docket. Heavy-Duty Tire Evaluation. Docket EPA-HQ-OAR-2010-0162. July 2011.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>160</SU>
                             Bachman, Joseph. EPA Memorandum to the Docket. Heavy-Duty Tire Evaluation. Docket EPA-HQ-OAR-2010-0162. July 2011.
                        </P>
                    </FTNT>
                    <P>
                        For the final rules, the agencies are also including a warm up cycle as part of the procedure for bias ply tires to allow these tires to reach a steady temperature and volume state before ISO 28580 testing. This procedure is similar to a procedure that was developed for the light-duty tire fuel efficiency consumer information program, and was adopted from a procedure defined in Federal motor vehicle safety standard No. 109 (FMVSS No. 109).
                        <SU>161</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>161</SU>
                             
                            <E T="03">See</E>
                             49 CFR 571.109.
                        </P>
                    </FTNT>
                    <P>
                        Finally, the agencies are including testing and reporting for `single-wide' or `super-single' type tires. These tires replace the traditional `dual' wheel tire combination with a single wheel and tire that is nearly as wide as the dual combination with similar load capabilities. These tire types were developed as a fuel saving technology. The tires provide lower rolling resistance along with a reduction in weight when compared to a typical set of dual wheel tire combinations; and are one of the technologies included in the EPA SmartWay
                        <SU>TM</SU>
                         program. The agencies have learned that there is limited testing equipment available that is capable of testing single wide tires; single wide tires require a wider test machine drum than required for conventional tires. Although the number of machines available is limited, the agencies believe the equipment is adequate for the testing and reporting of CRR for this program.
                    </P>
                    <P>
                        As discussed above, the agencies are taking the approach of using CRR for the HD fuel efficiency and greenhouse gas program to align with the measurement methodology already employed or proposed by the EPA SmartWay program, the European Union Regulation (EC) No 661/2009 
                        <SU>162</SU>
                        <FTREF/>
                         and the California Air Resources Board (CARB) through a staff recommendation for a California regulation.
                        <SU>163</SU>
                        <FTREF/>
                         In the NPRM, the agencies proposed to use CRR, but for purposes of developing these final rules, the agencies also evaluated whether to use CRR or Rolling Resistance Force (RR
                        <E T="52">F</E>
                        ) as the measurement for tire rolling resistance for the GEM input. The agencies considered RR
                        <E T="52">F</E>
                         largely because in the NPRM for Passenger Car Tire Fuel Efficiency (TFE) program, NHTSA had proposed to use RR
                        <E T="52">F</E>
                        . A key distinction between these two programs, and their associated metrics, are the differences in how the measurement data are used and who uses the data. In particular, the HD fuel efficiency and GHG emissions program is a compliance program using information developed by and for technical personnel at manufacturers and agencies to determine a vehicle's compliance with regulations. The TFE program, in contrast, is a consumer education program intended to inform consumers making purchase decisions regarding the fuel saving benefits of replacement passenger car tires. The target audiences are much different for the two programs which in turn affect how the information will be used. The agencies believe that RR
                        <E T="52">F</E>
                         may be more intuitive for non-technical people because tires that are larger and/or that carry higher loads will generally have numerically higher RR
                        <E T="52">F</E>
                         values than smaller tires and/or tires that carry lower loads. CRR values generally follow an opposite trend, where tires that are larger and/or carry higher loads will generally have numerically lower CRR values than smaller tires and/or tires that carry lower loads. The agencies believe this key distinction helps define the type of metrics to be used and communicated in accordance with their respective purposes.
                    </P>
                    <FTNT>
                        <P>
                            <SU>162</SU>
                             
                            <E T="03">See</E>
                             Note 157, above.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>163</SU>
                             
                            <E T="03">See</E>
                             Note 158, above.
                        </P>
                    </FTNT>
                    <P>Additionally, the CRR metric for use in the MD/HD program is not susceptible to the skew associated with tire diameter. Medium- and heavy-duty vehicle tires are available in a small fraction of the tire sizes of the passenger market and, for the most part, are larger tires than those found on passenger cars. When viewing CRR over a larger range of sizes, small diameter tires tend to appear as having a lower performance, which is not necessarily accurate, with the converse occurring as the diameter increases.</P>
                    <P>
                        Using the CRR value for determining the rolling resistance also takes into account the load carrying capability for the tire being tested, which, intuitively, can lead to some potentially confusing results. Several vocational vehicle manufacturers argued in their comments that LRR tires were not available for, 
                        <E T="03">e.g.,</E>
                         vehicles like refuse trucks, which tend to use large diameter tires to carry very heavy loads. Based on the agencies' 
                        <PRTPAGE P="57185"/>
                        testing, in fact, the measured CRR (as opposed to the RR
                        <E T="52">F</E>
                        ) for refuse trucks were found to be among the best tested. This finding can be explained by considering that CRR is calculated by dividing the measured rolling resistance force by the tire's load capacity rating. Although the tire may have a relatively high rolling resistance force, the tire load capacity rating is also very high, resulting in an overall lower (better) CRR value than many other types of tires. The amount of load tire can carry (test load) contributes to a very low reported CRR, thus confirming low rolling resistance tires meeting the standards, as measured by CRR, are available to the industry regardless of segment or application.
                    </P>
                    <P>Based on these considerations, the agencies have decided to use the CRR metric for the HD fuel efficiency and GHG emissions program.</P>
                    <HD SOURCE="HD3">(c) Defined Vehicle Configurations in the GEM</HD>
                    <P>
                        As discussed above, the agencies are finalizing a methodology that chassis manufacturers will use to quantify the tire rolling resistance values to be input into the GEM. Moreover, the agencies are defining the remaining GEM inputs (
                        <E T="03">i.e.,</E>
                         specifying them by rule), which differ by the regulatory subcategory (for reasons described in the RIA Chapter 4). The defined inputs, among others, include the drive cycle, aerodynamics, vehicle curb weight, payload, engine characteristics, and drivetrain for each vehicle type.
                    </P>
                    <HD SOURCE="HD3">(i) Metric</HD>
                    <P>
                        Based on NAS's recommendation and feedback from the heavy-duty truck industry, NHTSA and EPA proposed standards for vocational vehicles that would be expressed in terms of moving a ton of payload over one mile. Thus, NHTSA's proposed fuel consumption standards for these vehicles would be represented as gallons of fuel used to move one ton of payload one thousand miles, or gal/1,000 ton-mile. EPA's proposed CO
                        <E T="52">2</E>
                         vehicle standards would be represented as grams of CO
                        <E T="52">2</E>
                         per ton-mile. The agencies received comments that a payload-based metric is not appropriate for all types of vocational vehicles, specifically buses. The agencies recognize that a payload-based approach may not be the most representative of an individual vocational application; however, it best represents the broad vocational category. The metric which we proposed treats all vocational applications equally and requires the same technologies be applied to meet the standard. Thus, the agencies are adopting the proposed metric, but will revisit the issue of metrics in any future action, if required, depending on the breadth of each standard.
                    </P>
                    <HD SOURCE="HD3">(ii) Drive cycle</HD>
                    <P>The drive cycles proposed for the vocational vehicles consisted of the same three modes used for the Class 7 and 8 combination tractors. The proposed cycle included the Transient mode, as defined by California ARB in the HHDDT cycle, a constant speed cycle at 65 mph and a 55 mph constant speed mode. The agencies proposed different weightings for each mode for vocational vehicles than those proposed for Class 7 and 8 combination tractors, given the known difference in driving patterns between these two categories of vehicles. The same reasoning underlies the agencies' use of the Heavy-duty FTP cycle to evaluate compliance with the standards for diesel engines used in vocational vehicles.</P>
                    <P>
                        The variety of vocational vehicle applications makes it challenging to establish a single cycle which is representative of all such trucks. However, in aggregate, the vocational vehicles typically operate over shorter distances and spend less time cruising at highway speeds than combination tractors. The agencies evaluated for proposal two sources for mode weightings, as detailed in RIA Chapter 3. The agencies proposed the mode weightings based on the vehicle speed characteristics of single unit trucks used in EPA's MOVES model which were developed using Federal Highway Administration data to distribute vehicle miles traveled by road type.
                        <SU>164</SU>
                        <FTREF/>
                         The proposed weighted CO
                        <E T="52">2</E>
                         and fuel consumption value consisted of 37 percent of 65 mph Cruise, 21 percent of 55 mph Cruise, and 42 percent of Transient performance.
                    </P>
                    <FTNT>
                        <P>
                            <SU>164</SU>
                             The Environmental Protection Agency. Draft MOVES2009 Highway Vehicle Population and Activity Data. EPA-420-P-09-001, August 2009 
                            <E T="03">http://www.epa.gov/otaq/models/moves/techdocs/420p09001.pdf.</E>
                        </P>
                    </FTNT>
                    <P>The agencies received comments stating that the proposed drive cycles and weightings are not representative of individual vocational applications, such as buses and refuse haulers. A number of groups commented that the vocational vehicle cycle is not representative of real world driving and recommended changes to address that concern. Several organizations proposed the addition of new drive cycles to make the test more representative.</P>
                    <P>Bendix suggested using the Composite International Truck Local and Commuter Cycle (CILCC) as the general purpose mixed urban/freeway cycles and to use four representative cycles: mixed urban, freeway, city bus, refuse, and utility. Bendix suggested using the Standardized On-Road Test (SORT) cycles for vocational vehicles operating in the urban environment in addition to SORT cycles for 3 different vocations—with separate weightings. They stated that SORT with an average speed of 11.2 mph, lines up most closely with the average of transit bus duty cycles at 9.9 mph as well as the overall U.S. National average of 12.6 mph. As alternative approaches they suggested adopting the Orange County duty cycle for the urban transit bus vocation, or creating an Urban Transit Bus cycle with several possible weighting factors—all with very high percentage transient (90% to 100%), very low 55 mph (0% to 7%), very low 65 mph (0% to 3%), and an average speed of 15 to 17 mph. Bendix supported their assertions about urban bus vehicle speed with data from the 2010 American Public Transportation Association (APTA) `Fact Book' and other sources. In contrast, Bendix stated, the GEM cycle average speed is currently 32.6 mph. Such high speeds at steady state will penalize technologies such as hybridization.</P>
                    <P>Clean Air Task Force said the agencies have not adequately addressed the diversity of the vocational vehicle fleet since they are not distinguished by different duty cycles. They urged the agencies to sub-divide vocational vehicles by expected use, with separate test cycles for each sub-group in order to capture the full potential benefits of hybridization and other advanced technologies in a meaningful and accurate way in future rulemakings for MY2019 and later trucks.</P>
                    <P>Two groups cautioned that unintended consequences could result from the lack of diversity in duty cycles. DTNA said that the single drive cycle proposed for all vehicles by the agencies would likely lead to unintended consequences—such as customers being driven for regulatory reasons to purchase a transmission that does not suit their actual operation. Similarly, Volvo said medium- and heavy-duty vehicles are uniquely built for specific applications but it will not be feasible to develop regulatory protocols that can accurately predict efficiency in each application duty cycle. This trade-off could result in unintended or negative consequences in parts of the market.</P>
                    <P>
                        Several commenters suggested changing the weightings of the cycle to more accurately reflect real world driving. Allison stated that the vocational vehicle cycle includes too much steady state driving time. They suggested (with supporting data from 
                        <PRTPAGE P="57186"/>
                        the Oakridge National Laboratory analysis) reducing steady state driving at 60 mph to minimal or no time on the cycle to address this problem. Allison commented that GEM contains lengthy accelerations to reach 55 and 65 miles per hour—much longer than is required in real world driving. They supported this statement with data from a testing program conducted at Oakridge National Laboratory showing medium- and heavy-duty vehicles accelerate more rapidly than in the GEM drive cycle. According to Allison, this long acceleration time in the GEM, coupled with too much steady state operation with very little variation, is not representative of vocational vehicle operation. In addition, Allison said that the GEM does not adequately account for shift time, clutch profile, turbo lag, and other impacts on both steady state and transient operation. The impact, they state, is that the cycle will hinder proper deployment of technologies to reduce fuel consumption and GHG emissions.
                    </P>
                    <P>BAE focused their comments on urban transit bus operation. They stated the weighting factors for steady state operation are inconsistent with urban transit bus cycles.</P>
                    <P>Other commenters suggested the agencies develop chassis dynamometer tests based on the engine (FTP) test. Cummins said that chassis dynamometer testing should allow the use of average vehicle characteristics to determine road load and make use of the vehicle FTP and SET cycles. Others commented that the correlation between the FTP and the UDDS is poor.</P>
                    <P>
                        After careful consideration of the comments, the agencies are adopting the proposed drive cycles. The final drive cycles and weightings represent the straight truck operations which dominate the vehicle miles travelled by vocational vehicles. The agencies do not believe that application-specific drive cycles are required for this final action because the program is based on the generally-applicable use of low rolling resistance tires. The drive cycles that we are adopting treat all vocational applications equally predicate standard stringency on use of the same technology (LRR tires) to meet the standard. The drive cycles in the final rule accurately reflect the performance of this technology. The agencies are also finalizing, as proposed, the mode weightings based on the vehicle speed characteristics of single unit trucks used in EPA's MOVES model which were developed using Federal Highway Administration data to distribute vehicle miles traveled by road type.
                        <SU>165</SU>
                        <FTREF/>
                         Similar to the issue of metrics discussed above, the agencies may revisit drive cycles and weightings in any future regulatory action to develop standards specific to applications.
                    </P>
                    <FTNT>
                        <P>
                            <SU>165</SU>
                             The Environmental Protection Agency. Draft MOVES2009 Highway Vehicle Population and Activity Data. EPA-420-P-09-001, August 2009 
                            <E T="03">http://www.epa.gov/otaq/models/moves/techdocs/420p09001.pdf.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(iii) Empty Weight and Payload</HD>
                    <P>
                        The total weight of the vehicle is the sum of the tractor curb weight and the payload. The agencies are proposed to specify each of these aspects of the vehicle. The agencies developed the proposed vehicle curb weight inputs based on industry information developed by ICF.
                        <SU>166</SU>
                        <FTREF/>
                         The proposed curb weights were 10,300 pounds for the LHD trucks, 13,950 pounds for the MHD trucks, and 29,000 pounds for the HHD trucks.
                    </P>
                    <FTNT>
                        <P>
                            <SU>166</SU>
                             ICF International. “Investigation of Costs for Strategies to Reduce Greenhouse Gas Emissions for Heavy-Duty On-Road Vehicles.” July 2010. Pages 16-20. Docket ID# EPA-HQ-OAR-2010-0162-0044.
                        </P>
                    </FTNT>
                    <P>
                        NHTSA and EPA proposed payload requirements for each regulatory category developed from Federal Highway statistics based on averaging the payloads for the weight categories represented within each vehicle subcategory.
                        <SU>167</SU>
                        <FTREF/>
                         The proposed payloads were 5,700 pounds for the Light Heavy-Duty trucks, 11,200 pounds for Medium Heavy-Duty trucks, and 38,000 pounds for Heavy Heavy-Duty trucks.
                    </P>
                    <FTNT>
                        <P>
                            <SU>167</SU>
                             The U.S. Federal Highway Administration. Development of Truck Payload Equivalent Factor. Table 11. Last viewed on March 9, 2010 at 
                            <E T="03">http://ops.fhwa.dot.gov/freight/freight_analysis/faf/faf2_reports/reports9/s510_11_12_tables.htm.</E>
                        </P>
                    </FTNT>
                    <P>The agencies received comments from several stakeholders regarding the proposed curb weights and payloads for vocational vehicles. BAE said a Class 8 transit bus has a typical curb weight of 27,000 pounds and maximum payload of 15,000 pounds. Daimler commented that Class 8 buses have a GVWR of 42,000 pounds. Autocar said that Class 8 refuse trucks typically have a curb weight of 31,000 to 33,000 pounds, typical average payload of 10,000 pounds, and typical maximum payload of 20,000 pounds.</P>
                    <P>Upon further consideration, the agencies are reducing the assigned weight of heavy heavy-duty vocational vehicles. While we still believe the proposed values are appropriate for some vocational vehicles, we reduced the total weight to bring it closer to some of the lighter vocational vehicles. The agencies are adopting final curb weights of 10,300 pounds for the LHD trucks, 13,950 pounds for the MHD trucks, and 27,000 pounds for the HHD trucks. The agencies are also adopting payloads of 5,700 pounds for the Light Heavy-Duty trucks, 11,200 pounds for Medium Heavy-Duty trucks, and 15,000 pounds for Heavy Heavy-Duty trucks. Additional information is available in RIA Chapter 3.</P>
                    <HD SOURCE="HD3">(iv) Engine</HD>
                    <P>As the agencies are finalizing separate engine and vehicle standards, the GEM will be used to assess the compliance of the chassis with the vehicle standard. To maintain the separate assessments, the agencies are adopting the proposed approach of using fixed values that are predefined by the agencies for the engine characteristics used in GEM, including the fuel consumption map which provides the fuel consumption at hundreds of engine speed and torque points. If the agencies did not standardize the fuel map, then a vehicle that uses an engine with emissions and fuel consumption better than the standards would require fewer vehicle reductions than those being finalized. As proposed, the agencies are using diesel engine characteristics in the GEM, as most representative of the largest fraction of engines in this market. The agencies did not receive any adverse comments to using this approach.</P>
                    <P>
                        The agencies are finalizing two distinct sets of fuel consumption maps for use in GEM. The first fuel consumption map would be used in GEM for the 2014 through 2016 model years and represent a diesel engine which meets the 2014 model year engine CO
                        <E T="52">2</E>
                         emissions standards. A second fuel consumption map would be used beginning in the 2017 model year and represents a diesel engine which meets the 2017 model year CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards and accounts for the increased stringency in the final MY 2017 standard). The agencies have modified the 2017 MY heavy heavy-duty diesel fuel map used in the GEM for the final rulemaking to address comments received. Details regarding this change can be found in RIA Chapter 4.4.4. Effectively there is no change in stringency of the vocational vehicle standard (not including the engine) between the 2014 MY and 2017 MY standards for the full rulemaking period. These inputs are reasonable (indeed, seemingly necessitated) given the separate final regulatory requirement that vocational vehicle chassis manufacturers use only certified engines.
                        <PRTPAGE P="57187"/>
                    </P>
                    <HD SOURCE="HD3">(v) Drivetrain</HD>
                    <P>The agencies' assessment of the current vehicle configuration process at the truck dealer's level is that the truck companies provide software tools to specify the proper drivetrain matched to the buyer's specific circumstances. These dealer tools allow a significant amount of customization for drive cycle and payload to provide the best specification for the customer. The agencies are not seeking to disrupt this process. Optimal drivetrain selection is dependent on the engine, drive cycle (including vehicle speed and road grade), and payload. Each combination of engine, drive cycle, and payload has a single optimal transmission and final drive ratio. The agencies are specifying the engine's fuel consumption map, drive cycle, and payload; therefore, it makes sense to specify the drivetrain that matches.</P>
                    <HD SOURCE="HD3">(d) Engine Metrics and Test Procedures</HD>
                    <P>
                        EPA proposed that the GHG emission standards for heavy-duty engines under the CAA would be expressed as g/bhp-hr while NHTSA's proposed fuel consumption standards under EISA, in turn, be represented as gal/100 bhp-hr. The NAS panel did not specifically discuss or recommend a metric to evaluate the fuel consumption of heavy-duty engines. However, as noted above they did recommend the use of a load-specific fuel consumption metric for the evaluation of vehicles.
                        <SU>168</SU>
                        <FTREF/>
                         An analogous metric for engines is the amount of fuel consumed per unit of work. The g/bhp-hr metric is also consistent with EPA's current standards for non-GHG emissions for these engines. The agencies did not receive any adverse comments related to the metrics for HD engines; therefore, we are adopting the metrics as proposed.
                    </P>
                    <FTNT>
                        <P>
                            <SU>168</SU>
                             
                            <E T="03">See</E>
                             NAS Report, Note 21, at page 39.
                        </P>
                    </FTNT>
                    <P>With regard to GHG and fuel consumption control, the agencies believe it is appropriate to set standards based on a single test procedure, either the Heavy-duty FTP or SET, depending on the primary expected use of the engine. EPA's criteria pollutant standards for engines currently require that manufacturers demonstrate compliance over the transient Heavy-duty FTP cycle; over the steady-state SET procedure; and during not-to-exceed testing. EPA created this multi-layered approach to criteria emissions control in response to engine designs that optimized operation for lowest fuel consumption at the expense of very high criteria emissions when operated off the regulatory cycle. EPA's use of multiple test procedures for criteria pollutants helps to ensure that manufacturers calibrate engine systems for compliance under all operating conditions. We are not concerned if manufacturers further calibrate these engines off cycle to give better in-use fuel consumption while maintaining compliance with the criteria emissions standards as such calibration is entirely consistent with the goals of our joint program. Further, we believe that setting standards based on both transient and steady-state operating conditions for all engines could lead to undesirable outcomes.</P>
                    <P>
                        It is critical to set standards based on the most representative test cycles in order for performance in-use to obtain the intended (and feasible) air quality and fuel consumption benefits. We are finalizing standards based on the composite Heavy-duty FTP cycle for engines used in vocational vehicles reflecting these vehicles' primary use in transient operating conditions typified by frequent accelerations and decelerations as well as some steady cruise conditions as represented on the Heavy-duty FTP. The primary reason the agencies are finalizing two separate diesel engine standards—one for diesel engines used in tractors and the other for diesel engines used in vocational vehicles—is to encourage engine manufacturers to install engine technologies appropriate to the intended use of the engine with the vehicle. The current non-GHG emissions engine test procedures also require the development of regeneration emission rates and frequency factors to account for the emission changes during a regeneration event (40 CFR 86.004-28). EPA and NHTSA proposed not to include these emissions from the calculation of the compliance levels over the defined test procedures. Cummins and Daimler supported and stated sufficient incentives already exist for manufacturers to limit regeneration frequency. Conversely, Volvo opposed the omission of IRAF requirements for CO
                        <E T="52">2</E>
                         emissions because emissions from regeneration can be a significant portion of the expected improvement and a significant variable between manufacturers
                    </P>
                    <P>
                        For the proposal, we considered including regeneration in the estimate of fuel consumption and GHG emissions and decided not to do so for two reasons. First, EPA's existing criteria emission regulations already provide a strong motivation to engine manufacturers to reduce the frequency and duration of infrequent regeneration events. The very stringent 2010 NO
                        <E T="52">X</E>
                         emission standards cannot be met by engine designs that lead to frequent and extend regeneration events. Hence, we believe engine manufacturers are already reducing regeneration emissions to the greatest degree possible. In addition to believing that regenerations are already controlled to the extent technologically possible, we believe that attempting to include regeneration emissions in the standard setting could lead to an inadvertently lax emissions standard. In order to include regeneration and set appropriate standards, EPA and NHTSA would have needed to project the regeneration frequency and duration of future engine designs in the time frame of this program. Such a projection would be inherently difficult to make and quite likely would underestimate the progress engine manufacturers will make in reducing infrequent regenerations. If we underestimated that progress, we would effectively be setting a more lax set of standards than otherwise would be expected. Hence in setting a standard including regeneration emissions we faced the real possibility that we would achieve less effective CO
                        <E T="52">2</E>
                         emissions control and fuel consumption reductions than we will achieve by not including regeneration emissions. Therefore, the agencies are finalizing an approach as proposed which does not include the regenerative emissions.
                    </P>
                    <HD SOURCE="HD3">(e) Hybrid Powertrain Technology</HD>
                    <P>
                        Although the final vocational vehicle standards are not premised on use of hybrid powertrains, certain vocational vehicle applications may be suitable candidates for use of hybrids due to the greater frequency of stop-and-go urban operation and their use of power take-off (PTO) systems. Examples are vocational vehicles used predominantly in stop-start urban driving (
                        <E T="03">e.g.,</E>
                         delivery trucks). As an incentive, the agencies are finalizing to provide credits for the use of hybrid powertrain technology as described in Section IV. Under the advanced technology credit provisions, credits generated by use of hybrid powertrains could be used to meet any of the heavy-duty standards, and are not restricted to the averaging set generating the credit, unlike the other credit provisions in the final rules. The agencies are finalizing that any credits generated using such advanced technologies could be applied to any heavy-duty vehicle or engine, and not be limited to the averaging set generating the credit. Section IV below also details the final approach to account for the use of a hybrid powertrain when evaluating compliance with the vehicle standard. In general, manufacturers can derive the fuel consumption and CO
                        <E T="52">2</E>
                         emissions 
                        <PRTPAGE P="57188"/>
                        reductions based on comparative test results using the final chassis testing procedures.
                    </P>
                    <HD SOURCE="HD3">(3) Summary of Final Flexibility and Credit Provisions</HD>
                    <P>
                        EPA and NHTSA are finalizing four flexibility provisions specifically for heavy-duty vocational vehicle and engine manufacturers, as discussed in Section IV below. These are an averaging, banking and trading program for emissions and fuel consumption credits, as well as provisions for early credits, advanced technology credits, and credits for innovative vehicle or engine technologies which are not included as inputs to the GEM or are not demonstrated on the engine FTP test cycle. With the exception of the advanced technology credits, credits generated under these provisions can only be used within the same averaging set which generated the credit (for example, credits generated by HHD vocational vehicles can only be used by HHD vehicles). EPA is also adopting a temporary provision whereby N
                        <E T="52">2</E>
                        O emission credits can be used to comply with the CO
                        <E T="52">2</E>
                         emissions standard, as described in Section IV below.
                    </P>
                    <HD SOURCE="HD3">(3) Deferral of Standards for Small Chassis Manufacturing Business and Small Business Engine Companies</HD>
                    <P>
                        EPA and NHTSA are finalizing an approach to defer greenhouse gas emissions and fuel consumption standards from small vocational vehicle chassis manufacturers meeting the SBA size criteria of a small business as described in 13 CFR 121.201 (
                        <E T="03">see</E>
                         40 CFR 1036.150 and 1037.150). The agencies will instead consider appropriate GHG and fuel consumption standards for these entities as part of a future regulatory action. This includes both U.S.-based and foreign small volume heavy-duty truck and engine manufacturers.
                    </P>
                    <P>
                        The agencies have identified ten chassis entities that appear to fit the SBA size criterion of a small business.
                        <SU>169</SU>
                        <FTREF/>
                         The agencies estimate that these small entities comprise less than 0.5 percent of the total heavy-duty vocational vehicle market in the United States based on Polk Registration Data from 2003 through 2007,
                        <SU>170</SU>
                        <FTREF/>
                         and therefore that the exemption will have a negligible impact on the GHG emissions and fuel consumption improvements from the final standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>169</SU>
                             The agencies have identified Lodal, Indiana Phoenix, Autocar LLC, HME, Giradin, Azure Dynamics, DesignLine International, Ebus, Krystal Koach, and Millenium Transit Services LLC as potential small business chassis manufacturers.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>170</SU>
                             M.J. Bradley. Heavy-duty Vehicle Market Analysis. May 2009.
                        </P>
                    </FTNT>
                    <P>
                        EPA and NHTSA have also identified three engine manufacturing entities that appear to fit the SBA size criteria of a small business based on company information included in Hoover's.
                        <SU>171</SU>
                        <FTREF/>
                         Based on 2008 and 2009 model year engine certification data submitted to EPA for non-GHG emissions standards, the agencies estimate that these small entities comprise less than 0.1 percent of the total heavy-duty engine sales in the United States. The final exemption from the standards established under this rulemaking would have a negligible impact on the GHG emissions and fuel consumption reductions otherwise due to the standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>171</SU>
                             The agencies have identified Baytech Corporation, Clean Fuels USA, and BAF Technologies, Inc. as three potential small businesses.
                        </P>
                    </FTNT>
                    <P>To ensure that the agencies are aware of which companies would be exempt, we are finalizing as proposed to require that such entities submit a declaration to EPA and NHTSA containing a detailed written description of how that manufacturer qualifies as a small entity under the provisions of 13 CFR 121.201, as described in Section V below.</P>
                    <HD SOURCE="HD2">E. Other Standards</HD>
                    <P>
                        In addition to finalizing CO
                        <E T="52">2</E>
                         emission standards for heavy-duty vehicles and engines, EPA is also finalizing separate standards for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions.
                        <SU>172</SU>
                        <FTREF/>
                         NHTSA is not finalizing comparable separate standards for these GHGs because they are not directly related to fuel consumption in the same way that CO
                        <E T="52">2</E>
                         is, and NHTSA's authority under EISA exclusively relates to fuel efficiency. N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         are important GHGs that contribute to global warming, more so than CO
                        <E T="52">2</E>
                         for the same amount of emissions due to their high Global Warming Potential (GWP).
                        <SU>173</SU>
                        <FTREF/>
                         EPA is finalizing N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards which apply to HD pickup trucks and vans as well as to all heavy-duty engines. EPA is not finalizing N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards for the Class 7 and 8 tractor or Class 2b-8 chassis manufacturers because these emissions would be controlled through the engine program.
                    </P>
                    <FTNT>
                        <P>
                            <SU>172</SU>
                             NHTSA's statutory responsibilities relating to reducing fuel consumption are directly related to reducing CO
                            <E T="52">2</E>
                             emissions, but not to the control of other GHGs.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>173</SU>
                             The global warming potentials (GWP) used in this rule are consistent with the 2007 Intergovernmental Panel on Climate Change (IPCC) Fourth Assessment Report (AR4). At this time, the 1996 IPCC Second Assessment Report (SAR) GWP values are used in the official U.S. greenhouse gas inventory submission to the United Nations Framework Convention on Climate Change (per the reporting requirements under that international convention). N
                            <E T="52">2</E>
                            O has a GWP of 298 and CH
                            <E T="52">4</E>
                             has a GWP of 25 according to the 2007 IPCC AR4.
                        </P>
                    </FTNT>
                    <P>
                        EPA requested comment on possible alternative CO
                        <E T="52">2</E>
                         equivalent approaches to provide near-term flexibility for 2012-14 MY light-duty vehicles. As described below, EPA is finalizing alternative provisions allowing manufacturers to use CO
                        <E T="52">2</E>
                         credits, on a CO
                        <E T="52">2</E>
                        -equivalent (CO
                        <E T="52">2</E>
                        eq) basis, to meet the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards, which is consistent with many commenters' preferred approach.
                    </P>
                    <P>
                        Almost universally across current engine designs, both gasoline- and diesel-fueled, N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions are relatively low today and EPA does not believe it would be appropriate or feasible to require reductions from the levels of current gasoline and diesel engines. This is because for the most part, the same hardware and controls used by heavy-duty engines and vehicles that have been optimized for non-methane hydrocarbon (NMHC) and NO
                        <E T="52">X</E>
                         control indirectly result in highly effective control of N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                        . Additionally, unlike criteria pollutants, specific technologies beyond those presently implemented in heavy-duty vehicles to meet existing emission requirements have not surfaced that specifically target reductions in N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                        . Because of this, reductions in N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                         beyond current levels in most heavy-duty applications would occur through the same mechanisms that result in NMHC and NO
                        <E T="52">X</E>
                         reductions and would likely result in an increase in the overall stringency of the criteria pollutant emission standards. Nevertheless, it is important that future engine technologies or fuels not currently researched do not result in increases in these emissions, and this is the intent of the final “cap” standards. The final standards would primarily function to cap emissions at today's levels to ensure that manufacturers maintain effective N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions controls currently used should they choose a different technology path from what is currently used to control NMHC and NO
                        <E T="52">X</E>
                         but also largely successful methods for controlling N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                        . As discussed below, some technologies that manufacturers may adopt for reasons other than reducing fuel consumption or GHG emissions could increase N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions if manufacturers do not address these emissions in their overall engine and aftertreatment design and development plans. Manufacturers will be able to design and develop the engines and aftertreatment to avoid such emissions increases through appropriate emission control technology selections like those already used and available 
                        <PRTPAGE P="57189"/>
                        today. Because EPA believes that these standards can be capped at the same level, regardless of type of HD engine involved, the following discussion relates to all types of HD engines regardless of the vehicles in which such engines are ultimately used. In addition, since these standards are designed to cap current emissions, EPA is finalizing the same standards for all of the model years to which the rules apply.
                    </P>
                    <P>
                        EPA believes that the final N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         cap standards will accomplish the primary goal of deterring increases in these emissions as engine and aftertreatment technologies evolve because manufacturers will continue to target current or lower N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         levels in order to maintain typical compliance margins. While the cap standards are set at levels that are higher than current average emission levels, the control technologies used today are highly effective and there is no reason to believe that emissions will slip to levels close to the cap, particularly considering compliance margin targets. The caps will protect against significant increases in emissions due to new or poorly implemented technologies. However, we also believe that an alternative compliance approach that allows manufacturers to convert these emissions to CO
                        <E T="52">2</E>
                        eq emission values and combine them with CO
                        <E T="52">2</E>
                         into a single compliance value would also be appropriate, so long as it did not undermine the stringency of the CO
                        <E T="52">2</E>
                         standard. As described below, EPA is finalizing that such an alternative compliance approach be available to manufacturers to provide certain flexibilities for different technologies.
                    </P>
                    <P>
                        EPA requested comments in the NPRM on the approach to regulating N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions including the appropriateness of “cap” standards, the technical bases for the levels of the final N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards, the final test procedures, and the final timing for the standards. In addition, EPA requested any additional emissions data on N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         from current technology engines. We solicited additional data, and especially data for in-use vehicles and engines that would help to better characterize changes in emissions of these pollutants throughout their useful lives, for both gasoline and diesel applications. As is typical for EPA emissions standards, we are finalizing that manufacturers should establish deterioration factors to ensure compliance throughout the useful life. We are not at this time aware of deterioration mechanisms for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         that would result in large deterioration factors, but neither do we believe enough is known about these mechanisms to justify finalizing assigned factors corresponding to no deterioration, as we are finalizing for CO
                        <E T="52">2</E>
                        , or for that matter to any predetermined level. In addition to N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards, this section also discusses air conditioning-related provisions and EPA provisions to extend certification requirements to all-electric HD vehicles and vehicles and engines designed to run on ethanol fuel.
                    </P>
                    <HD SOURCE="HD3">
                        (1) What is EPA's Approach to Controlling N
                        <E T="52">2</E>
                        O?
                    </HD>
                    <P>
                        N
                        <E T="52">2</E>
                        O is a global warming gas with a GWP of 298. It accounts for about 0.3 percent of the current greenhouse gas emissions from heavy-duty trucks.
                        <SU>174</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>174</SU>
                             Value adapted from “Inventory of U.S. Greenhouse Gas Emissions and Sinks: 1990-2007”. April 2009.
                        </P>
                    </FTNT>
                    <P>
                        N
                        <E T="52">2</E>
                        O is emitted from gasoline and diesel vehicles mainly during specific catalyst temperature conditions conducive to N
                        <E T="52">2</E>
                        O formation. Specifically, N
                        <E T="52">2</E>
                        O can be generated during periods of emission hardware warm-up when rising catalyst temperatures pass through the temperature window when N
                        <E T="52">2</E>
                        O formation potential is possible. For current heavy-duty gasoline engines with conventional three-way catalyst technology, N
                        <E T="52">2</E>
                        O is not generally produced in significant amounts because the time the catalyst spends at the critical temperatures during warm-up is short. This is largely due to the need to quickly reach the higher temperatures necessary for high catalyst efficiency to achieve emission compliance of criteria pollutants. N
                        <E T="52">2</E>
                        O formation is generally only a concern with diesel and potentially with future gasoline lean-burn engines with compromised NO
                        <E T="52">X</E>
                         emissions control systems. If the risk for N
                        <E T="52">2</E>
                        O formation is not factored into the design of the controls, these systems can but need not be designed in a way that emphasizes efficient NO
                        <E T="52">X</E>
                         control while allowing the formation of significant quantities of N
                        <E T="52">2</E>
                        O. However, these future advanced gasoline and diesel technologies do not inherently require N
                        <E T="52">2</E>
                        O formation to properly control NO
                        <E T="52">X</E>
                        . Pathways exist today that meet criteria emission standards that would not compromise N
                        <E T="52">2</E>
                        O emissions in future systems as observed in current production engine and vehicle testing 
                        <SU>175</SU>
                        <FTREF/>
                         which would also work for future diesel and gasoline technologies. Manufacturers would need to use appropriate technologies and temperature controls during future development programs with the objective to optimize for both NO
                        <E T="52">X</E>
                         and N
                        <E T="52">2</E>
                        O control. Therefore, future designs and controls at reducing criteria emissions would need to take into account the balance of reducing these emissions with the different control approaches while also preventing inadvertent N
                        <E T="52">2</E>
                        O formation, much like the path taken in current heavy-duty compliant engines and vehicles. Alternatively, manufacturers who find technologies that reduce criteria or CO
                        <E T="52">2</E>
                         emissions but see increases N
                        <E T="52">2</E>
                        O emissions beyond the cap could choose to offset N
                        <E T="52">2</E>
                        O emissions with reduction in CO
                        <E T="52">2</E>
                         as allowed in the CO
                        <E T="52">2</E>
                        eq option discussed in Section II.E.3.
                    </P>
                    <FTNT>
                        <P>
                            <SU>175</SU>
                             Memorandum “N
                            <E T="52">2</E>
                            O Data from EPA Heavy-Duty Testing”.
                        </P>
                    </FTNT>
                    <P>
                        EPA is finalizing an N
                        <E T="52">2</E>
                        O emission standard that we believe would be met by most current-technology gasoline and diesel vehicles at essentially no cost to the vehicle, though the agency is accounting for additional N
                        <E T="52">2</E>
                        O measurement equipment costs. EPA believes that heavy-duty emission standards since 2008 model year, specifically the very stringent NO
                        <E T="52">X</E>
                         standards for both engine and chassis certified engines, directly result in stringent N
                        <E T="52">2</E>
                        O control. It is believed that the current emission control technologies used to meet the stringent NO
                        <E T="52">X</E>
                         standards achieve the maximum feasible reductions and that no additional technologies are recognized that would result in additional N
                        <E T="52">2</E>
                        O reductions. As noted, N
                        <E T="52">2</E>
                        O formation in current catalyst systems occurs, but their emission levels are inherently low, because the time the catalyst spends at the critical temperatures during warm-up when N
                        <E T="52">2</E>
                        O can form is short. At the same time, we believe that the standard would ensure that the design of advanced NO
                        <E T="52">X</E>
                         control systems for future diesel and lean-burn gasoline vehicles would control N
                        <E T="52">2</E>
                        O emission levels. While current NO
                        <E T="52">X</E>
                         control approaches used on current heavy-duty diesel vehicles do not compromise N
                        <E T="52">2</E>
                        O emissions and actually result in N
                        <E T="52">2</E>
                        O control, we believe that the standards would discourage any new emission control designs for diesels or lean-burn gasoline vehicles that achieve criteria emissions compliance at the cost of increased N
                        <E T="52">2</E>
                        O emissions. Thus, the standard would cap N
                        <E T="52">2</E>
                        O emission levels, with the expectation that current gasoline and diesel vehicle control approaches that comply with heavy-duty vehicle emission standards for NO
                        <E T="52">X</E>
                         would not increase their emission levels, and that the cap would ensure that future diesel and lean-burn gasoline vehicles with advanced NO
                        <E T="52">X</E>
                         controls would appropriately control their emissions of N
                        <E T="52">2</E>
                        O.
                        <PRTPAGE P="57190"/>
                    </P>
                    <HD SOURCE="HD3">
                        (a) Heavy-Duty Pickup Truck and Van N
                        <E T="52">2</E>
                        O Exhaust Emission Standard
                    </HD>
                    <P>
                        EPA is finalizing the proposed per-vehicle N
                        <E T="52">2</E>
                        O emission standard of 0.05 g/mi, measured over the Light-duty FTP and HFET drive cycles. Similar to the CO
                        <E T="52">2</E>
                         standard approach, the N
                        <E T="52">2</E>
                        O emission level of a vehicle would be a composite of the Light-duty FTP and HFET cycles with the same 55 percent city weighting and 45 percent highway weighting. The standard would become effective in model year 2014 for all HD pickups and vans that are subject to the CO
                        <E T="52">2</E>
                         emission requirements. Averaging between vehicles would not be allowed. The standard is designed to prevent increases in N
                        <E T="52">2</E>
                        O emissions from current levels, 
                        <E T="03">i.e.,</E>
                         a no-backsliding standard.
                    </P>
                    <P>
                        The N
                        <E T="52">2</E>
                        O standard level is approximately two times the average N
                        <E T="52">2</E>
                        O level of current gasoline and diesel heavy-duty trucks that meet the NO
                        <E T="52">X</E>
                         standards effective since 2008 model year.
                        <SU>176</SU>
                        <FTREF/>
                         Manufacturers typically use design targets for NO
                        <E T="52">X</E>
                         emission levels at approximately 50 percent of the standard, to account for in-use emissions deterioration and normal testing and production variability, and we expect manufacturers to utilize a similar approach for N
                        <E T="52">2</E>
                        O emission compliance. We are not adopting a more stringent standard for current gasoline and diesel vehicles because the stringent heavy-duty NO
                        <E T="52">X</E>
                         standards already result in significant N
                        <E T="52">2</E>
                        O control, and we do not expect current N
                        <E T="52">2</E>
                        O levels to rise for these vehicles particularly with expected manufacturer compliance margins.
                    </P>
                    <FTNT>
                        <P>
                            <SU>176</SU>
                             Memorandum “N
                            <E T="52">2</E>
                            O Data from EPA Heavy-Duty Testing.”
                        </P>
                    </FTNT>
                    <P>
                        Diesel heavy-duty pickup trucks and vans with advanced emission control technology are in the early stages of development and commercialization. As this segment of the vehicle market develops, the final N
                        <E T="52">2</E>
                        O standard would require manufacturers to incorporate control strategies that minimize N
                        <E T="52">2</E>
                        O formation. Available approaches include using electronic controls to limit catalyst conditions that might favor N
                        <E T="52">2</E>
                        O formation and considering different catalyst formulations. While some of these approaches may have associated costs, EPA believes that they will be small compared to the overall costs of the advanced NO
                        <E T="52">X</E>
                         control technologies already required to meet heavy-duty standards.
                    </P>
                    <P>
                        The light-duty GHG rule requires that manufacturers begin testing for N
                        <E T="52">2</E>
                        O by 2015 model year. The manufacturers of complete pickup trucks and vans (Ford, General Motors, and Chrysler) are already impacted by the light-duty GHG rule and will therefore have this equipment and capability in place for the timing of this rulemaking.
                    </P>
                    <P>Overall, we believe that manufacturers of HD pickups and vans (both gasoline and diesel) would meet the standard without implementing any significantly new technologies, only further refinement of their existing controls, and we do not expect there to be any significant costs associated with this standard.</P>
                    <HD SOURCE="HD3">
                        (b) Heavy-Duty Engine N
                        <E T="52">2</E>
                        O Exhaust Emission Standard
                    </HD>
                    <P>
                        EPA proposed a per engine N
                        <E T="52">2</E>
                        O emissions standard of 0.05 g/bhp-hr for heavy-duty engines, but is finalizing a standard of 0.10 g/bhp-hr based on additional data submitted to the agency which better represents the full range of current diesel and gasoline engine performance. The final N
                        <E T="52">2</E>
                        O standard becomes effective in 2014 model year for diesel engines, as proposed. However, EPA is finalizing N
                        <E T="52">2</E>
                        O standards for gasoline engines that become effective in 2016 model year to align with the first year of the CO
                        <E T="52">2</E>
                         gasoline engine standards. Without this alignment, manufacturers would not have any flexibility, such as CO
                        <E T="52">2</E>
                        eq credits, in meeting the N
                        <E T="52">2</E>
                        0 cap and therefore would not have any recourse to comply if an engine's N
                        <E T="52">2</E>
                        O emissions were above the standard. The standard remains the same over the useful life of the engine. The N
                        <E T="52">2</E>
                        O emissions would be measured over the composite Heavy-duty FTP cycle because it is believed that this cycle poses the highest risk for N
                        <E T="52">2</E>
                        O formation versus the additional heavy-duty compliance cycles. The agencies received comments from industry suggesting that the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions be evaluated over the same test cycle required for CO
                        <E T="52">2</E>
                         emissions compliance. In other words, the commenters wanted to have the N
                        <E T="52">2</E>
                        O emissions measured over the SET for engines installed in tractors. The agencies are not adopting this approach for the final action because we do not have sufficient data to set the appropriate N
                        <E T="52">2</E>
                        O level using the SET. The agencies are not requiring any additional burden by requiring the measurement to be conducted over the Heavy-Duty FTP cycle because it is already required for criteria emissions. Averaging of N
                        <E T="52">2</E>
                        O emissions between HD engines will not be allowed. The standard is designed to prevent increases in N
                        <E T="52">2</E>
                        O emissions from current levels, 
                        <E T="03">i.e.,</E>
                         a no-backsliding standard.
                    </P>
                    <P>
                        The proposed N
                        <E T="52">2</E>
                        O level was twice the average N
                        <E T="52">2</E>
                        O level of primarily pre-2010 model year diesel engines as demonstrated in the ACES Study and in EPA's testing of two additional engines with selective catalytic reduction aftertreatement systems.
                        <SU>177</SU>
                        <FTREF/>
                         Manufacturers typically use design targets for NO
                        <E T="52">X</E>
                         emission levels of about 50 percent of the standard, to account for in-use emissions deterioration and normal testing and production variability, and manufacturers are expected to utilize a similar approach for N
                        <E T="52">2</E>
                        O emission compliance.
                    </P>
                    <FTNT>
                        <P>
                            <SU>177</SU>
                             Coordinating Research Council Report: ACES Phase 1 of the Advanced Collaborative Emissions Study, 2009. (This study included detailed chemical characterization of exhaust species emitted from four 2007 model year heavy heavy diesel engines).
                        </P>
                    </FTNT>
                    <P>
                        EPA sought comment about deterioration factors for N
                        <E T="52">2</E>
                        O emissions. See 75 FR 74208. Industry stakeholders recommended that the agency define a DF of zero. While we believe it is also possible that N
                        <E T="52">2</E>
                        O emissions will not deteriorate in use, very little data exist for aged engines and vehicles. Therefore, the value we are assigning is conservative, specifically additive DF of 0.02 g/bhp-hr. While the value is conservative, it is small enough to allow compliance for all engines except those very close to the standards. For engines too close to the standard to use the assigned DFs, the manufacturers would need to demonstrate via engineering analysis that deterioration is less than assigned DF.
                    </P>
                    <P>
                        EPA sought additional data on the level of the proposed N
                        <E T="52">2</E>
                        O level of 0.05 g/bhp-hr. See 75 FR 74208. The agency received additional data of 2010 model year engines from the Engine Manufacturers Association.
                        <SU>178</SU>
                        <FTREF/>
                         The agencies reanalyzed a new data set, as shown in Table II-22, to derive the final N
                        <E T="52">2</E>
                        O standard of 0.10 g/bhp-hr with a defined deterioration factor of 0.02 g/bhp-hr.
                    </P>
                    <FTNT>
                        <P>
                            <SU>178</SU>
                             Engine Manufacturers Association. EMA N
                            <E T="52">2</E>
                            O Email 03_22_2011. 
                            <E T="03">See</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <PRTPAGE P="57191"/>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,12,12">
                        <TTITLE>
                            Table II-22—N
                            <E T="52">2</E>
                            O Data Analysis
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Engine family</CHED>
                            <CHED H="1">Rated power (HP)</CHED>
                            <CHED H="1">
                                Composite FTP cycle N
                                <E T="52">2</E>
                                O result 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">EPA Data of 2007 Engine with SCR</ENT>
                            <ENT/>
                            <ENT>0.042</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">EPA Data of 2010 Production Intent Engine</ENT>
                            <ENT/>
                            <ENT>0.037</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">A</ENT>
                            <ENT>450</ENT>
                            <ENT>0.0181</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">A</ENT>
                            <ENT>600</ENT>
                            <ENT>0.0151</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">B</ENT>
                            <ENT>360</ENT>
                            <ENT>0.0326</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">C</ENT>
                            <ENT>380</ENT>
                            <ENT>0.0353</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">D</ENT>
                            <ENT>560</ENT>
                            <ENT>0.0433</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">D</ENT>
                            <ENT>455</ENT>
                            <ENT>0.0524</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">E</ENT>
                            <ENT>600</ENT>
                            <ENT>0.0437</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">F</ENT>
                            <ENT>500</ENT>
                            <ENT>0.0782</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">G</ENT>
                            <ENT>483</ENT>
                            <ENT>0.1127</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">H</ENT>
                            <ENT>385</ENT>
                            <ENT>0.0444</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">H</ENT>
                            <ENT>385</ENT>
                            <ENT>0.0301</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">H</ENT>
                            <ENT>385</ENT>
                            <ENT>0.0283</ENT>
                        </ROW>
                        <ROW RUL="d">
                            <ENT I="01">J</ENT>
                            <ENT>380</ENT>
                            <ENT>0.0317</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">  </ENT>
                            <ENT>Mean</ENT>
                            <ENT>0.043</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">  </ENT>
                            <ENT>2 * Mean</ENT>
                            <ENT>0.09</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        Engine emissions regulations do not currently require testing for N
                        <E T="52">2</E>
                        O. The Mandatory GHG Reporting final rule requires reporting of N
                        <E T="52">2</E>
                        O and requires that manufacturers either measure N
                        <E T="52">2</E>
                        O or use a compliance statement based on good engineering judgment in lieu of direct N
                        <E T="52">2</E>
                        O measurement (74 FR 56260, October 30, 2009). The light-duty GHG final rule allows manufacturers to provide a compliance statement based on good engineering judgment through the 2014 model year, but requires measurement beginning in 2015 model year (75 FR 25324, May 7, 2010). EPA is finalizing a consistent approach for heavy-duty engine manufacturers which allows them to delay direct measurement of N
                        <E T="52">2</E>
                        O until the 2015 model year.
                    </P>
                    <P>
                        Manufacturers without the capability to measure N
                        <E T="52">2</E>
                        O by the 2015 model year would need to acquire and install appropriate measurement equipment in response to this final program. EPA has established four separate N
                        <E T="52">2</E>
                        O measurement methods, all of which are commercially available today. EPA expects that most manufacturers would use either photo-acoustic measurement equipment for stand-alone, existing FTIR instrumentation at a cost of $50,000 per unit or upgrade existing emission measurement systems with NDIR analyzers for $25,000 per test cell.
                    </P>
                    <P>
                        Overall, EPA believes that manufacturers of heavy-duty engines, both gasoline and diesel, would meet the final standard without implementing any new technologies, and beyond relatively small facilities costs for any company that still needs to acquire and install N
                        <E T="52">2</E>
                        O measurement equipment, EPA does not project that manufacturers would incur significant costs associated with this final N
                        <E T="52">2</E>
                        O standard.
                    </P>
                    <P>
                        EPA is not adopting any vehicle-level N
                        <E T="52">2</E>
                        O standards for heavy-duty vocational vehicles and combination tractors. The N
                        <E T="52">2</E>
                        O emissions would be controlled through the heavy-duty engine portion of the program. The only requirement of those vehicle manufacturers to comply with the N
                        <E T="52">2</E>
                        O requirements is to install a certified engine.
                    </P>
                    <HD SOURCE="HD3">
                        (2) What is EPA's approach to controlling CH
                        <E T="52">4</E>
                        ?
                    </HD>
                    <P>
                        CH
                        <E T="52">4</E>
                         is greenhouse gas with a GWP of 25. It accounts for about 0.03 percent of the greenhouse gases from heavy-duty trucks.
                        <SU>179</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>179</SU>
                             Value adapted from “Inventory of U.S. Greenhouse Gas Emissions and Sinks: 1990-2007. April 2009.
                        </P>
                    </FTNT>
                    <P>
                        EPA is finalizing a standard that would cap CH
                        <E T="52">4</E>
                         emission levels, with the expectation that current heavy-duty vehicles and engines meeting the heavy-duty emission standards would not increase their levels as explained earlier due to robust current controls and manufacturer compliance margin targets. It would ensure that emissions would be addressed if in the future there are increases in the use of natural gas or any other alternative fuel. EPA believes that current heavy-duty emission standards, specifically the NMHC standards for both engine and chassis certified engines directly result in stringent CH
                        <E T="52">4</E>
                         control. It is believed that the current emission control technologies used to meet the stringent NMHC standards achieve the maximum feasible reductions and that no additional technologies are recognized that would result in additional CH
                        <E T="52">4</E>
                         reductions. The level of the standard would generally be achievable through normal emission control methods already required to meet heavy-duty emission standards for hydrocarbons and EPA is therefore not attributing any cost to this part of the final action. Since CH
                        <E T="52">4</E>
                         is produced in gasoline and diesel engines similar to other hydrocarbon components, controls targeted at reducing overall NMHC levels generally also work at reducing CH
                        <E T="52">4</E>
                         emissions. Therefore, for gasoline and diesel vehicles, the heavy-duty hydrocarbon standards will generally prevent increases in CH
                        <E T="52">4</E>
                         emissions levels. CH
                        <E T="52">4</E>
                         from heavy-duty vehicles is relatively low compared to other GHGs largely due to the high effectiveness of the current heavy-duty standards in controlling overall HC emissions.
                    </P>
                    <P>
                        EPA believes that this level for the standard would be met by current gasoline and diesel trucks and vans, and would prevent increases in future CH
                        <E T="52">4</E>
                         emissions in the event that alternative fueled vehicles with high methane emissions, like some past dedicated compressed natural gas vehicles, become a significant part of the vehicle fleet. Currently EPA does not have separate CH
                        <E T="52">4</E>
                         standards because, unlike other hydrocarbons, CH
                        <E T="52">4</E>
                         does not contribute significantly to ozone formation.
                        <SU>180</SU>
                        <FTREF/>
                         However, CH
                        <E T="52">4</E>
                         emissions levels in the gasoline and diesel heavy-duty truck fleet have nevertheless 
                        <PRTPAGE P="57192"/>
                        generally been controlled by the heavy-duty HC emission standards. Even so, without an emission standard for CH
                        <E T="52">4</E>
                        , future emission levels of CH
                        <E T="52">4</E>
                         cannot be guaranteed to remain at current levels as vehicle technologies and fuels evolve.
                    </P>
                    <FTNT>
                        <P>
                            <SU>180</SU>
                             But 
                            <E T="03">See Ford Motor Co.</E>
                             v. 
                            <E T="03">EPA,</E>
                             604 F. 2d 685 (DC Cir. 1979) (permissible for EPA to regulate CH
                            <E T="52">4</E>
                             under CAA section 202(b)).
                        </P>
                    </FTNT>
                    <P>
                        In recent model years, a small number of heavy-duty trucks and engines were sold that were designed for dedicated use of natural gas. While emission control designs on these recent dedicated natural gas-fueled vehicles demonstrate CH
                        <E T="52">4</E>
                         control can be as effective as on gasoline or diesel equivalent vehicles, natural gas-fueled vehicles have historically generated significantly higher CH
                        <E T="52">4</E>
                         emissions than gasoline or diesel vehicles. This is because the fuel is predominantly methane, and most of the unburned fuel that escapes combustion without being oxidized by the catalyst is emitted as methane. However, even if these vehicles meet the heavy-duty hydrocarbon standard and appear to have effective CH
                        <E T="52">4</E>
                         control by nature of the hydrocarbon controls, the heavy-duty standards do not require CH
                        <E T="52">4</E>
                         control and therefore some natural gas vehicle manufacturers have invested very little effort into methane control. While the final CH
                        <E T="52">4</E>
                         cap standard should not require any different emission control designs beyond what is already required to meet heavy-duty hydrocarbon standards on a dedicated natural gas vehicle (
                        <E T="03">i.e.,</E>
                         feedback controlled 3-way catalyst), the cap will ensure that systems provide robust control of methane much like a gasoline-fueled engine. We are not finalizing more stringent CH
                        <E T="52">4</E>
                         standards because we believe that the controls used to meet current heavy-duty hydrocarbon standards should result in effective CH
                        <E T="52">4</E>
                         control when properly implemented. Since CH
                        <E T="52">4</E>
                         is already measured under the current heavy-duty emissions regulations (so that it may be subtracted to calculate NMHC), the final standard will not result in additional testing costs.
                    </P>
                    <HD SOURCE="HD3">
                        (a) Heavy-Duty Pickup Truck and Van CH
                        <E T="52">4</E>
                         Standard
                    </HD>
                    <P>
                        EPA is finalizing the proposed CH
                        <E T="52">4</E>
                         emission standard of 0.05 g/mi as measured on the Light-duty FTP and HFET drive cycles, to apply beginning with model year 2014 for HD pickups and vans subject to the CO
                        <E T="52">2</E>
                         standards. Similar to the CO
                        <E T="52">2</E>
                         standard approach, the CH
                        <E T="52">4</E>
                         emission level of a vehicle will be a composite of the Light-duty FTP and HFET cycles, with the same 55 percent city weighting and 45 percent highway weighting.
                    </P>
                    <P>
                        The level of the standard is approximately two times the average heavy-duty gasoline and diesel truck and van levels.
                        <SU>181</SU>
                        <FTREF/>
                         As with N
                        <E T="52">2</E>
                        O, this standard level recognizes that manufacturers typically set emissions design targets with a compliance margin of approximately 50 percent of the standard. Thus, we believe that the standard should be met by current gasoline vehicles with no increase from today's CH
                        <E T="52">4</E>
                         levels. Similarly, since current diesel vehicles generally have even lower CH
                        <E T="52">4</E>
                         emissions than gasoline vehicles, we believe that diesels will also meet the standard with a larger compliance margin resulting in no change in today's CH
                        <E T="52">4</E>
                         levels.
                    </P>
                    <FTNT>
                        <P>
                            <SU>181</SU>
                             Memorandum “CH
                            <E T="52">4</E>
                             Data from 2010 and 2011 Heavy-Duty Vehicle Certification Tests”.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">
                        (b) Heavy-Duty Engine CH
                        <E T="52">4</E>
                         Exhaust Emission Standard
                    </HD>
                    <P>
                        EPA is adopting a heavy-duty engine CH
                        <E T="52">4</E>
                         emission standard of 0.10 g/hp-hr with a defined deterioration factor of 0.02 g/bhp-hr as measured on the composite Heavy-duty FTP, to apply beginning in model year 2014 for diesel engines and in 2016 model year for gasoline engines. EPA is adopting a different CH
                        <E T="52">4</E>
                         standard than proposed based on additional data submitted to the agency which better represents the full range of current diesel and gasoline engine performance. EPA is adopting CH
                        <E T="52">4</E>
                         standards for gasoline engines that become effective in 2016 model year to align with the first year of the gasoline engine CO
                        <E T="52">2</E>
                         standards. Without this alignment, manufacturers would not have any flexibility, such as CO
                        <E T="52">2</E>
                        eq credits, in meeting the CH
                        <E T="52">4</E>
                         cap and therefore would not be able to sell any engine with a CH
                        <E T="52">4</E>
                         level above the standard. The final standard would cap CH
                        <E T="52">4</E>
                         emissions at a level currently achieved by diesel and gasoline heavy-duty engines. The level of the standard would generally be achievable through normal emission control methods already required to meet 2007 emission standards for NMHC and EPA is therefore not attributing any cost to this part of this program (
                        <E T="03">see</E>
                         40 CFR 86.007-11).
                    </P>
                    <P>
                        The level of the final CH
                        <E T="52">4</E>
                         standard is twice the average CH
                        <E T="52">4</E>
                         emissions from gasoline engines from General Motors in addition to the four diesel engines in the ACES study.
                        <SU>182</SU>
                        <FTREF/>
                         As with N
                        <E T="52">2</E>
                        O, this final level recognizes that manufacturers typically set emission design targets at about 50 percent of the standard. Thus, EPA believes the final standard would be met by current diesel and gasoline engines with little if any technological improvements. The agency believes a more stringent CH
                        <E T="52">4</E>
                         standard is not necessary due to effective CH
                        <E T="52">4</E>
                         controls in current heavy-duty technologies, since, as discussed above for N
                        <E T="52">2</E>
                        O, EPA believes that the challenge of complying with the CO
                        <E T="52">2</E>
                         standards should be the primary focus of the manufacturers.
                    </P>
                    <FTNT>
                        <P>
                            <SU>182</SU>
                             Coordinating Research Council Report: ACES Phase 1 of the Advanced Collaborative Emissions Study, 2009.
                        </P>
                    </FTNT>
                    <P>
                        CH
                        <E T="52">4</E>
                         is measured under the current 2007 regulations so that it may be subtracted to calculate NMHC. Therefore EPA expects that the final standard would not result in additional testing costs.
                    </P>
                    <P>
                        EPA is not adopting any vehicle-level CH
                        <E T="52">4</E>
                         standards for heavy-duty combination tractors or vocational vehicles in this final action. The CH
                        <E T="52">4</E>
                         emissions will be controlled through the heavy-duty engine portion of the program. The only requirement of these truck manufacturers to comply with the CH
                        <E T="52">4</E>
                         requirements is to install a certified engine.
                    </P>
                    <HD SOURCE="HD3">
                        (3) Use of CO
                        <E T="52">2</E>
                         Credits
                    </HD>
                    <P>
                        As proposed, if a manufacturer is unable to meet the N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                         cap standards, the EPA program will allow the manufacturer to comply using CO
                        <E T="52">2</E>
                         credits. In other words, a manufacturer could offset any N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                         emissions above the standard by taking steps to further reduce CO
                        <E T="52">2</E>
                        . A manufacturer choosing this option would convert its measured N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         test results that are in excess of the applicable standards into CO
                        <E T="52">2</E>
                        eq to determine the amount of CO
                        <E T="52">2</E>
                         credits required. For example, a manufacturer would use 25 Mg of positive CO
                        <E T="52">2</E>
                         credits to offset 1 Mg of negative CH
                        <E T="52">4</E>
                         credits or use 298 Mg of positive CO
                        <E T="52">2</E>
                         credits to offset 1 Mg of negative N
                        <E T="52">2</E>
                        O credits.
                        <SU>183</SU>
                        <FTREF/>
                         By using the Global Warming Potential of N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                        , the approach recognizes the inter-correlation of these compounds in impacting global warming and is environmentally neutral for demonstrating compliance with the individual emissions caps. Because fuel conversion manufacturers certifying under 40 CFR part 85, subpart F do not participate in ABT programs, EPA is finalizing a compliance option for fuel conversion manufacturers to comply with the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards that is similar to the credit program just described above. The compliance option will allow conversion manufacturers, on an individual engine family basis, to convert CO
                        <E T="52">2</E>
                         overcompliance into CO
                        <E T="52">2</E>
                         equivalents of N
                        <E T="52">2</E>
                        0 and/or CH
                        <E T="52">4</E>
                         that can be subtracted from the CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        0 measured values to demonstrate compliance with CH
                        <E T="52">4</E>
                         and/or N
                        <E T="52">2</E>
                        0 standards. Other than in the limited 
                        <PRTPAGE P="57193"/>
                        case of N
                        <E T="52">2</E>
                        O for model years 2014-16, we have not finalized similar provisions allowing overcompliance with the N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                         standards to serve as a means to generate CO
                        <E T="52">2</E>
                         credits because the CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O standards are cap standards representing levels that all but the worst vehicles should already be well below. Allowing credit generation against such cap standard would provide a windfall credit without any true GHG reduction.
                    </P>
                    <FTNT>
                        <P>
                            <SU>183</SU>
                             N
                            <E T="52">2</E>
                            O has a GWP of 298 and CH
                            <E T="52">4</E>
                             has a GWP of 25 according to the IPCC AR4.
                        </P>
                    </FTNT>
                    <P>
                        The final NHTSA fuel consumption program will not use CO
                        <E T="52">2</E>
                        eq, as suggested above. Measured performance to the NHTSA fuel consumption standards will be based on the measurement of CO
                        <E T="52">2</E>
                         with no adjustment for N
                        <E T="52">2</E>
                        O and/or CH
                        <E T="52">4</E>
                        . For manufacturers that use the EPA alternative CO
                        <E T="52">2</E>
                        eq credit, compliance to the EPA CO
                        <E T="52">2</E>
                         standard will not be directly equivalent to compliance with the NHTSA fuel consumption standard.
                    </P>
                    <HD SOURCE="HD3">
                        (4) Amendment to Light-Duty Vehicle N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         Standards
                    </HD>
                    <P>
                        EPA also requested comment on revising a portion of the light-duty vehicle standards for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                        . 75 FR at 74211. Specifically, EPA requested comments on two additional options for manufacturers to comply with N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards to provide additional near-term flexibility. EPA is finalizing one of those options, as discussed below.
                    </P>
                    <P>
                        For light-duty vehicles, as part of the MY 2012-2016 rulemaking, EPA finalized standards for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         which take effect with MY 2012. 75 FR at 25421-24. Similar to the heavy-duty standards discussed in Section II.E above, the light-duty vehicle standards for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         were established to cap emissions and to prevent future emissions increases, and were generally not expected to result in the application of new technologies or significant costs for the manufacturers for current vehicle designs. EPA also finalized an alternative CO
                        <E T="52">2</E>
                         equivalent standard option, which manufacturers may choose to use in lieu of complying with the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         cap standards. The CO
                        <E T="52">2</E>
                         equivalent standard option allows manufacturers to fold all N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions, on a CO
                        <E T="52">2</E>
                        eq basis, along with CO
                        <E T="52">2</E>
                         into their otherwise applicable CO
                        <E T="52">2</E>
                         emissions standard level. For flexible fueled vehicles, the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards must be met on both fuels (
                        <E T="03">e.g.,</E>
                         both gasoline and E-85).
                    </P>
                    <P>
                        After the light-duty standards were finalized, manufacturers raised concerns that for a few of the vehicle models in their existing fleet they were having difficulty meeting the N
                        <E T="52">2</E>
                        O and/or CH
                        <E T="52">4</E>
                         standards, especially in the early years of the program for a few of the vehicle models in their existing fleet. These standards could be problematic in the near term because there is little lead time to implement unplanned redesigns of vehicles to meet the standards. In such cases, manufacturers may need to either drop vehicle models from their fleet or to comply using the CO
                        <E T="52">2</E>
                         equivalent alternative. On a CO
                        <E T="52">2</E>
                        eq basis, folding in all N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions would add 3-4 g/mile or more to a manufacturer's overall fleet-average CO
                        <E T="52">2</E>
                         emissions level because the alternative standard must be used for the entire fleet, not just for the problem vehicles.
                        <SU>184</SU>
                        <FTREF/>
                         See 75 FR at 74211. This could be especially challenging in the early years of the program for manufacturers with little compliance margin because there is very limited lead time to develop strategies to address these additional emissions. As stated at proposal, EPA believed this posed a legitimate issue of sufficiency of lead time in the short term, as well as an issue of cost, since EPA assumed that the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards would not result in significant costs for existing vehicles. 
                        <E T="03">Id.</E>
                         However, EPA expected that manufacturers would be able to make technology changes (
                        <E T="03">e.g.,</E>
                         calibration or catalyst changes) to the few vehicle models not currently meeting the N
                        <E T="52">2</E>
                        O and/or CH
                        <E T="52">4</E>
                         standards in the course of their planned vehicle redesign schedules in order to meet the standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>184</SU>
                             0.030 g/mile CH
                            <E T="52">4</E>
                             multiplied by a GWP of 25 plus 0.010 g/mile N
                            <E T="52">2</E>
                            O multiplied by a GWP of 298 results in a combined 3.7 g/mile CO
                            <E T="52">2</E>
                            -equivalent value. Manufacturers using the default N
                            <E T="52">2</E>
                            O value of 0.10 g/mile prior to MY 2015 in lieu of measuring N
                            <E T="52">2</E>
                            O would fold in the entire 0.010 g/mile on a CO
                            <E T="52">2</E>
                            -equivalent basis, or about 3 g/mile under the CO
                            <E T="52">2</E>
                            -equivalent option.
                        </P>
                    </FTNT>
                    <P>
                        Because EPA intended for these standards to be caps with little anticipated near-term impact on manufacturer's current product lines, EPA requested comment in the heavy-duty vehicle and engine proposal on two approaches to provide additional flexibilities in the light-duty vehicle program for meeting the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards. 75 FR at 74211. EPA requested comments on the option of allowing manufacturers to use the CO
                        <E T="52">2</E>
                         equivalent approach for one pollutant but not the other for their fleet—that is, allowing a manufacturer to fold in either CH
                        <E T="52">4</E>
                         or N
                        <E T="52">2</E>
                        O as part of the CO
                        <E T="52">2</E>
                        -equivalent standard. For example, if a manufacturer is having trouble complying with the CH
                        <E T="52">4</E>
                         standard but not the N
                        <E T="52">2</E>
                        O standard, the manufacturer could use the CO
                        <E T="52">2</E>
                         equivalent option including CH
                        <E T="52">4</E>
                        , but choose to comply separately with the applicable N
                        <E T="52">2</E>
                        O cap standard.
                    </P>
                    <P>
                        EPA also requested comments on an alternative approach of allowing manufacturers to use CO
                        <E T="52">2</E>
                         credits, on a CO
                        <E T="52">2</E>
                         equivalent basis, to offset N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions above the applicable standard. This is similar to the approach proposed and being finalized for heavy-duty vehicles as discussed above in Section II.E. EPA requested comments on allowing the additional flexibility in the light-duty program for MYs 2012-2014 to help manufacturers address any near-term issues that they may have with the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards.
                    </P>
                    <P>
                        Commenters providing comment on this issue supported additional flexibility for manufacturers, and manufacturers specifically supported the heavy-duty vehicle approach of allowing CO
                        <E T="52">2</E>
                         credits on a CO
                        <E T="52">2</E>
                         equivalent basis to be used to meet the CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O standards. The Alliance of Automobile Manufacturers and the American Automotive Policy Council commented that the proposed heavy-duty approach represented a significant improvement over the approach adopted for light-duty vehicles. Manufacturers support de-linking N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                        , and commented that the formation of the pollutants do not necessarily trend together. Manufacturers also commented that a deficit against the N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                         cap would be required to be covered with CO
                        <E T="52">2</E>
                         credits for that model, but the approach does not “punish” manufacturers for using a specific technology (which could provide CO
                        <E T="52">2</E>
                         benefits, 
                        <E T="03">e.g.,</E>
                         diesel, CNG, 
                        <E T="03">etc.</E>
                        ) by requiring manufacturers to use the CO
                        <E T="52">2</E>
                        -equivalent approach for their entire fleet. The Natural Gas Vehicle Interests also supported allowing the use of CO
                        <E T="52">2</E>
                         credits on a CO
                        <E T="52">2</E>
                        -equivalent basis for compliance with CH
                        <E T="52">4</E>
                         standards and urged providing this type of flexibility on a permanent basis. The Institute for Policy Integrity also submitted comments supportive of providing additional flexibility to manufacturers as long as it does not undermine standard stringency. This commenter was supportive of either approach discussed at proposal.
                        <SU>185</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>185</SU>
                             The Institute for Policy Integrity questioned whether EPA had provided adequate notice of the proposal, given that it appeared in the proposed GHG rules for heavy duty vehicles. EPA provided notice not only in the preamble, but in the summary of action appearing on the first page of the 
                            <E T="04">Federal Register</E>
                             notice (“EPA is also requesting comment on possible alternative CO
                            <E T="52">2</E>
                            -equivalent approaches for model year 2012-14 light-duty vehicles”). 75 FR at 74152. This is ample notice (demonstrated as well by the comments received on the issue, including from the Institute).
                        </P>
                    </FTNT>
                    <P>
                        Manufacturers supported not only adopting the aspects of the heavy-duty approach noted above, but the entire 
                        <PRTPAGE P="57194"/>
                        heavy-duty vehicle approach, including two aspects of the program not contemplated in EPA's request for comments. First, manufacturers commented that EPA incorrectly characterizes the light-duty vehicle issues with CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O as short-term or early lead time issues. For the reasons discussed above, manufacturers believe the changes should be made permanent, for the entire 2012-2016 light-duty rulemaking period and, indeed, in any subsequent rules for the light-duty vehicle sector. Second, manufacturers commented that N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         should be measured on the combined 55/45 weighting of the FTP and highway cycles, respectively, as these cycles are the yardstick for fuel economy and CO
                        <E T="52">2</E>
                         measurement. Manufacturers commented that there should not be a disconnect between the light-duty and heavy-duty vehicle programs.
                    </P>
                    <P>
                        EPA continues to believe that it is appropriate to provide additional flexibility to manufacturers to meet the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards. EPA is thus finalizing provisions allowing manufacturers to use CO
                        <E T="52">2</E>
                         credits, on a CO
                        <E T="52">2</E>
                        -equivalent basis, to meet the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards, which is consistent with many commenters' preferred approach. Manufacturers will have the option of using CO
                        <E T="52">2</E>
                         credits to meet N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards on a test group basis as needed for MYs 2012-2016. Because fuel conversion manufacturers certifying under 40 CFR part 85, subpart F do not participate in ABT programs, EPA is finalizing a compliance option for fuel conversion manufacturers to comply with the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards similar to the credit option just described above. The compliance option will allow conversion manufacturers, on an individual test group basis, to convert CO
                        <E T="52">2</E>
                         overcompliance into CO
                        <E T="52">2</E>
                         equivalents of N
                        <E T="52">2</E>
                        O and/or CH
                        <E T="52">4</E>
                         that can be subtracted from the CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O measured values to demonstrate compliance with CH
                        <E T="52">4</E>
                         and/or N
                        <E T="52">2</E>
                        O standards.
                    </P>
                    <P>
                        In EPA's request for comments, EPA discussed the new flexibility as being needed to address lead time issues for MYs 2012-2014. EPA understands that manufacturers are now making technology decisions for beyond MY 2014 and that some technologies such as FFVs may have difficulty meeting the CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O standards, presenting manufacturers with difficult decisions of absorbing the 3-4 g/mile CO
                        <E T="52">2</E>
                        -equivalent emissions fleet wide, making significant investments in existing vehicle technologies, or curtailing the use of certain technologies.
                        <SU>186</SU>
                        <FTREF/>
                         The CH
                        <E T="52">4</E>
                         standard, in particular, could prove challenging for FFVs because exhaust temperatures are lower on E-85 and CH
                        <E T="52">4</E>
                         is more difficult to convert over the catalyst. EPA's initial estimate that these issues could be resolved without disrupting product plans by MY 2015 appears to be overly optimistic, and therefore EPA is extending the flexibility through model year 2016. This change helps ensure that the CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O standards will not be an obstacle for the use of FFVs or other technologies in this timeframe, and at the same time, assure that overall fleet average GHG emissions will remain at the same level as under the main standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>186</SU>
                             “Discussions with Vehicle Manufacturers Regarding the Light-duty Vehicle CH
                            <E T="52">4</E>
                             and N
                            <E T="52">2</E>
                            O Standards,” Memorandum from Christopher Lieske to Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        In response to comments from manufacturers and from the Natural Gas Vehicle Interests that the changes to the program make sense and should be made on a permanent basis (
                        <E T="03">i.e.</E>
                         for model years after 2016), EPA is extending this flexibility through MY 2016 as discussed above, but we believe it is premature to decide here whether or not these changes should be permanent. EPA may consider this issue further in the context of new standards for MYs 2017-2025 in the planned future light-duty vehicle rulemaking. With regard to comments on changing the test procedures over which N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions are measured to determine compliance with the standards, the level of the standards and the test procedures go hand-in-hand and must be considered together. Weighting the highway test result with the city test result in the emissions measurement would in most cases reduce the overall emissions levels for determining compliance with the standards, and would thereby, in effect make the standards less stringent. This appears to be inappropriate. In addition, EPA did not request comments on changing the level of the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards or the test procedures and it is inappropriate to amend the standards for that reason as well.
                    </P>
                    <HD SOURCE="HD3">(5) EPA's Final Standards for Direct Emissions From Air Conditioning</HD>
                    <P>
                        Air conditioning systems contribute to GHG emissions in two ways—direct emissions through refrigerant leakage and indirect exhaust emissions due to the extra load on the vehicle's engine to provide power to the air conditioning system. HFC refrigerants, which are powerful GHG pollutants, can leak from the A/C system.
                        <SU>187</SU>
                        <FTREF/>
                         This includes the direct leakage of refrigerant as well as the subsequent leakage associated with maintenance and servicing, and with disposal at the end of the vehicle's life.
                        <SU>188</SU>
                        <FTREF/>
                         The most commonly used refrigerant in automotive applications—R134a, has a high GWP of 1430.
                        <SU>189</SU>
                        <FTREF/>
                         Due to the high GWP of R134a, a small leakage of the refrigerant has a much greater global warming impact than a similar amount of emissions of CO
                        <E T="52">2</E>
                         or other mobile source GHGs.
                    </P>
                    <FTNT>
                        <P>
                            <SU>187</SU>
                             The United States has submitted a proposal to the Montreal Protocol which, if adopted, would phasedown production and consumption of HFCs.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>188</SU>
                             The U.S. EPA has reclamation requirements for refrigerants in place under Title VI of the Clean Air Act.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>189</SU>
                             The global warming potentials used in this rule are consistent with the 2007 Intergovernmental Panel on Climate Change (IPCC) Fourth Assessment Report. At this time, the global warming potential values from the 1996 IPCC Second Assessment Report are used in the official U.S. greenhouse gas inventory submission to the United Nations Framework Convention on Climate Change (per the reporting requirements under that international convention, which were last updated in 2006).
                        </P>
                    </FTNT>
                    <P>Heavy-duty air conditioning systems today are similar to those used in light-duty applications. However, differences may exist in terms of cooling capacity (such that sleeper cabs have larger cabin volumes than day cabs), system layout (such as the number of evaporators), and the durability requirements due to longer vehicle life. However, the component technologies and costs to reduce direct HFC emissions are similar between the two types of vehicles.</P>
                    <P>
                        The quantity of GHG refrigerant emissions from heavy-duty trucks relative to the CO
                        <E T="52">2</E>
                         emissions from driving the vehicle and moving freight is very small. Therefore, a credit approach is not appropriate for this segment of vehicles because the value of the credit is too small to provide sufficient incentive to utilize feasible and cost-effective air conditioning leakage improvements. For the same reason, including air conditioning leakage improvements within the main standard would in many instances result in lost control opportunities. Therefore, EPA is finalizing the proposed requirement that vehicle manufacturers meet a low leakage requirement for all air conditioning systems installed in 2014 model year and later trucks, with one exception. The agency is not finalizing leakage standards for Class 2b-8 Vocational Vehicles at this time due to the complexity in the build process and the potential for different entities besides the chassis manufacturer to be involved in the air conditioning system production and installation, with 
                        <PRTPAGE P="57195"/>
                        consequent difficulties in developing a regulatory system.
                    </P>
                    <P>
                        For air conditioning systems with a refrigerant capacity greater than 733 grams, EPA is finalizing a leakage standard which is a “percent refrigerant leakage per year” to assure that high-quality, low-leakage components are used in each air conditioning system design. The agency believes that a single “gram of refrigerant leakage per year” would not fairly address the variety of air conditioning system designs and layouts found in the heavy-duty truck sector. EPA is finalizing a standard of 1.50 percent leakage per year for heavy-duty pickup trucks and vans and Class 7 and 8 tractors. The final standard was derived from the vehicles with the largest system refrigerant capacity based on the Minnesota GHG Reporting database.
                        <SU>190</SU>
                        <FTREF/>
                         The average percent leakage per year of the 2010 model year vehicles is 2.7 percent. This final level of reduction is roughly comparable to that necessary to generate credits under the light-duty vehicle program. 
                        <E T="03">See</E>
                         75 FR 25426-25427. Since refrigerant leakage past the compressor shaft seal is the dominant source of leakage in belt-driven air conditioning systems, the agency recognizes that a single “percent refrigerant leakage per year” is not feasible for systems with a refrigerant capacity of 733 grams or lower, as the minimum feasible leakage rate does not continue to drop as the capacity or size of the air conditioning system is reduced. The fixed leakage from the compressor seal and other system devices results in a minimum feasible yearly leakage rate, and further reductions in refrigerant capacity (the `denominator' in the percent refrigerant leakage calculation) will result in a system which cannot meet the 1.50 percent leakage per year standard. EPA does not believe that leakage reducing technologies are available at this time which would allow lower capacity systems to meet the percent per year standard, so we are finalizing a maximum gram per year leakage standard of 11.0 grams per year for air conditioning systems with a refrigerant capacity of 733 grams or lower. EPA defined the standard, as well as the refrigerant capacity threshold, by examining the State of Minnesota GHG Reporting Database for the yearly leakage rate from 2010 and 2011 model year pickup trucks. In the Minnesota data, the average leak rate for the pickup truck category (16 unique model and refrigerant capacity combinations) was 13.3 grams per year, with an average capacity of 654 grams, resulting in an average percent refrigerant leakage per year of 2.0 percent. 4 of the 16 model/capacity combinations in the reporting data achieved a leak rate 11.0 grams per year or lower, and this was chosen as the maximum yearly leak rate, as several manufacturers have demonstrated that this level of yearly leakage is feasible. To avoid a discontinuity between the “percent leakage” and “leak rate” standards—where one approach would be more or less stringent, depending on the refrigerant capacity—a refrigerant capacity of 733 grams was chosen as a threshold capacity, below which, the leak rate approach can be used. EPA believes this approach of having a leak rate standard for lower capacity systems and a percent leakage per year standard for higher capacity systems will result in reduced refrigerant emissions from all air conditioning systems, while still allowing manufacturers the ability to produce low-leak, lower capacity systems in vehicles which require them.
                    </P>
                    <FTNT>
                        <P>
                            <SU>190</SU>
                             The Minnesota refrigerant leakage data can be found at 
                            <E T="03">http://www.pca.state.mn.us/climatechange/mobileair.html#leakdata.</E>
                        </P>
                    </FTNT>
                    <P>
                        Manufacturers can choose to reduce A/C leakage emissions in two ways. First, they can utilize leak-tight components. Second, manufacturers can largely eliminate the global warming impact of leakage emissions by adopting systems that use an alternative, low-Global Warming Potential (GWP) refrigerant. One alternative refrigerant, HFO-1234yf, with a GWP of 4, has been approved for use in light-duty passenger vehicles under EPA's Significant New Alternatives Program (SNAP). While the scope of this SNAP approval does not include heavy-duty highway vehicles, we expect that those interested in using this refrigerant in other sectors will petition EPA for broader approval of its use in all mobile air conditioning systems. In addition, the EPA is currently acting on a petition to de-list R-134a as an acceptable refrigerant for new, light-duty passenger vehicles. The time frame and scale of R-134a de-listing is yet to be determined, but any phase-down of R-134a use will likely take place after this rulemaking is in effect. Given that HFO-1234yf is yet to be approved for heavy-duty vehicles, and that the time frame for the de-listing of R-134a is not known, EPA believes that a leakage standard for heavy-duty vehicles is still appropriate. If future heavy-duty vehicles adopt refrigerants other than R-134a, the calculated refrigerant leak rate can be adjusted by multiplying the leak rate by the ratio of the GWP of the new refrigerant divided by the GWP of the old refrigerant (
                        <E T="03">e.g.</E>
                         for HFO-1234yf replacing R-134a, the calculated leak rate would be multiplied by 0.0028, or 4 divided by 1430).
                    </P>
                    <P>
                        EPA believes that reducing A/C system leakage is both highly cost-effective and technologically feasible. The availability of low leakage components is being driven by the air conditioning program in the light-duty GHG rule which apply to 2012 model year and later vehicles. The cooperative industry and government Improved Mobile Air Conditioning program has demonstrated that new-vehicle leakage emissions can be reduced by 50 percent by reducing the number and improving the quality of the components, fittings, seals, and hoses of the A/C system.
                        <SU>191</SU>
                        <FTREF/>
                         All of these technologies are already in commercial use and exist on some of today's systems, and EPA does not anticipate any significant improvements in sealing technologies for model years beyond 2014. However, EPA has recognized some manufacturers utilize an improved manufacturing process for air conditioning systems, where a helium leak test is performed on 100 percent of all o-ring fittings and connections after final assembly. By leak testing each fitting, the manufacturer or supplier is verifying the o-ring is not damaged during assembly (which is the primary source of leakage from o-ring fittings), and when calculating the yearly leak rate for a system, EPA will allow a relative emission value equivalent to a `seal washer' can be used in place of the value normally used for an o-ring fitting, when 100 percent helium leak testing is performed on those fittings. While further updates to the SAE J2727 standard may be forthcoming (to address new materials and measurement methods for permeation through hoses), EPA believes it is appropriate to include the helium leak test update to the leakage calculation method at this time.
                    </P>
                    <FTNT>
                        <P>
                            <SU>191</SU>
                             Team 1-Refrigerant Leakage Reduction: Final Report to Sponsors, SAE, 2007.
                        </P>
                    </FTNT>
                    <P>
                        Consistent with the light-duty 2012-2016 MY vehicle rule, we are estimating costs for leakage control at $18 (2008$) in direct manufacturing costs. Including a low complexity indirect cost multiplier (ICM) of 1.14 results in costs of $21 in the 2014 model year. A/C control technology is considered to be on the flat portion of the learning curve, so costs in the 2017 model year will be $19. These costs are applied to all heavy-duty pickups and vans, and to all combination tractors. EPA views these costs as minimal and the reductions of potent GHGs to be easily feasible and reasonable in the lead times provided by the final rules.
                        <PRTPAGE P="57196"/>
                    </P>
                    <P>EPA is requiring that manufacturers demonstrate improvements in their A/C system designs and components through a design-based method. The method for calculating A/C leakage is based closely on an industry-consensus leakage scoring method, described below. This leakage scoring method is correlated to experimentally-measured leakage rates from a number of vehicles using the different available A/C components. Under the final approach, manufacturers will choose from a menu of A/C equipment and components used in their vehicles in order to establish leakage scores, which will characterize their A/C system leakage performance and calculate the percent leakage per year as this score divided by the system refrigerant capacity.</P>
                    <P>
                        Consistent with the light-duty rule, EPA is finalizing a requirement that a manufacturer will compare the components of its A/C system with a set of leakage-reduction technologies and actions that is based closely on that being developed through the Improved Mobile Air Conditioning program and SAE International (as SAE Surface Vehicle Standard J2727, “HFC-134a, Mobile Air Conditioning System Refrigerant Emission Chart,” August 2008 version). 
                        <E T="03">See</E>
                         generally 75 FR 25426. The SAE J2727 approach was developed from laboratory testing of a variety of A/C related components, and EPA believes that the J2727 leakage scoring system generally represents a reasonable correlation with average real-world leakage in new vehicles. Like the cooperative industry-government program, our final approach will associate each component with a specific leakage rate in grams per year that is identical to the values in J2727 and then sum together the component leakage values to develop the total A/C system leakage. However, in the heavy-duty vehicle program, the total A/C leakage score will then be divided by the value of the total refrigerant system capacity to develop a percent leakage per year. EPA believes that the design-based approach will result in estimates of likely leakage emissions reductions that will be comparable to those that would eventually result from performance-based testing.
                    </P>
                    <P>
                        EPA is not specifying a specific in-use standard for leakage, as neither test procedures nor facilities exist to measure refrigerant leakage from a vehicle's air conditioning system. However, consistent with the light-duty rule, where we require that manufacturers attest to the durability of components and systems used to meet the CO
                        <E T="52">2</E>
                         standards (see 75 FR 25689), we will require that manufacturers of heavy-duty vehicles attest to the durability of these systems, and provide an engineering analysis which demonstrates component and system durability.
                    </P>
                    <HD SOURCE="HD3">(6) Indirect Emissions From Air Conditioning</HD>
                    <P>
                        In addition to direct emissions from refrigerant leakage, air conditioning systems also create indirect exhaust emissions due to the extra load on the vehicle's engine to provide power to the air conditioning system. These indirect emissions are in the form of the additional CO
                        <E T="52">2</E>
                         emitted from the engine when A/C is being used due to the added loads. Unlike direct emissions which tend to be a set annual leak rate not directly tied to usage, indirect emissions are fully a function of A/C usage.
                    </P>
                    <P>
                        These indirect CO
                        <E T="52">2</E>
                         emissions are associated with air conditioner efficiency, since air conditioners create load on the engine. 
                        <E T="03">See</E>
                         74 FR 49529. However, the agencies are not setting air conditioning efficiency standards for vocational vehicles, combination tractors, or heavy-duty pickup trucks and vans. The CO
                        <E T="52">2</E>
                         emissions due to air conditioning systems in these heavy-duty vehicles are minimal compared to their overall emissions of CO
                        <E T="52">2.</E>
                         For example, EPA conducted modeling of a Class 8 sleeper cab using the GEM to evaluate the impact of air conditioning and found that it leads to approximately 1 gram of CO
                        <E T="52">2</E>
                        /ton-mile. Therefore, a projected 24 percent improvement of the air conditioning system (the level projected in the light-duty GHG rulemaking), would only reduce CO
                        <E T="52">2</E>
                         emissions by less than 0.3 g CO
                        <E T="52">2</E>
                        /ton-mile, or approximately 0.3 percent of the baseline Class 8 sleeper cab CO
                        <E T="52">2</E>
                         emissions.
                    </P>
                    <HD SOURCE="HD3">(7) Ethanol-Fueled and Electric Vehicles</HD>
                    <P>Current EPA emissions control regulations explicitly apply to heavy-duty engines and vehicles fueled by gasoline, methanol, natural gas and liquefied petroleum gas. For multi-fueled vehicles they call for compliance with requirements established for each consumed fuel. This contrasts with EPA's light-duty vehicle regulations that apply to all vehicles generally, regardless of fuel type. As we proposed, we are revising the heavy-duty vehicle and engine regulations to make them consistent with the light-duty vehicle approach, applying standards for all regulated criteria pollutants and GHGs regardless of fuel type, including application to all-electric vehicles (EVs). This provision will take effect in the 2014 model year, and be optional for manufacturers in earlier model years. However, to satisfy the CAA section 202(a)(3) lead time constraints, the provision will remain optional for all criteria pollutants through the 2015 model year. Commenters did not oppose this change in EPA regulations.</P>
                    <P>This change primarily affects manufacturers of ethanol-fueled vehicles (designed to operate on fuels containing at least 50 percent ethanol) and EVs. Flex-fueled vehicles (FFVs) designed to run on both gasoline and fuel blends with high ethanol content will also be impacted, as they will need to comply with requirements for operation both on gasoline and ethanol.</P>
                    <P>
                        The regulatory requirements we are finalizing today for certification on ethanol follow those already established for methanol, such as certification to NMHC equivalent standards and waiver of certain requirements. We expect testing to be done using the same E85 test fuel as is used today for light-duty vehicle testing, an 85/15 blend of commercially-available ethanol and gasoline vehicle test fuel. EV certification will also follow light-duty precedents, primarily calling on manufacturers to exercise good engineering judgment in applying the regulatory requirements, but will not be allowed to generate NO
                        <E T="52">X</E>
                         or PM credits.
                    </P>
                    <P>
                        This provision is not expected to result in any significant added burden or cost. It is already the practice of HD FFV manufacturers to voluntarily conduct emissions testing for these vehicles on E85 and submit the results as part of their certification application, along with gasoline test fuel results. No changes in certification fees are being set in connection with this provision. We expect that there will be strong incentives for any manufacturer seeking to market these vehicles to also want them to be certified: (1) Uncertified vehicles carry a disincentive to potential purchasers who typically have the benefit to the environment as one of their reasons for considering alternative fuels, (2) uncertified vehicles are not eligible for the substantial credits they could likely otherwise generate, (3) EVs have no tailpipe or evaporative emissions and thus need no added hardware to put them in a certifiable configuration, and (4) emissions controls for gasoline vehicles and FFVs are also effective on dedicated ethanol-fueled vehicles, and thus costly development programs and specialized components will not be needed; in fact the highly integrated nature of modern automotive products make the emission control systems essential to reliable vehicle performance.
                        <PRTPAGE P="57197"/>
                    </P>
                    <P>Regarding technological feasibility, as mentioned above, HD FFV manufacturers already test on E85 and the resulting data shows that they can meet emissions standards on this fuel. Furthermore, there is a substantial body of certification data on light-duty FFVs (for which testing on ethanol is already a requirement), showing existing emission control technology is capable of meeting even the more stringent Tier 2 standards in place for light-duty vehicles.</P>
                    <HD SOURCE="HD3">(8) Correction to 40 CFR 1033.625</HD>
                    <P>
                        In a 2008 final rule that set new locomotive and marine engine standards, EPA adopted a provision allowing manufacturers to use a limited number of nonroad engines to power switch locomotives provided, among other things, that “the engines were certified to standards that are numerically lower than the applicable locomotive standards of this part (1033).” (40 CFR 1033.625(a)). The goal of this provision is to encourage the replacement of aging, high-emitting switch locomotives with new switch locomotives having very low emissions of PM, NO
                        <E T="52">X</E>
                        , and hydrocarbons. However, this provision neglected to consider the fact that preexisting nonroad engine emission standards for CO were set at levels that were slightly numerically higher than those for locomotives. The applicable switch locomotive CO standard of part 1033 is 3.2 g/kW-hr (2.4 g/hp-hr), while the applicable nonroad engine CO standard is 3.5 g/kW-hr (2.6 g/hp-hr). This is the case even for the cleanest final Tier 4 nonroad engines that will phase in starting in 2014. Thus, nonroad engines cannot be certified to CO standards that are numerically lower than the applicable locomotive standards, and the nonroad engine provision is rendered practically unusable. This matter was brought to EPA's attention by affected engine manufacturers.
                        <SU>192</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>192</SU>
                             
                            <E T="03">See</E>
                             e-mail correspondence from Timothy A. French, EMA, to Donald Kopinski and Charles Moulis, U.S. EPA dated 12/8/10, “Switcher Locomotive Flexibility”, docket # EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        As indicated above, EPA believes that allowing certification of new switch locomotive engines to nonroad engine standards will greatly reduce emissions from switch locomotives, and EPA does not believe the slight difference in CO standards should prevent this environmentally beneficial program. EPA is therefore adopting a corrective technical amendment in part 1033. The regulation is being amended at § 1033.625(a)(2) to add the following italicized text: “The engines were certified to 
                        <E T="03">PM, NO</E>
                        <E T="52">X,</E>
                          
                        <E T="03">and hydrocarbon</E>
                         standards that are numerically lower than the applicable locomotive standards of this part.” This change is a straightforward correction to restore the intended usability of the provision and is not expected to have adverse environmental impacts, as nonroad engines have CO emissions that are typically well below both the nonroad and locomotive emissions standards.
                    </P>
                    <HD SOURCE="HD3">(9) Corrections to 40 CFR Part 600</HD>
                    <P>EPA adopted changes to fuel economy labeling requirements on July 6, 2011 (76 FR 39478). We are making the following corrections to these regulations in 40 CFR part 600:</P>
                    <P>• We adopted a requirement to use the specifications of SAE J1711 for fuel economy testing related to hybrid-electric vehicles. In this final rule, we are extending that requirement to the calculation provisions in § 600.114-12. This change was inadvertently omitted from the earlier final rule.</P>
                    <P>• We are correcting an equation in § 600.116-12.</P>
                    <P>• We are removing text describing label content that differs from the sample labels that were published with the final rule. The sample labels properly characterize the intended label content.</P>
                    <HD SOURCE="HD3">(10) Definition of Urban Bus</HD>
                    <P>EPA is adding a new section 86.012-2 to revise the definition of “urban bus.” The new definition will treat engines used in urban buses the same as engines used in any other HD vehicle application, relying on the definitions of primary intended service class for defining which standards and useful life apply for bus engines. This change is necessary to allow for installation of engines other than HHDDE for hybrid bus applications.</P>
                    <HD SOURCE="HD1">III. Feasibility Assessments and Conclusions</HD>
                    <P>In this section, NHTSA and EPA discuss several aspects of our joint technical analyses. These analyses are common to the development of each agency's final standards. Specifically we discuss: the development of the baseline used by each agency for assessing costs, benefits, and other impacts of the standards, the technologies the agencies evaluated and their costs and effectiveness, and the development of the final standards based on application of technology in light of the attribute based distinctions and related compliance measurement procedures. We also discuss the agencies' consideration of standards that are either more or less stringent than those adopted.</P>
                    <P>This program is based on the need to obtain significant oil savings and GHG emissions reductions from the transportation sector, and the recognition that there are appropriate and cost-effective technologies to achieve such reductions feasibly in the model years of this program. The decision on what standard to set is guided by each agency's statutory requirements, and is largely based on the need for reductions, the effectiveness of the emissions control technology, the cost and other impacts of implementing the technology, and the lead time needed for manufacturers to employ the control technology. The availability of technology to achieve reductions and the cost and other aspects of this technology are therefore a central focus of this final rulemaking.</P>
                    <P>CBD submitted several comments on whether NHTSA had met EISA's mandate to set standards “designed to achieve the maximum feasible improvement” and, to that end, appropriately considered feasible technologies in setting the stringency level. CBD stated that the proposed rule had been improperly limited to currently available technology, and that none of the alternatives contained all of the available technology, which it argued violated EISA and the CAA. CBD also stated that the phase-in schedule violated the technology-forcing intention of EISA, and that the agencies misperceived their statutory mandates, arguing that the agencies are required to force technological innovation through aggressive standards.</P>
                    <P>
                        As demonstrated in the standard-specific discussions later in this section of the preamble, the standards adopted in the final program are consistent with section 202(a) of the CAA and section 32902(k)(2) of EISA.  With respect to the EPA rules, we note at the outset, that CBD's premise that EPA must adopt “technology-forcing” standards for heavy-duty vehicles and engines is wrong. A technology-forcing standard is one that is to be based on standards which will be available, rather than technology which is presently available. 
                        <E T="03">NRDC</E>
                         v. 
                        <E T="03">Thomas,</E>
                         805 F. 2d 410, 429 (DC Cir. 1986). Clean Air Act provisions requiring “the greatest degree of emission reduction achievable through the application of technology which the Administrator determines will be available” are technology-forcing. See 
                        <E T="03">e.g.,</E>
                         CAA sections 202(a)(3)(1);
                        <SU>193</SU>
                        <FTREF/>
                          
                        <PRTPAGE P="57198"/>
                        213(a)(3). Section 202(a)(1) standards are technology-based, but not technology-forcing, requiring EPA to issue standards for a vehicle's useful life “after providing such period as the Administrator finds necessary to permit the development and application of the requisite technology, giving appropriate consideration to the cost of compliance within such period.” See 
                        <E T="03">NACAA</E>
                         v. 
                        <E T="03">EPA,</E>
                         489 F. 3d 1221, 1230 (DC Cir. 2007) upholding EPA's interpretation of similar language in CAA section 231(a) as providing even greater leeway to weigh the statutory factors than if the provision were technology-forcing. See generally 74 FR at 49464-465 (Sept. 28. 2009); 75 FR at 74171.
                    </P>
                    <FTNT>
                        <P>
                            <SU>193</SU>
                             CBD cites the District Court's opinion in 
                            <E T="03">Cent. Valley Chrysler-Jeep Inc.</E>
                             v. 
                            <E T="03">Goldstene,</E>
                             529 F. Supp. 
                            <PRTPAGE/>
                            2d 1151, 1178 (E.D. Cal. 2007) for the proposition that standard-setting provisions of Title II of the CAA are technology forcing, but the court was citing to the technology-forcing provision section 202(a)(3)(A)(i), which is not the applicable authority here.
                        </P>
                    </FTNT>
                    <P>
                        Section 202(a)(1) of course allows EPA to consider application of technologies which will be available as well as those presently available, 
                        <E T="03">id.,</E>
                         and EPA exercised that discretion here. For example, as shown below, the agencies carefully considered application of hybrid technologies and bottoming cycle technologies for a number of the standards. Thus, the critical issue is whether EPA's choice of technology penetration on which the standards are premised is reasonable considering the statutory factors, the key ones being technology feasibility, technology availability in the 2014-2018 model years (
                        <E T="03">i.e.,</E>
                         adequacy of lead time), and technology cost and cost-effectiveness. EPA has considerable discretion to weigh these factors in a reasonable manner (even for provisions which are explicitly technology-forcing, see 
                        <E T="03">Sierra Club</E>
                         v. 
                        <E T="03">EPA,</E>
                         325 F. 3d 374, 378 (DC Cir. 2003)), and has done so here.
                    </P>
                    <P>
                        With respect to EISA, 49 U.S.C. section 32902(k)(2) directs NHTSA to “determine in a rulemaking proceeding how to implement a commercial medium- and heavy-duty on-highway vehicle and work truck fuel efficiency improvement program designed to achieve the maximum feasible improvement,” and “adopt and implement appropriate test methods, measurement metrics, fuel economy standards, and compliance and enforcement protocols that are appropriate, cost-effective, and technologically feasible for commercial medium- and heavy-duty on-highway vehicles and work trucks”
                        <E T="03"/>
                         NHTSA recognizes that Congress intended EPCA (and by extension, EISA, which amended it) to be technology-forcing. 
                        <E T="03">See Center for Auto Safety</E>
                         v. 
                        <E T="03">National Highway Traffic Safety Admin.,</E>
                         793 F.2d 1322, 1339 (DC Cir. 1986). However, NHTSA believes it is important to distinguish between setting “maximum feasible” standards, as EPCA/EISA requires, and “maximum technologically feasible” standards, as CBD would have NHTSA do. The agency must weigh all of the statutory factors in setting fuel efficiency standards, and therefore may not weigh one statutory factor in isolation of others.
                    </P>
                    <P>
                        Neither EPCA nor EISA define “maximum feasible” in the context of setting fuel efficiency or fuel economy standards. Instead, NHTSA is directed to consider and meet three factors when determining what the maximum feasible standards are—“appropriateness, cost-effectiveness, and technological feasibility.” 32902(k)(2). These factors modify “feasible” in the context of the MD/HD rules beyond a plain meaning of “capable of being done.” 
                        <E T="03">See Center for Biological Diversity</E>
                         v. 
                        <E T="03">National Highway Traffic Safety Admin.,</E>
                         538 F.3d 1172, 1194 (9th Cir. 2008). With respect to the setting of standards for light-duty vehicles, EPCA/EISA “gives NHTSA discretion to decide how to balance the statutory factors—as long as NHTSA's balancing does not undermine the fundamental purpose of EPCA: energy conservation.” 
                        <E T="03">Id.</E>
                         at 1195. Where Congress has not directly spoken to a potential issue related to such a balancing, NHTSA's interpretation must be a “reasonable accommodation of conflicting policies * * * committed to the agency's care by the statute.” 
                        <E T="03">Id.</E>
                         (discussing consideration of consumer demand) (internal citations omitted). In the context of the agency's light-duty vehicle authority, it was determined that Congress delegated the process for setting the maximum feasible standard to NHTSA with 
                        <E T="03">broad</E>
                         guidelines concerning the factors that the agency must consider. 
                        <E T="03">Id.</E>
                         (internal citations omitted) (emphasis in original). We believe that the same conclusion should be drawn about the statutory provisions governing the agency's setting of standards for heavy-duty vehicles. Those provisions prescribe statutory factors commensurate to, and equally broad as, those prescribed for light-duty. Thus, NHTSA believes that it is firmly within our discretion to weigh and balance the factors laid out in 32902(k) in a way that is technology-forcing, as evidenced by these standards promulgated in this final action, but not in a way that requires the application of technology which will not be available in the lead time provided by the rules, or which is not cost-effective, or is cost-prohibitive, as CBD evidently deems mandated.
                    </P>
                    <P>As detailed below for each regulatory category, NHTSA has considered the appropriateness, cost-effectiveness, and technological feasibility of the standards in designing a program to achieve the maximum feasible fuel efficiency improvement. It believes that each of those criteria is met.</P>
                    <P>As described in Section I. F. (2) above, the final standards will remain in effect indefinitely at their 2018 or 2019 levels, unless and until the standards are revised. CBD maintained that this is a per se violation of EISA, arguing that, by definition, standards which are not updated continually and regularly cannot be considered maximum feasible. NHTSA would like to clarify that the NPRM specified that the standards would remain indefinitely “until amended by a future rulemaking action.” NPRM at 74172. Further, as noted above, NHTSA has broad discretion to determine the maximum feasible standards. Unlike § 32902(b)(3)(B), which applies to automobiles regulated under light-duty CAFE, § 32902(k) does not specify a maximum number of years that fuel economy standards for heavy-duty vehicles will be in place. Consistent with its broad authority to define maximum feasible standards, NHTSA interprets its authority as including the discretion to define expiration periods where Congress has not otherwise specified. This is particularly appropriate for the heavy-duty sector, where fuel efficiency regulation is unprecedented. NHTSA believes that it would be unwise to set an expiration period for this first rulemaking absent both Congressional direction and a known compelling reason for setting a specific date.</P>
                    <P>
                        NHTSA believes that the phase-in schedules provide an appropriate balance between the technology-forcing purpose of the statute and EISA-mandated considerations of economic practicability. NHTSA recognizes, as noted in the case above, that balancing each statutory factor in order to set the maximum feasible standards means that the agency must engage in a “reasonable accommodation of conflicting policies.” 
                        <E T="03">See</E>
                         538 F.3d at 1195, 
                        <E T="03">supra.</E>
                         Here, the agency has determined that the phase-in schedules are one such reasonable accommodation.
                    </P>
                    <P>
                        Navistar commented generally that the proposed rule was not technologically feasible, stating that the proposed standards assume technologies which are not in production for all manufacturers. This is 
                        <PRTPAGE P="57199"/>
                        not the test for technical feasibility. Under the Clean Air Act, EPA needs only to outline a technical path toward compliance with a standard, giving plausible reasons for its belief that technology will either be developed or applied in the requisite period. 
                        <E T="03">NRDC</E>
                         v. 
                        <E T="03">EPA</E>
                        , 655 F. 2d 318, 333-34 (DC Cir. 1981). EPA has done so here with respect to the alternative engine standards of particular concern to Navistar.
                        <SU>194</SU>
                        <FTREF/>
                         Similarly, NHTSA has previously interpreted “technological feasibility” to mean “whether a particular method of improving fuel economy can be available for commercial application in the model year for which a standard is being established.” 74 FR 14196, 14216. NHTSA has further clarified that the consideration of technological feasibility “does not mean that the technology must be available or in use when a standard is proposed or issued.” 
                        <E T="03">Center for Auto Safety</E>
                         v. 
                        <E T="03">National Highway Traffic Safety Admin.,</E>
                         793 F.2d 1322, 1325 n12 (DC Cir. 1986), quoting 42 FR 63, 184, 63, 188 (1977).
                    </P>
                    <FTNT>
                        <P>
                            <SU>194</SU>
                             
                            <E T="03">See</E>
                             40 CFR 1036.620.
                        </P>
                    </FTNT>
                    <P>Consistent with these previous interpretations, NHTSA believes that a technology does not necessarily need to be currently available or in use for all regulated parties to be “technologically feasible” for this program, as long as it is reasonable to expect, based on the evidence before the agency, that the technology will be available in the model year in which the relevant standard takes effect. The agencies provide multiple technology pathways for compliance with a standard, allowing each manufacturer to develop technologies which fit their current production and research, and the standards are based on fleet penetration rates of those technologies. As discussed below, it is reasonable to assume that all the technologies on whose performance the standards are premised will be available over the period the standards are in effect.</P>
                    <P>The Institute for Policy Integrity (IPI) commented that the agencies should increase the scope and stringency of the final rule to the point at which net benefits would be maximized, citing Executive Orders 12866 and 13563. EOs 12866 and 13563 instruct agencies, to the extent permitted by law, to select, among other things, the regulatory approaches which maximize net benefits. NHTSA agrees with IPI about the applicability of these EOs and has made every effort to incorporate their guidance in drafting this rule.</P>
                    <P>Though IPI agreed that the proposed rule was cost-benefit justified, IPI further stated that the agencies must implement an alternative that provides the maximum net benefits. The agencies believe that standards that maximized net benefits would be beyond the point of technological feasibility for this first phase of the HD National Program. The standards already require the maximum feasible fuel efficiency improvements for the HD fleet in the 2014-2018 time frame. Thus, even though, the final standards are highly cost-effective, and standards that maximized net benefits would likely be more stringent than those being promulgated in this final action, NHTSA believes that standards that maximized net benefits would not be appropriate or technologically feasible in the rulemaking time frame. The Executive Orders cited by IPI cannot and do not require an agency to select a regulatory alternative that is inconsistent with its statutory obligations. Thus, the standards adopted in the final rules are consistent with the agencies' respective statutory authorities, and are not established at levels which are infeasible or cost-ineffective.</P>
                    <P>
                        Here, the focus of the standards is on applying fuel efficiency and emissions control technology to reduce fuel consumption, CO
                        <E T="52">2</E>
                         and other greenhouse gases. Vehicles combust fuel to generate power that is used to perform two basic functions: (1) Transport the truck and its payload, and (2) operate various accessories during the operation of the truck such as the PTO units. Engine-based technology can reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions by improving engine efficiency, which increases the amount of power produced per unit of fuel consumed. Vehicle-based technology can reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions by increasing the vehicle efficiency, which reduces the amount of power demanded from the engine to perform the truck's primary functions.
                    </P>
                    <P>Our technical work has therefore focused on both engine efficiency improvements and vehicle efficiency improvements. In addition to fuel delivery, combustion, and aftertreatment technology, any aspect of the truck that affects the need for the engine to produce power must also be considered. For example, the drag due to aerodynamics and the resistance of the tires to rolling both have major impacts on the amount of power demanded of the engine while operating the vehicle.</P>
                    <P>The large number of possible technologies to consider and the breadth of vehicle systems that are affected mean that consideration of the manufacturer's design and production process plays a major role in developing the final standards. Engine and vehicle manufacturers typically develop many different models based on a limited number of platforms. The platform typically consists of a common engine or truck model architecture. For example, a common engine platform may contain the same configuration (such as inline), number of cylinders, valvetrain architecture (such as overhead valve), cylinder head design, piston design, among other attributes. An engine platform may have different calibrations, such as different power ratings, and different aftertreatment control strategies, such as exhaust gas recirculation (EGR) or selective catalytic reduction (SCR). On the other hand, a common vehicle platform has different meanings depending on the market. In the heavy-duty pickup truck market, each truck manufacturer usually has only a single pickup truck platform (for example the F series by Ford) with common chassis designs and shared body panels, but with variations on load capacity of the axles, the cab configuration, tire offerings, and powertrain options. Lastly, the combination tractor market has several different platforms and the trucks within each platform (such as LoneStar by Navistar) have less commonality. Tractor manufacturers will offer several different options for bumpers, mirrors, aerodynamic fairing, wheels, and tires, among others. However, some areas such as the overall basic aerodynamic design (such as the grill, hood, windshield, and doors) of the tractor are tied to tractor platform.</P>
                    <P>
                        The platform approach allows for efficient use of design and manufacturing resources. Given the very large investment put into designing and producing each truck model, manufacturers of heavy-duty pickup trucks and vans typically plan on a major redesign for the models every 5 years or more (a key consideration in the choice of the five model year duration during which the vehicle standards are phased in). Recently, EPA's non-GHG heavy-duty engine program provided new emissions standards every three model years. Heavy-duty engine and truck manufacturer product plans typically have fallen into three year cycles to reflect this regime. While the recent non-GHG emissions standards can be handled generally with redesigns of engines and trucks, a complete redesign of a new heavy-duty engine or truck typically occurs on a slower cycle and often does not align in time due to the fact that the manufacturer of engines 
                        <PRTPAGE P="57200"/>
                        differs from the truck manufacturer. At the redesign stage, the manufacturer will upgrade or add all of the technology and make most other changes supporting the manufacturer's plans for the next several years, including plans related to emissions, fuel efficiency, and safety regulations.
                    </P>
                    <P>
                        A redesign of either engine or truck platforms often involves a package of changes designed to work together to meet the various requirements and plans for the model for several model years after the redesign. This often involves significant engineering, development, manufacturing, and marketing resources to create a new product with multiple new features. In order to leverage this significant upfront investment, manufacturers plan vehicle redesigns with several model years of production in mind. Vehicle models are not completely static between redesigns as limited changes are often incorporated for each model year. This interim process is called a refresh of the vehicle and it generally does not allow for major technology changes although more minor ones can be done (
                        <E T="03">e.g.,</E>
                         small aerodynamic improvements, 
                        <E T="03">etc</E>
                        ). More major technology upgrades that affect multiple systems of the vehicle thus occur at the vehicle redesign stage and not in the time period between redesigns.
                    </P>
                    <P>
                        As discussed below, there are a wide variety of CO
                        <E T="52">2</E>
                         and fuel consumption reducing technologies involving several different systems in the engine and vehicle that are available for consideration. Many can involve major changes to the engine or vehicle, such as changes to the engine block and cylinder heads or changes in vehicle shape to improve aerodynamic efficiency. Incorporation of such technologies during the periodic engine, transmission or vehicle redesign process would allow manufacturers to develop appropriate packages of technology upgrades that combine technologies in ways that work together and fit with the overall goals of the redesign. By synchronizing with their multi-year planning process, manufacturers can avoid the large increase in resources and costs that would occur if technology had to be added outside of the redesign process. We considered redesign cycles both in our costing and in assessing needed the lead time required.
                    </P>
                    <P>As described below, the vast majority of technology on whose performance the final standards are predicated is commercially available and already being utilized to a limited extent across the heavy-duty fleet. Therefore the majority of the emission and fuel consumption reductions which would result from these final rules would result from the increased use of these technologies. EPA and NHTSA also believe that these final rules will encourage the development and limited use of more advanced technologies, such as advanced aerodynamics and hybrid powertrains in some vocational vehicle applications.</P>
                    <P>In evaluating truck efficiency, NHTSA and EPA have excluded consideration of standards which could result in fundamental changes in the engine or vehicle's performance. Put another way, none of the technology pathways underlying the final standards involve any alteration in vehicle utility. For example, the agencies did not consider approaches that would necessitate reductions in engine power or otherwise limit truck performance. The agencies have thus limited the assessment of technical feasibility and resultant vehicle cost to technologies which maintain freight utility. Similarly, the agencies' choice of attributes on which to base the standards, and the metrics used to measure them, are consciously adopted to preserve the utility of heavy-duty vehicles and engines.</P>
                    <P>The agencies worked together to determine component costs for each of the technologies and build up the costs accordingly. For costs, the agencies considered both the direct or “piece” costs and indirect costs of individual components of technologies. For the direct costs, the agencies followed a bill of materials approach utilized by the agencies in the light-duty 2012-16 MY vehicle rule. A bill of materials, in a general sense, is a list of components or sub-systems that make up a system—in this case, an item of technology which reduces GHG emissions and fuel consumption. In order to determine what a system costs, one of the first steps is to determine its components and what they cost. NHTSA and EPA estimated these components and their costs based on a number of sources for cost-related information. In general, the direct costs of fuel consumption-improving technologies for heavy-duty pickups and vans are consistent with those used in the light-duty 2012-2016 MY vehicle rule, except that the agencies have scaled up certain costs where appropriate to accommodate the larger size and/or loads placed on parts and systems in the heavy-duty classes relative to the light-duty classes. For loose heavy-duty engines, the agencies have consulted various studies and have exercised engineering judgment when estimating direct costs. For technologies expected to be added to vocational vehicles and combination tractors, the agencies have again consulted various studies and have used engineering judgment to arrive at direct cost estimates. Once costs were determined, they were adjusted to ensure that they were all expressed in 2009 dollars using a ratio of gross domestic product deflators for the associated calendar years.</P>
                    <P>
                        Indirect costs were accounted for using the ICM approach explained in Chapter 2 of the RIA, rather than using the traditional Retail Price Equivalent (RPE) multiplier approach. For the heavy-duty pickup truck and van cost projections in this final action, the agencies have used ICMs developed for light-duty vehicles (with the exception that here return on capital has been incorporated into the ICMs, where it had not been in the light-duty rule) primarily because the manufacturers involved in this segment of the heavy-duty market are the same manufacturers that build light-duty trucks. For the Class 7 and 8 tractor, vocational vehicle, and heavy-duty engine cost projections in this final rulemaking, EPA contracted with RTI International to update EPA's methodology for accounting for indirect costs associated with changes in direct manufacturing costs for heavy-duty engine and truck manufacturers.
                        <SU>195</SU>
                        <FTREF/>
                         In addition to the indirect cost multipliers varying by complexity and time frame, there is no reason to expect that the multipliers would be the same for engine manufacturers as for truck manufacturers. The report from RTI provides a description of the methodology, as well as calculations of new indirect cost multipliers. The multipliers used here include a factor of 5 percent of direct costs representing the return on capital for heavy-duty engines and truck manufacturers. These indirect cost multipliers are intended to be used, along with calculations of direct manufacturing costs, to provide improved estimates of the full additional costs associated with new technologies. The agencies did not receive any adverse comments related to this methodology.
                    </P>
                    <FTNT>
                        <P>
                            <SU>195</SU>
                             RTI International. Heavy-duty Truck Retail Price Equivalent and Indirect Cost Multipliers. July 2010.
                        </P>
                    </FTNT>
                    <P>
                        Details of the direct and indirect costs, and all applicable ICMs, are presented in Chapter 2 of the RIA. In addition, for details on the ICMs, please refer to the RTI report (
                        <E T="03">See</E>
                         Docket ID EPA-HQ-OAR-2010-0162-0283). Importantly, the agencies have revised the ICM factors and the way that indirect costs are calculated using the ICMs. As a result, the ICM factors are now higher, the indirect costs are higher and, therefore, technology costs are 
                        <PRTPAGE P="57201"/>
                        higher. The changes made to the ICMs and the indirect cost calculations are discussed in Section VIII of this preamble and are detailed in Chapter 2 of the RIA.
                    </P>
                    <P>EPA and NHTSA believe that the emissions reductions called for by the final standards are technologically feasible at reasonable costs within the lead time provided by the final standards, reflecting our projections of widespread use of commercially available technology. Manufacturers may also find additional means to reduce emissions and lower fuel consumption beyond the technical approaches we describe here. We encourage such innovation through provisions in our flexibility program as discussed in Section IV.</P>
                    <P>The remainder of this section describes the technical feasibility and cost analysis in greater detail. Further detail on all of these issues can be found in the joint RIA Chapter 2.</P>
                    <HD SOURCE="HD2">A. Class 7-8 Combination Tractor</HD>
                    <P>
                        Class 7 and 8 tractors are used in combination with trailers to transport freight.
                        <SU>196</SU>
                        <FTREF/>
                         The variation in the design of these tractors and their typical uses drive different technology solutions for each regulatory subcategory. The agencies are adopting provisions to treat vocational tractors as vocational vehicles instead of as combination tractors, as noted in Section II.B. The focus of this section is on the feasibility of the standards for combination tractors, not the vocational tractors.
                    </P>
                    <FTNT>
                        <P>
                            <SU>196</SU>
                             “Tractor” is defined in 49 CFR 571.3 to mean “a truck designed primarily for drawing other motor vehicles and not so constructed as to carry a load other than a part of the weight of the vehicle and the load so drawn.”
                        </P>
                    </FTNT>
                    <P>
                        EPA and NHTSA collected information on the cost and effectiveness of fuel consumption and CO
                        <E T="52">2</E>
                         emission reducing technologies from several sources. The primary sources of information were the 2010 National Academy of Sciences report of Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-Duty Vehicles,
                        <SU>197</SU>
                        <FTREF/>
                         TIAX's assessment of technologies to support the NAS panel report,
                        <SU>198</SU>
                        <FTREF/>
                         EPA's Heavy-duty Lumped Parameter Model,
                        <SU>199</SU>
                        <FTREF/>
                         the analysis conducted by the Northeast States Center for a Clean Air Future, International Council on Clean Transportation, Southwest Research Institute and TIAX for reducing fuel consumption of heavy-duty long haul combination tractors (the NESCCAF/ICCT study),
                        <SU>200</SU>
                        <FTREF/>
                         and the technology cost analysis conducted by ICF for EPA.
                        <SU>201</SU>
                        <FTREF/>
                         Following on the EISA of 2007, the National Research Council appointed a NAS committee to assess technologies for improving fuel efficiency of heavy-duty vehicles to support NHTSA's rulemaking. The 2010 NAS report assessed current and future technologies for reducing fuel consumption, how the technologies could be implemented, and identified the potential cost of such technologies. The NAS panel contracted with TIAX to perform an assessment of technologies which provide potential fuel consumption reductions in heavy-duty trucks and engines and the technologies' associated capital costs. Similar to the Lumped Parameter model which EPA developed to assess the impact and interactions of GHG and fuel consumption reducing technologies for light-duty vehicles, EPA developed a new version of that model to specifically address the effectiveness and interactions of the final pickup truck and light heavy-duty engine technologies. The NESCAFF/ICCT study assessed technologies available in 2012 through 2017 to reduce CO
                        <E T="52">2</E>
                         emissions and fuel consumption of line haul combination tractors and trailers. Lastly, the ICF report focused on the capital, maintenance, and operating costs of technologies currently available to reduce CO
                        <E T="52">2</E>
                         emissions and fuel consumption in heavy-duty engines, combination tractors, and vocational vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>197</SU>
                             Committee to Assess Fuel Economy Technologies for Medium- and Heavy-Duty Vehicles; National Research Council; Transportation Research Board (2010). Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-Duty Vehicles. (“The NAS Report”) Washington, DC, The National Academies Press. Available electronically from the National Academy Press Web site at 
                            <E T="03">http://www.nap.edu/catalog.php?record_id=12845.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>198</SU>
                             TIAX, LLC. “Assessment of Fuel Economy Technologies for Medium- and Heavy-Duty Vehicles,” Final Report to National Academy of Sciences, November 19, 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>199</SU>
                             U.S. EPA. Heavy-duty Lumped Parameter Model.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>200</SU>
                             NESCCAF, ICCT, Southwest Research Institute, and TIAX. Reducing Heavy-Duty Long Haul Combination Truck Fuel Consumption and CO
                            <E T="52">2</E>
                             Emissions. October 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>201</SU>
                             ICF International. “Investigation of Costs for Strategies to Reduce Greenhouse Gas Emissions for Heavy-Duty On-Road Vehicles.” July 2010. Docket Number EPA-HQ-OAR-2010-0162-0283.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">
                        (1) What technologies did the agencies consider to reduce the CO
                        <E T="52">2</E>
                         emissions and fuel consumption of combination tractors?
                    </HD>
                    <P>
                        Manufacturers can reduce CO
                        <E T="52">2</E>
                         emissions and fuel consumption of combination tractors through use of, among others, engine, aerodynamic, tire, extended idle, and weight reduction technologies. The standards in the final rules are premised on use of these technologies. The agencies note that SmartWay trucks are available today which incorporate the technologies on whose performance the final standards are based. We will also discuss other technologies that could potentially be used, such as vehicle speed limiters, although we are not basing the final standards on their use for the model years covered by this rulemaking, for various reasons discussed below.
                    </P>
                    <P>In this section we discuss the baseline tractor and engine technologies for the 2010 model year, and then discuss the types of technologies that the agencies considered to improve performance relative to this baseline, while Section III.A.2 discusses the technology packages the agencies used to determine the final standard levels.</P>
                    <HD SOURCE="HD3">(a) Baseline Tractor &amp; Tractor Technologies</HD>
                    <P>
                        Baseline tractor: The agencies developed the baseline tractor to represent the average 2010 model year tractor. Today there is a large spread in aerodynamics in the new tractor fleet. Trucks sold may reflect so-called classic styling (as described in Section II.B.3.c), or may be sold with aerodynamic packages. Based on our review of current truck model configurations and Polk data provided through MJ Bradley,
                        <SU>202</SU>
                        <FTREF/>
                         we believe the aerodynamic configuration of the baseline new truck fleet is approximately 25 percent Bin I, 70 percent Bin II, and 5 percent Bin III (as these bin configurations are explained above in Section II.B. (2)(c). The baseline Class 7 and 8 day cab tractor consists of an aerodynamic package which closely resembles the Bin I package described in Section II.B. (2)(c), baseline tire rolling resistance of 7.8 kg/metric ton for the steer tire and 8.2 kg/metric ton,
                        <SU>203</SU>
                        <FTREF/>
                         dual tires with steel wheels on the drive axles, and no vehicle speed limiter. The baseline tractor for the Class 8 sleeper cabs contains the same aerodynamic and tire rolling resistance technologies as the baseline day cab, does not include vehicle speed limiters, and does not include an idle reduction technology. The agencies assume the baseline transmission is a 10 speed manual. The agencies received a comment from the ICCT stating that the 0.69 Cd baseline for high roof sleepers published in the NPRM is higher than existing studies show. ICCT cited three studies 
                        <PRTPAGE P="57202"/>
                        including a Society of Automotive Engineering paper showing a lower Cd for tractor trailers. The agencies based the average Cd for high roof sleepers on available in use fleet composition data, combined with an assessment of drag coefficient for different truck configurations. The agencies are finalizing the 0.69 baseline Cd for high roof sleeper based on our assessment for the NPRM. However, we will continue to gather information on the composition of the in-use fleet and may alter the baseline in a future action, should more data become available that demonstrates our estimate is incorrect.
                    </P>
                    <FTNT>
                        <P>
                            <SU>202</SU>
                             MJ Bradley. Heavy-duty Market Analysis. May 2009. Page 10.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>203</SU>
                             U.S. Environmental Protection Agency. 
                            <E T="03">SmartWay Transport Partnership July 2010 e-update</E>
                             accessed July 16, 2010, from 
                            <E T="03">http://www.epa.gov/smartwaylogistics/newsroom/documents/e-update-july-10.pdf.</E>
                        </P>
                    </FTNT>
                    <P>Performance from this baseline can be improved by the use of the following technologies:</P>
                    <P>
                        Aerodynamic technologies: There are opportunities to reduce aerodynamic drag from the tractor, but it is difficult to assess the benefit of individual aerodynamic features. Therefore, reducing aerodynamic drag requires optimizing of the entire system. The potential areas to reduce drag include all sides of the truck—front, sides, top, rear and bottom. The grill, bumper, and hood can be designed to minimize the pressure created by the front of the truck. Technologies such as aerodynamic mirrors and fuel tank fairings can reduce the surface area perpendicular to the wind and provide a smooth surface to minimize disruptions of the air flow. Roof fairings provide a transition to move the air smoothly over the tractor and trailer. Side extenders can minimize the air entrapped in the gap between the tractor and trailer. Lastly, underbelly treatments can manage the flow of air underneath the tractor. As discussed in the TIAX report, the coefficient of drag (Cd) of a SmartWay sleeper cab high roof tractor is approximately 0.60, which is a significant improvement over a truck with no aerodynamic features which has a Cd value of approximately 0.80.
                        <SU>204</SU>
                        <FTREF/>
                         The GEM demonstrates that an aerodynamic improvement of a Class 8 high roof sleeper cab with a Cd value of 0.60 (which represents a Bin III tractor) provides a 5 percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions over a truck with a Cd of 0.68.
                    </P>
                    <FTNT>
                        <P>
                            <SU>204</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, Page 4-50.
                        </P>
                    </FTNT>
                    <P>
                        Lower Rolling Resistance Tires: A tire's rolling resistance results from the tread compound material, the architecture and materials of the casing, tread design, the tire manufacturing process, and its operating conditions (surface, inflation pressure, speed, temperature, 
                        <E T="03">etc.</E>
                        ). Differences in rolling resistance of up to 50 percent have been identified for tires designed to equip the same vehicle. The baseline rolling resistance coefficient for today's fleet is 7.8 kg/metric ton for the steer tire and 8.2 kg/metric ton for the drive tire, based on sales weighting of the top three manufacturers based on market share.
                        <SU>205</SU>
                        <FTREF/>
                         Since 2007, SmartWay trucks have had steer tires with rolling resistance coefficients of less than 6.6 kg/metric ton for the steer tire and less than 7.0 kg/metric ton for the drive tire.
                        <SU>206</SU>
                        <FTREF/>
                         Low rolling resistance (LRR) drive tires are currently offered in both dual assembly and single wide-base configurations. Single wide tires can offer rolling resistance reduction along with improved aerodynamics and weight reduction. The GEM demonstrates that replacing baseline tractor tires with tires which meet the Bin I level provides approximately a 4 percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions over the prescribed test cycle, as shown in RIA Chapter 2, Figure 2-2.
                    </P>
                    <FTNT>
                        <P>
                            <SU>205</SU>
                             
                            <E T="03">See</E>
                             SmartWay, Note 203, above.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>206</SU>
                             Ibid.
                        </P>
                    </FTNT>
                    <P>
                        Weight Reduction: Reductions in vehicle mass reduce fuel consumption and GHGs by reducing the overall vehicle mass to be accelerated and also through increased vehicle payloads which can allow additional tons to be carried by fewer trucks consuming less fuel and producing lower emissions on a ton-mile basis. Initially for proposal, the agencies considered evaluating vehicle mass reductions on a total vehicle basis for combination tractors.
                        <SU>207</SU>
                        <FTREF/>
                         The agencies considered defining a baseline vehicle curb weight and the GEM would have used the vehicle's actual curb weight to calculate the increase or decrease in fuel consumption related to the overall vehicle mass relative to that baseline. After considerable evaluation of this issue, including discussions with the industry, we decided it would not be possible to define a single vehicle baseline mass for the tractors that would be appropriate and representative. Actual vehicle curb weights for these classes of vehicles vary by thousands of pounds dependent on customer features added to vehicles and critical to the function of the vehicle in the particular vocation in which it is used. This is true of vehicles such as Class 8 tractors considered in this section that may appear to be relatively homogenous but which in fact are quite heterogeneous.
                    </P>
                    <FTNT>
                        <P>
                            <SU>207</SU>
                             The agencies are using the approach of evaluating total vehicle mass for heavy-duty pickups and vans where we have more data on the current fleet vehicle mass.
                        </P>
                    </FTNT>
                    <P>
                        This reality led us to the solution we proposed. In the proposal, we reflected mass reductions for specific technology substitutions (
                        <E T="03">e.g.,</E>
                         installing aluminum wheels instead of steel wheels) where we could with confidence verify the mass reduction information provided by the manufacturer even though we cannot estimate the actual curb weight of the vehicle. In this way, we accounted for mass reductions where we can accurately account for its benefits.
                    </P>
                    <P>For the final rules, based on evaluation of the comments, the agencies developed an expanded list of weight reduction opportunities, from which the sum of the weight reduction from the technologies installed on a specific tractor can be input into the GEM as listed in Table II-9 in Section II. The list includes additional components, but not materials, from those proposed in the NPRM. For high strength steel, the weight reduction value is equal to 10 percent of the presumed baseline component weight, as the agencies used a conservative value based on the DOE report. We recognize that there may be additional potential for weight reduction in new high strength steel components which combine the reduction due to the material substitution along with improvements in redesign, as evidenced by the studies done for light-duty vehicles. In the development of the high strength steel component weights, we are only assuming a reduction from material substitution and no weight reduction from redesign, since we do not have any data specific to redesign of heavy-duty components nor do we have a regulatory mechanism to differentiate between material substitution and improved design. We are finalizing for wheels that both aluminum and light weight aluminum are eligible to be used as light-weight materials. Only aluminum and not light weight aluminum can be used as a light-weight material for other components. The reason for this is data was available for light weight aluminum for wheels but was not available for other components.</P>
                    <P>
                        As explained in Section II.B above, the agencies continue to believe that the 400 pound weight target is appropriate for setting the final combination tractor CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards. The agencies agree with the commenter that 400 pounds of weight reduction without the use of single wide tires may not be achievable for all tractor configurations. The agencies have expanded the list of weight reduction components which can be input into the GEM in order to provide the manufacturers with additional means to comply with the combination tractors and to further encourage reductions in vehicle weight. The agencies considered increasing the 
                        <PRTPAGE P="57203"/>
                        target value beyond 400 pounds given the additional reduction potential identified in the expanded technology list; however, lacking information on the capacity for the industry to change to these light weight components across the board by the 2014 model year, we have decided to maintain the 400 pound target. The agencies intend to continue to study the potential for additional weight reductions in our future work considering a second phase of truck fuel efficiency and GHG regulations.
                    </P>
                    <P>
                        A weight reduction of 400 pounds applied to a truck which travels at 70,000 pounds will have a minimal impact on fuel consumption. However, for trucks which operate at the maximum GVWR which occurs approximately in one third of truck miles travelled, a reduced tare weight will allow for additional payload to be carried. The GEM demonstrates that a weight reduction of 400 pounds applied to the payload tons for one third of the trips provides a 0.3 percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions over the prescribed test cycle, as shown in Figure 2-3 of RIA Chapter 2.
                    </P>
                    <P>
                        Extended Idle Reduction: Auxiliary power units (APU)s, fuel operated heaters, battery supplied air conditioning, and thermal storage systems are among the technologies available today to reduce main engine extended idling from sleeper cabs. Each of these technologies reduces the baseline fuel consumption during idling from a truck without this equipment (the baseline) from approximately 0.8 gallons per hour (main engine idling fuel consumption rate) to approximately 0.2 gallons per hour for an APU.
                        <SU>208</SU>
                        <FTREF/>
                         EPA and NHTSA agree with the TIAX assessment of a 6 percent reduction in overall fuel consumption reduction.
                        <SU>209</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>208</SU>
                             
                            <E T="03">See</E>
                             the RIA Chapter 2 for details.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>209</SU>
                             
                            <E T="03">See</E>
                             the 2010 NAS Report, Note 197, above, at 128.
                        </P>
                    </FTNT>
                    <P>
                        Vehicle Speed Limiters: Fuel consumption and GHG emissions increase proportional to the square of vehicle speed. Therefore, lowering vehicle speeds can significantly reduce fuel consumption and GHG emissions. A vehicle speed limiter (VSL), which limits the vehicle's maximum speed, is a simple technology that is utilized today by some fleets (though the typical maximum speed setting is often higher than 65 mph). The GEM shows that using a vehicle speed limiter set at 62 mph on a sleeper cab tractor will provide a 4 percent reduction in fuel consumption and CO
                        <E T="52">2</E>
                         emissions over the prescribed test cycles over a baseline vehicle without a VSL or one set above 65 mph.
                        <SU>210</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>210</SU>
                             The Center for Biological Diversity thought that the agencies; were limiting their consideration of vehicle speed limiters as a potential control technology due to perceived legal constraints. As noted above, vehicle speed limiters are a potential control technology for heavy duty vehicles and there is no statutory bar on either agency considering the performance of VSLs in developing the standards.
                        </P>
                    </FTNT>
                    <P>
                        Transmission: As discussed in the 2010 NAS report, automatic and automated manual transmissions may offer the ability to improve vehicle fuel consumption by optimizing gear selection compared to an average driver. However, as also noted in the report and in the supporting TIAX report, the improvement is very dependent on the driver of the truck, such that reductions ranged from 0 to 8 percent.
                        <SU>211</SU>
                        <FTREF/>
                         Well-trained drivers would be expected to perform as well or even better than an automatic transmission since the driver can see the road ahead and anticipate a changing stoplight or other road condition that an automatic transmission can not anticipate. However, poorly-trained drivers that shift too frequently or not frequently enough to maintain optimum engine operating conditions could be expected to realize improved in-use fuel consumption by switching from a manual transmission to an automatic or automated manual transmission. Although we believe there may be real benefits in reduced fuel consumption and GHG emissions through the application of dual clutch, automatic or automated manual transmission technology, we are not reflecting this potential improvement in our standard setting or in our compliance model. We have taken this approach because we cannot say with confidence what level of performance improvement to expect.
                    </P>
                    <FTNT>
                        <P>
                            <SU>211</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, above at 4-70.
                        </P>
                    </FTNT>
                    <P>
                        Low Friction Transmission, Axle, and Wheel Bearing Lubricants: The 2010 NAS report assessed low friction lubricants for the drivetrain as a 1 percent improvement in fuel consumption based on fleet testing.
                        <SU>212</SU>
                        <FTREF/>
                         The light-duty 2012-16 MY vehicle rule and the pickup truck portion of this program estimate that low friction lubricants can have an effectiveness value between 0 and 1 percent compared to traditional lubricants. However, it is not clear if in many heavy-duty applications these low friction lubricants could have competing requirements like component durability issues requiring specific lubricants with different properties than low friction.
                    </P>
                    <FTNT>
                        <P>
                            <SU>212</SU>
                             
                            <E T="03">See</E>
                             the 2010 NAS Report, Note 197, page 67.
                        </P>
                    </FTNT>
                    <P>
                        Hybrid: Hybrid powertrain development in Class 7 and 8 tractors has been limited to a few manufacturer demonstration vehicles to date. One of the key benefit opportunities for fuel consumption reduction with hybrids is less fuel consumption when a vehicle is idling, but the standard is already premised on use of extended idle reduction so use of hybrid technology would duplicate many of the same emission reductions attributable to extended idle reduction. NAS estimated that hybrid systems would cost approximately $25,000 per tractor in the 2015 through the 2020 time frame and provide a potential fuel consumption reduction of 10 percent, of which 6 percent is idle reduction which can be achieved (less expensively) through the use of other idle reduction technologies.
                        <SU>213</SU>
                        <FTREF/>
                         The limited reduction potential outside of idle reduction for Class 8 sleeper cab tractors is due to the mostly highway operation and limited start-stop operation. Due to the high cost and limited benefit during the model years at issue in this action (as well as issues regarding sufficiency of lead time (see Section III.2 (a) below), the agencies are not including hybrids in assessing standard stringency (or as an input to GEM). However as discussed in Section IV, the agencies are providing incentives to encourage the introduction of advanced technologies including hybrid powertrains in appropriate applications.
                    </P>
                    <FTNT>
                        <P>
                            <SU>213</SU>
                             
                            <E T="03">See</E>
                             the 2010 NAS Report, Note 197, page 128.
                        </P>
                    </FTNT>
                    <P>Management: The 2010 NAS report noted many operational opportunities to reduce fuel consumption, such as driver training and route optimization. The agencies have included discussion of several of these strategies in RIA Chapter 2, but are not using these approaches or technologies in the standard setting process. The agencies are looking to other resources, such as EPA's SmartWay Transport Partnership and regulations that could potentially be promulgated by the Federal Highway Administration and the Federal Motor Carrier Safety Administration, to continue to encourage the development and utilization of these approaches.</P>
                    <HD SOURCE="HD3">(b) Baseline Engine &amp; Engine Technologies</HD>
                    <P>
                        The baseline engine for the Class 8 tractors is a Heavy Heavy-Duty Diesel engine with 15 liters of displacement which produces 455 horsepower. The agencies are using a smaller baseline engine for the Class 7 tractors because of the lower combined weights of this class of vehicles require less power, thus the baseline is an 11L engine with 350 horsepower. The agencies 
                        <PRTPAGE P="57204"/>
                        developed the baseline diesel engine as a 2010 model year engine with an aftertreatment system which meets EPA's 0.20 grams of NO
                        <E T="52">X</E>
                        /bhp-hr standard with an SCR system along with EGR and meets the PM emissions standard with a diesel particulate filter with active regeneration. The baseline engine is turbocharged with a variable geometry turbocharger. The following discussion of technologies describes improvements over the 2010 model year baseline engine performance, unless otherwise noted. Further discussion of the baseline engine and its performance can be found in Section III.A.2.6 below.
                    </P>
                    <P>
                        With respect to stringency level, the agencies received comments from Cummins and Daimler stating that the proposed stringency levels were appropriate for the lead-times. Conversely, the agencies received comments from several environmental groups (UCS, CATF, ACEEE) supporting a greater reduction in engine CO
                        <E T="52">2</E>
                         emissions and fuel consumption based on the NAS report. Navistar also stated that the agencies' baseline engine is inappropriate since there is not currently a 0.20 NO
                        <E T="52">X</E>
                         compliant engine in production. A discussion of how the baseline engine configuration can be found below in Section (2)(b)(i).
                    </P>
                    <P>
                        Navistar also stated that the baseline engines proposed in the NPRM, MY 2010 selective catalytic reduction (SCR)-equipped, could not meet the agencies' statutory obligation to set feasible standards, and requested instead that MY 2010 engines currently in-use be used to meet the feasibility factor. The agencies thus disagree with the statement that SCR is infeasible and therefore, the agencies reaffirm that the engine used as the baseline engine in the agencies' analysis does indeed exist. In fact, several engine families have been certified by EPA using SCR technology over the past two years, all of which have met the 0.20 g/bhp-hr NO
                        <E T="52">X</E>
                         standard.
                        <SU>214</SU>
                        <FTREF/>
                         EPA disagrees with Navistar that SCR engines currently certified do not meet this standard. Compliance with the 0.20 g/bhp-hr FTP NO
                        <E T="52">X</E>
                         standard is measured based on an engine's performance when tested over a specific duty cycle (see 40 CFR 86.007-11(a)(2)). This is also true regarding the SET standard (see 40 CFR 86.007-11(a)(3)). Further, the FTP and SET tests are average tests, so emissions could go over 0.20 even for some portion of the test itself. Manufacturers are also required to ensure that their engines meet the NTE standard under all conditions specified in the regulations (see 40 CFR 86.007-11(a)(4)).
                    </P>
                    <FTNT>
                        <P>
                            <SU>214</SU>
                             
                            <E T="03">See</E>
                             2010 Model Year Engine Certification Data and 2011 Model Year Engine Certification Data files located in the Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Several manufacturers have been able to show compliance with these standards in applications for certification provided to EPA for several engine families. Navistar has provided no information indicating that these tests were false or improper. Indeed, Navistar does not appear to suggest, or provide any evidence, that engines with working SCR systems do not meet the NO
                        <E T="52">X</E>
                         standard. Thus, it is demonstrably false to conclude that the NO
                        <E T="52">X</E>
                         standard cannot be met with SCR-equipped engines.
                    </P>
                    <P>A more detailed response to these comments appears in Section 6.2 of the Response to Comment document for this rule.</P>
                    <P>
                        Engine performance for CO
                        <E T="52">2</E>
                         emissions and fuel consumption can be improved by use of the following technologies:
                    </P>
                    <P>
                        <E T="03">Improved Combustion Process:</E>
                         Fuel consumption reductions in the range of 1 to 3 percent over the baseline diesel engine are identified in the 2010 NAS report through improved combustion chamber design, higher fuel injection pressure, improved injection shaping and timing, and higher peak cylinder pressures.
                        <SU>215</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>215</SU>
                             
                            <E T="03">See</E>
                             TIAX. Note 198, Page 4-13.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Turbochargers:</E>
                         Improved efficiency of a turbocharger compressor or turbine could reduce fuel consumption by approximately 1 to 2 percent over variable geometry turbochargers in the market today.
                        <SU>216</SU>
                        <FTREF/>
                         The 2010 NAS report identified technologies such as higher pressure ratio radial compressors, axial compressors, and dual stage turbochargers as design paths to improve turbocharger efficiency.
                    </P>
                    <FTNT>
                        <P>
                            <SU>216</SU>
                             
                            <E T="03">See</E>
                             TIAX Note 198, Page 4-2.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Higher efficiency air handling processes:</E>
                         To maximize the efficiency of such processes, induction systems may be improved by manufacturing more efficiently designed flow paths (including those associated with air cleaners, chambers, conduit, mass air flow sensors and intake manifolds) and by designing such systems for improved thermal control. Improved turbocharging and air handling systems must include higher efficiency EGR systems and intercoolers that reduce frictional pressure loss while maximizing the ability to thermally control induction air and EGR. The agencies received comments from Honeywell confirming that turbochargers provide a role in reducing the CO
                        <E T="52">2</E>
                         emissions from engines. Other components that offer opportunities for improved flow efficiency include cylinder heads, ports and exhaust manifolds to further reduce pumping losses. Variable air breathing systems such as variable valve actuation may provide additional gains at different loads and speeds. The NESCCAF/ICCT study indicated up to 1.2 percent reduction could be achieved solely through improved EGR systems.
                    </P>
                    <P>
                        <E T="03">Low Temperature Exhaust Gas Recirculation:</E>
                         Most medium- and heavy-duty vehicle diesel engines sold in the U.S. market today use cooled EGR, in which part of the exhaust gas is routed through a cooler (rejecting energy to the engine coolant) before being returned to the engine intake manifold. EGR is a technology employed to reduce peak combustion temperatures and thus NO
                        <E T="52">X.</E>
                         Low-temperature EGR uses a larger or secondary EGR cooler to achieve lower intake charge temperatures, which tend to further reduce NO
                        <E T="52">X</E>
                         formation. If the NO
                        <E T="52">X</E>
                         requirement is unchanged, low-temperature EGR can allow changes such as more advanced injection timing that will increase engine efficiency slightly more than 1 percent.
                        <SU>217</SU>
                        <FTREF/>
                         Because low-temperature EGR reduces the engine's exhaust temperature, it may not be compatible with exhaust energy recovery systems such as turbocompounding or a bottoming cycle.
                    </P>
                    <FTNT>
                        <P>
                            <SU>217</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, Page 4-13.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Engine Friction Reduction:</E>
                         Reduced friction in bearings, valve trains, and the piston-to-liner interface will improve efficiency. Any friction reduction must be carefully developed to avoid issues with durability or performance capability. Estimates of fuel consumption improvements due to reduced friction range from 0 to 2 percent.
                        <SU>218</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>218</SU>
                             TIAX, Note 198, pg 4-15
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Reduced Parasitic Loads:</E>
                         Accessories that are traditionally gear or belt driven by a vehicle's engine can be optimized and/or converted to electric power. Examples include the engine water pump, oil pump, fuel injection pump, air compressor, power-steering pump, cooling fans, and the vehicle's air-conditioning system. Optimization and improved pressure regulation may significantly reduce the parasitic load of the water, air and fuel pumps. Electrification may result in a reduction in power demand, because electrically powered accessories (such as the air compressor or power steering) operate only when needed if they are electrically powered, but they impose a parasitic demand all the time if they are engine driven. In other cases, such as 
                        <PRTPAGE P="57205"/>
                        cooling fans or an engine's water pump, electric power allows the accessory to run at speeds independent of engine speed, which can reduce power consumption. The TIAX study used 2 to 4 percent fuel consumption improvement for accessory electrification, with the understanding that electrification of accessories will have more effect in short-haul/urban applications and less benefit in line-haul applications.
                        <SU>219</SU>
                        <FTREF/>
                         Bendix, in their comments to the agencies, confirmed that there are engine accessories available that can improve an engine's fuel efficiency.
                    </P>
                    <FTNT>
                        <P>
                            <SU>219</SU>
                             
                            <E T="03">See</E>
                             TIAX. Note 198, Page 3-5.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Selective catalytic reduction:</E>
                         This technology is common on 2010 the medium- and heavy-duty diesel engines used in Class 7 and 8 tractors (and the agencies therefore have included it as part of the baseline engine, as noted above). Because SCR is a highly effective NO
                        <E T="52">X</E>
                         aftertreatment approach, it enables engines to be optimized to maximize fuel efficiency, rather than minimize engine-out NO
                        <E T="52">X.</E>
                         2010 SCR systems are estimated to result in improved engine efficiency of approximately 3 to 5 percent compared to a 2007 in-cylinder EGR-based emissions system and by an even greater percentage compared to 2010 in-cylinder approaches.
                        <SU>220</SU>
                        <FTREF/>
                         As more effective low-temperature catalysts are developed, the NO
                        <E T="52">X</E>
                         conversion efficiency of the SCR system will increase. Next-generation SCR systems could then enable additional efficiency improvements; alternatively, these advances could be used to maintain efficiency while down-sizing the aftertreatment. We estimate that continued optimization of the catalyst could offer 1 to 2 percent reduction in fuel use over 2010 model year systems in the 2014 model year.
                        <SU>221</SU>
                        <FTREF/>
                         The agencies estimate an additional 1 to 2 percent reduction may be feasible in the 2017 model year through additional refinement.
                    </P>
                    <FTNT>
                        <P>
                            <SU>220</SU>
                             Stanton, D. “Advanced Diesel Engine Technology Development for High Efficiency, Clean Combustion.” Cummins, Inc. Annual Progress Report 2008 Vehicle Technologies Program: Advanced Combustion Engine Technologies, U.S. Department of Energy. Pp 113-116. December 2008.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>221</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, pg. 4-9.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Mechanical Turbocompounding:</E>
                         Mechanical turbocompounding adds a low pressure power turbine to the exhaust stream in order to extract additional energy, which is then delivered to the crankshaft. Published information on the fuel consumption reduction from mechanical turbocompounding varies between 2.5 and 5 percent.
                        <SU>222</SU>
                        <FTREF/>
                         Some of these differences may depend on the operating condition or duty cycle that was considered by the different researchers. The performance of a turbocompounding system tends to be highest at full load and much less or even zero at light load.
                    </P>
                    <FTNT>
                        <P>
                            <SU>222</SU>
                             NESCCAF/ICCT study (p. 54) and TIAX (2009, pp. 3-5).
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Electric Turbocompounding:</E>
                         This approach is similar in concept to mechanical turbocompounding, except that the power turbine drives an electrical generator. The electricity produced can be used to power an electrical motor supplementing the engine output, to power electrified accessories, or to charge a hybrid system battery. None of these systems have been demonstrated commercially, but modeled results by industry and DOE have shown improvements of 3 to 5 percent.
                        <SU>223</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>223</SU>
                             K. G. Duleep of Energy and Environmental Analysis, R. Kruiswyk, 2008, pp. 212-214, NESCCAF/ICCT, 2009, p. 54.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Bottoming Cycle:</E>
                         An engine with bottoming cycle uses exhaust or other heat energy from the engine to create power without the use of additional fuel. The sources of energy include the exhaust, EGR, charge air, and coolant. The estimates for fuel consumption reduction range up to 10 percent as documented in the 2010 NAS report.
                        <SU>224</SU>
                        <FTREF/>
                         However, none of the bottoming cycle or Rankine systems has been demonstrated commercially and are currently in only the research stage. See Section 2.4.2.7 of the RIA and Section II.B above.
                    </P>
                    <FTNT>
                        <P>
                            <SU>224</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 197, page 57.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(2) Projected Technology Package Effectiveness and Cost</HD>
                    <HD SOURCE="HD3">(a) Class 7 and 8 Combination Tractors</HD>
                    <P>
                        EPA and NHTSA project that CO
                        <E T="52">2</E>
                         emissions and fuel consumption reductions can be feasibly and cost-effectively achieved in these rules' time frames through the increased application of aerodynamic technologies, LRR tires, weight reduction, extended idle reduction technologies, vehicle speed limiters, and engine improvements. The agencies believe that hybrid powertrains systems for tractors will not be sufficiently developed and the necessary manufacturing capacity put in place to base a standard on any significant volume of hybrid tractors. The agencies are not aware of any full hybrid systems currently developed for long haul tractor applications. To date, hybrid systems for tractors have been primarily focused on idle shutdown technologies and not the broader energy storage and recovery systems necessary to achieve reductions over typical vehicle drive cycles. The final standards reflect the potential for idle shutdown technologies through the GEM model. Further as highlighted by the 2010 NAS report, the agencies do believe that full hybrid powertrains have the potential in the longer term to provide significant improvements in fuel efficiency and to reduce greenhouse gas emissions. However lacking any existing systems or manufacturing base, we cannot conclude such technology will be available in the 2014-2018 timeframe. Developing a full hybrid system itself would be a three to five project followed by several more years to put in place manufacturing capacity. The agencies are including incentives for the use of hybrid technologies to help encourage their development and to reward manufacturers that can produce hybrids through prototype and low volume production methods. The agencies also are not including drivetrain technologies in the standard setting process, as discussed in Section II.B.3.h.iv.
                    </P>
                    <P>The agencies evaluated each technology and estimated the most appropriate application rate of technology into each tractor subcategory. The next sections describe the effectiveness of the individual technologies, the costs of the technologies, the projected application rates of the technologies into the regulatory subcategories, and finally the derivation of the final standards.</P>
                    <HD SOURCE="HD3">(i) Baseline Tractor Performance</HD>
                    <P>
                        The agencies developed the baseline tractor for each subcategory to represent an average 2010 model year tractor configured as noted earlier. The approach taken by the agencies was to define the individual inputs to the GEM, as shown in Table III-1. For example, the agencies evaluated the industry's tractor offerings and concluded that the average tractor contains a generally aerodynamic shape (such as roof fairings) and avoids classic features such as an exhaust stacks at the B-pillar, which increases drag. As noted earlier, our assessment of the baseline new high roof tractor fleet aerodynamics consists of approximately 25 percent Bin I, 70 percent Bin II, and 5 percent Bin III tractors. The baseline rolling resistance coefficient for today's fleet is 7.8 kg/metric ton for the steer tire and 8.2 kg/metric ton for the drive tire, based on sales weighting of the top three 
                        <PRTPAGE P="57206"/>
                        manufacturers based on market share.
                        <SU>225</SU>
                        <FTREF/>
                         The agencies assumed no application of vehicle speed limiters, weight reduction technologies, or idle reduction technologies in the baseline tractor. The agencies use the inputs in the GEM to derive the baseline CO
                        <E T="52">2</E>
                         emissions and fuel consumption of Class 7 and 8 tractors. The results are included in Table III-1.
                    </P>
                    <FTNT>
                        <P>
                            <SU>225</SU>
                             U.S. Environmental Protection Agency. SmartWay Transport Partnership July 2010 e-update accessed July 16, 2010, from 
                            <E T="03">http://www.epa.gov/smartwaylogistics/newsroom/documents/e-update-july-10.pdf.</E>
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,10,10,10,10,10,10,10,10,10">
                        <TTITLE>Table III-1—Baseline Tractor Definitions</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Class 7</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="1">Class 8</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="2">Sleeper cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                        </BOXHD>
                        <ROW EXPSTB="09" RUL="s">
                            <ENT I="21">
                                <E T="02">Aerodynamics (Cd)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Baseline</ENT>
                            <ENT>0.77</ENT>
                            <ENT>0.87</ENT>
                            <ENT>0.73</ENT>
                            <ENT>0.77</ENT>
                            <ENT>0.87</ENT>
                            <ENT>0.73</ENT>
                            <ENT>0.77</ENT>
                            <ENT>0.87</ENT>
                            <ENT>0.70</ENT>
                        </ROW>
                        <ROW EXPSTB="09" RUL="s">
                            <ENT I="21">
                                <E T="02">Steer Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Baseline</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                        </ROW>
                        <ROW EXPSTB="09" RUL="s">
                            <ENT I="21">
                                <E T="02">Drive Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Baseline</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                        </ROW>
                        <ROW EXPSTB="09" RUL="s">
                            <ENT I="21">
                                <E T="02">Weight Reduction (lb)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Baseline</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW EXPSTB="09" RUL="s">
                            <ENT I="21">
                                <E T="02">Extended Idle Reduction (gram CO</E>
                                <E T="52">2</E>
                                <E T="02">/ton-mile reduction)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Baseline</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW EXPSTB="09" RUL="s">
                            <ENT I="21">
                                <E T="02">Vehicle Speed Limiter</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Baseline</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW EXPSTB="09" RUL="s">
                            <ENT I="21">
                                <E T="02">Engine</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Baseline</ENT>
                            <ENT>2010 MY 11L Engine</ENT>
                            <ENT>2010 MY 11L Engine</ENT>
                            <ENT>2010 MY 11L Engine</ENT>
                            <ENT>2010 MY 15L Engine</ENT>
                            <ENT>2010 MY 15L Engine</ENT>
                            <ENT>2010 MY 15L Engine</ENT>
                            <ENT>2010 MY 15L Engine</ENT>
                            <ENT>2010 MY 15L Engine</ENT>
                            <ENT>2010 MY 15L Engine</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,10,10,10,10,10,10,10,10,10">
                        <TTITLE>
                            Table III-2—Class 7 and 8 Tractor Baseline CO
                            <E T="52">2</E>
                             Emissions and Fuel Consumption
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Class 7</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="1">Class 8</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="2">Sleeper cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                        </BOXHD>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (grams CO
                                <E T="52">2</E>
                                /ton-mile)
                            </ENT>
                            <ENT>116</ENT>
                            <ENT>128</ENT>
                            <ENT>138</ENT>
                            <ENT>88</ENT>
                            <ENT>95</ENT>
                            <ENT>103</ENT>
                            <ENT>80</ENT>
                            <ENT>89</ENT>
                            <ENT>94</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Consumption (gal/1,000 ton-mile)</ENT>
                            <ENT>11.4</ENT>
                            <ENT>12.6</ENT>
                            <ENT>13.6</ENT>
                            <ENT>8.7</ENT>
                            <ENT>9.4</ENT>
                            <ENT>10.1</ENT>
                            <ENT>7.8</ENT>
                            <ENT>8.7</ENT>
                            <ENT>9.3</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(ii) Tractor Technology Package Definitions</HD>
                    <P>
                        The agencies' assessment of the final technology effectiveness was developed through the use of the GEM in coordination with chassis testing of three SmartWay certified Class 8 sleeper cabs. The agencies developed the standards through a three-step process. First, the agencies developed technology performance characteristics for each technology, described below. Each technology is associated with an input parameter which is in turn modeled in the GEM. The performance levels for the range of Class 7 and 8 tractor aerodynamic packages and vehicle technologies are described in Table III-3. Second, the agencies combined the technology performance levels with a projected technology application rate to determine the GEM inputs used to set the stringency of the final standards. Third, the agencies input the parameters 
                        <PRTPAGE P="57207"/>
                        into GEM and used the output to determine the final CO
                        <E T="52">2</E>
                         emissions and fuel consumption levels.
                    </P>
                    <HD SOURCE="HD3">Aerodynamics</HD>
                    <P>The aerodynamic packages are categorized as Bin I, Bin II, Bin III, Bin IV, or Bin V based on the aerodynamic performance determined through testing conducted by the manufacturer. A more complete description of these aerodynamic packages is included in Chapter 2 of the RIA. In general, the CdA values for each package and tractor subcategory were developed through EPA's coastdown testing of tractor-trailer combinations, the 2010 NAS report, and SAE papers.</P>
                    <HD SOURCE="HD3">Tire Rolling Resistance</HD>
                    <P>The rolling resistance coefficient for the tires was developed from SmartWay's tire testing to develop the SmartWay certification, in addition to testing a selection of tractor tires as part of this program. The tire performance was evaluated in three levels—the baseline (average), 15 percent better than the average, and an additional 15 percent improvement. The first 15 percent improvement represents the threshold used to develop SmartWay certified tires for long haul tractors. The second 15 percent threshold represents an incremental step for improvements beyond today's SmartWay level and represents the best in class rolling resistance of the tires we tested.</P>
                    <HD SOURCE="HD3">Weight Reduction</HD>
                    <P>The weight reductions were developed from tire manufacturer information, the Aluminum Association, the Department of Energy, and TIAX, as discussed above in Section II.B.3.e.</P>
                    <HD SOURCE="HD3">Idle Reduction</HD>
                    <P>The benefits for the extended idle reductions were developed from literature, SmartWay work, and the 2010 NAS report. The agencies received comments from multiple stakeholders regarding idle reduction technologies (IRT). Two commenters asked us to revise the default value associated with the IRT technology, and two commenters want to use IRT in GEM even without automatic engine shut down (AES). The agencies proposed AES after 5 minutes with no exceptions to help ensure that the idle reductions are realized in-use. Use of an AES ensures the main engine will be shut down, whereas idle reduction technologies alone do not provide that level of certainty. Without an automatic shutdown of the main engine, actual savings would depend on operator behavior and thus be essentially unverifiable. The agencies are finalizing the calculation as proposed, along with the automotive engine shutdown requirement. Additional details regarding the comments and calculations are included in RIA Section 2.5.4.2.</P>
                    <P>Several commenters requested that the level of emissions reductions vary in GEM by different idle reduction technologies, and one commenter requested that the application of battery powered APUs be incentivized. The agencies recognize that the level of emission reductions provided by different IRT varies, but are adopting a conservative level to recognize that some vehicles may be sold with only an AES but may then install an IRT in-use. Or some vehicles may be sold with one IRT but then choose to install alternative ones in-use. The agencies cannot verify the savings which depend on operator behavior.</P>
                    <P>
                        One commenter requested that we provide manufacturers with an option to allow the AES feature to be reprogammable after a specified number of miles or time in service. The agencies recognize that AES may impact the resale value of tractors and, in response to comments, are adopting provisions for the optional expiration of an AES. Thus, the initial buyer could select AES only for the number of miles based on the expected time before resale. Similar to vehicle speed limiters, we would discount the impact based on the full life of the truck (
                        <E T="03">e.g.</E>
                         1,259,000 miles). Additional detail can be found in RIA Section 2.5.4.2.
                    </P>
                    <HD SOURCE="HD3">Vehicle Speed Limiter</HD>
                    <P>The agencies are not including vehicle speed limiters in the technology package for Class 7 and 8 tractors.</P>
                    <HD SOURCE="HD3">Summary of Technology Performance</HD>
                    <P>Table III-3 describes the performance levels for the range of Class 7 and 8 tractor aerodynamic packages and vehicle technologies.</P>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s25,10,10,10,10,10,10,10">
                        <TTITLE>Table III-3—Class 7 and 8 Tractor Technology Values</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Class 7</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low/mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="1">Class 8</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low/mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="2">Sleeper cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                        </BOXHD>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Aerodynamics (Cd)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Bin I</ENT>
                            <ENT>0.77/0.87</ENT>
                            <ENT>0.79</ENT>
                            <ENT>0.77/0.87</ENT>
                            <ENT>0.79</ENT>
                            <ENT>0.77</ENT>
                            <ENT>0.87</ENT>
                            <ENT>0.75</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin II</ENT>
                            <ENT>0.71/0.82</ENT>
                            <ENT>0.72</ENT>
                            <ENT>0.71/0.82</ENT>
                            <ENT>0.72</ENT>
                            <ENT>0.71</ENT>
                            <ENT>0.82</ENT>
                            <ENT>0.68</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin III</ENT>
                            <ENT/>
                            <ENT>0.63</ENT>
                            <ENT/>
                            <ENT>0.63</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>0.60</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin IV</ENT>
                            <ENT/>
                            <ENT>0.56</ENT>
                            <ENT/>
                            <ENT>0.56</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>0.52</ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Bin V</ENT>
                            <ENT/>
                            <ENT>0.51</ENT>
                            <ENT/>
                            <ENT>0.51</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>0.47</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Steer Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Baseline</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                            <ENT>7.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Level I</ENT>
                            <ENT>6.6</ENT>
                            <ENT>6.6</ENT>
                            <ENT>6.6</ENT>
                            <ENT>6.6</ENT>
                            <ENT>6.6</ENT>
                            <ENT>6.6</ENT>
                            <ENT>6.6</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Level II</ENT>
                            <ENT>5.7</ENT>
                            <ENT>5.7</ENT>
                            <ENT>5.7</ENT>
                            <ENT>5.7</ENT>
                            <ENT>5.7</ENT>
                            <ENT>5.7</ENT>
                            <ENT>5.7</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Drive Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Baseline</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                            <ENT>8.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Level I</ENT>
                            <ENT>7.0</ENT>
                            <ENT>7.0</ENT>
                            <ENT>7.0</ENT>
                            <ENT>7.0</ENT>
                            <ENT>7.0</ENT>
                            <ENT>7.0</ENT>
                            <ENT>7.0</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Level II</ENT>
                            <ENT>6.0</ENT>
                            <ENT>6.0</ENT>
                            <ENT>6.0</ENT>
                            <ENT>6.0</ENT>
                            <ENT>6.0</ENT>
                            <ENT>6.0</ENT>
                            <ENT>6.0</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <PRTPAGE P="57208"/>
                            <ENT I="21">
                                <E T="02">Weight Reduction (lb)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Control</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Extended Idle Reduction (gram CO</E>
                                <E T="52">2</E>
                                <E T="02">
                                    /ton-mile reduction) 
                                    <SU>a</SU>
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Control</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>5</ENT>
                            <ENT>5</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Vehicle Speed Limiter 
                                    <SU>b</SU>
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Control</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             While the standards are set based on this value, users would enter another value if AES is not applied or applied for less than the full useful life of the engine.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Vehicle speed limiters are an applicable technology for all Class 7 and 8 tractors, however the standards are not premised on the use of this technology.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iii) Tractor Technology Application Rates</HD>
                    <P>As explained above, vehicle manufacturers often introduce major product changes together, as a package. In this manner the manufacturers can optimize their available resources, including engineering, development, manufacturing and marketing activities to create a product with multiple new features. In addition, manufacturers recognize that a truck design will need to remain competitive over the intended life of the design and meet future regulatory requirements. In some limited cases, manufacturers may implement an individual technology outside of a vehicle's redesign cycle.</P>
                    <P>
                        With respect to the levels of technology application used to develop the final standards, NHTSA and EPA established technology application constraints. The first type of constraint was established based on the application of fuel consumption and CO
                        <E T="52">2</E>
                         emission reduction technologies into the different types of tractors. For example, idle reduction technologies are limited to Class 8 sleeper cabs using the assumption that day cabs are not used for overnight hoteling. A second type of constraint was applied to most other technologies and limited their application based on factors reflecting the real world operating conditions that some combination tractors encounter. This second type of constraint was applied to the aerodynamic, tire, and vehicle speed limiter technologies. Table III-4 specifies the application rates that EPA and NHTSA used to develop the final standards. The agencies received a significant number of comments related to this second basis. In particular, commenters questioned the reasons for not requiring the maximum reduction technology in every case. The agencies have not done so because we have concluded that within each of these individual vehicle categories there are particular applications where the use of the identified technologies would be either ineffective or not technically feasible. The addition of ineffective technologies provides no environmental or fuel efficiency benefit, increases costs and is not a basis upon which to set a maximum feasible improvement. For example, the agencies have not required the use of full aerodynamic vehicle treatments on 100 percent of tractors because we know that in many applications (for example gravel truck engaged in local aggregate delivery) the added weight of the aerodynamic technologies will increase fuel consumption and hence CO
                        <E T="52">2</E>
                         emissions to a greater degree than the reduction that would be accomplished from the more aerodynamic nature of the tractor. To simply set the standard based on the largest reduction possible estimated narrowly over a single test procedure while ignoring the in-use effects of the technology would in this case result in a perverse outcome that is not in keeping with the agencies' goals or the requirements of the CAA and EISA.
                    </P>
                    <HD SOURCE="HD3">Aerodynamics Application Rate</HD>
                    <P>
                        The impact of aerodynamics on a truck's efficiency increases with vehicle speed. Therefore, the usage pattern of the truck will determine the benefit of various aerodynamic technologies. Sleeper cabs are often used in line haul applications and drive the majority of their miles on the highway travelling at speeds greater than 55 mph. The industry has focused aerodynamic technology development, including SmartWay tractors, on these types of trucks. Therefore the agencies are adopting the most aggressive aerodynamic technology application to this regulatory subcategory. All of the major manufacturers today offer at least one SmartWay truck model. The 2010 NAS Report on heavy-duty trucks found that manufacturers indicated that aerodynamic improvements which yield 3 to 4 percent fuel consumption reduction or 6 to 8 percent reduction in Cd values, beyond technologies used in today's SmartWay trucks are achievable.
                        <SU>226</SU>
                        <FTREF/>
                         The aerodynamic application rate for Class 8 sleeper cab high roof cabs (
                        <E T="03">i.e.,</E>
                         the degree of technology application on which the stringency of the final standard is premised) consists of 20 percent of Bin IV, 70 percent Bin III, and 10 percent Bin II reflecting our assessment of the fraction of tractors in this segment that can successfully apply these aerodynamic packages.
                    </P>
                    <FTNT>
                        <P>
                            <SU>226</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, Page 4-40.
                        </P>
                    </FTNT>
                    <P>
                        The 90 percent of tractors that we project can either be Bin II or Bin III equipped reflects the bulk of Class 8 high roof sleeper cab applications. We are not projecting a higher fraction of Bin III aerodynamic systems because of the limited lead time for the program and the need for these more advanced technologies to be developed and demonstrated before being applied across a wider fraction of the fleet. Aerodynamic improvements through new tractor designs and the 
                        <PRTPAGE P="57209"/>
                        development of new aerodynamic components is an inherently slow and iterative process. Aerodynamic impacts are highly nonlinear and often reflect unexpected interactions between multiple components. Given the nature of aerodynamic improvements it is inherently difficult to estimate the degree to which improvements can be made beyond previously demonstrated levels. The changes required for Bins III and IV reflect the kinds of improvements projected in the Department of Energy's Supertruck program. That program assumes that such systems can be demonstrated on vehicles by 2017. In this case, the agencies are projecting that truck OEMs will be able to begin implementing these aerodynamic technologies prior to 2017 on a limited scale. Importantly, our averaging, banking and trading provisions provide manufacturers with the flexibility to implement these technologies over time even though the standard changes in a single step.
                    </P>
                    <P>
                        The final aerodynamic application for the other tractor regulatory categories is less aggressive than for the Class 8 sleeper cab high roof. The agencies recognize that there are truck applications which require on/off-road capability and other truck functions which restrict the type of aerodynamic equipment applicable. We also recognize that these types of trucks spend less time at highway speeds where aerodynamic technologies have the greatest benefit. The 2002 VIUS data ranks trucks by major use.
                        <SU>227</SU>
                        <FTREF/>
                         The heavy trucks usage indicates that up to 35 percent of the trucks may be used in on/off-road applications or heavier applications. The uses include construction (16 percent), agriculture (12 percent), waste management (5 percent), and mining (2 percent). Therefore, the agencies analyzed the technologies to evaluate the potential restrictions that would prevent 100 percent application of SmartWay technologies for all of the tractor regulatory subcategories.
                    </P>
                    <FTNT>
                        <P>
                            <SU>227</SU>
                             U.S. Department of Energy. 
                            <E T="03">Transportation</E>
                             Energy
                            <E T="03"> Data Book,</E>
                             Edition 28-2009. Table 5.7.
                        </P>
                    </FTNT>
                    <P>As discussed in Section II.B.2.c, in response to comments received from manufacturers making some of these same points, the agencies are finalizing only two aerodynamic bins for low and mid roof tractors. The agencies are reducing the number of bins for these tractors from the proposal to reflect the actual range of aerodynamic technologies effective in low and mid roof tractor applications. The aerodynamic improvements to the bumper, hood, windshield, mirrors, and doors are developed for the high roof tractor application and then carried over into the low and mid roof applications. As mentioned in Section II.B.2.c, the types of designs that would move high roof tractors from a Bin III to Bins IV and V include features such as gap reducers and integral roof fairings which would not be appropriate on low and mid roof tractors. Thus, the agencies are differentiating the aerodynamic performance for low- and mid-roof tractors into two bins—Bin I and Bin II. The application rates in the low and mid roof categories are the same as proposed, but aggregated into just two bins. Bin I for these tractors corresponds to the proposed “Classic” and “Conventional” bins and Bin II corresponds to the proposed “SmartWay,” “Advanced SmartWay,” and “Advanced SmartWay II” bins.</P>
                    <HD SOURCE="HD3">Low Rolling Resistance Tire Application Rate</HD>
                    <P>At proposal, the agencies stated that at least one LRR tire model is available today that meets the rolling resistance requirements of the Level I and Level II tire packages so the 2014 MY should afford manufacturers sufficient lead time to install these packages. EPA and NHTSA conducted additional evaluation testing on HD tires used for tractors. The agencies also received several comments on the suitability of low rolling resistance tires for various HD truck applications. The summary of the agencies findings and a response to issues raised by commenters is presented in Section II.D(1)(a).</P>
                    <P>The agencies note that baseline rolling resistance level for tires installed on tractors is approximately equivalent to what the agencies consider to be low rolling resistance tires for vocational vehicles because of the tire manufacturer's focus on improving the rolling resistance of tractor tires. For the tire manufacturers to further reduce tire rolling resistance, the manufacturers must consider several performance criteria that affect tire selection. The characteristics of a tire also influence durability, traction control, vehicle handling, comfort, and retreadability. A single performance parameter can easily be enhanced, but an optimal balance of all the criteria will require improvements in materials and tread design at a higher cost, as estimated by the agencies. Tire design requires balancing performance, since changes in design may change different performance characteristics in opposing directions. Similar to the discussion regarding lesser aerodynamic technology application in tractor segments other than sleeper cab high roof, the agencies believe that the final standards should not be premised on 100 percent application of Level II tires in all tractor segments given the interference with vehicle utility that would result. The agencies are basing their analyses on application rates that vary by subcategory recognizing that some subcategories require a different balancing of performance versus rolling resistance.</P>
                    <HD SOURCE="HD3">Weight Reduction Technology Application Rate</HD>
                    <P>The agencies proposed setting the 2014 model year tractor standards using 100 percent application of a 400 pound weight reduction package. Volvo and ATA stated in their comments that not all fleets can use single wide tires and if this is the case the 400 pound weight reduction cannot be met. The agencies also received comments from MEMA, Navistar, American Chemistry Council, the Auto Policy Center, Iron and Steel Institute, Arvin Meritor, Aluminum Association, and environmental groups and NGOs identifying other potential weight reduction opportunities for tractors. As described in Section II.B.3.e above, the agencies are adopting an expanded list of weight reduction options which can be input into the GEM for the final rulemaking.</P>
                    <P>
                        As also explained in that earlier discussion, the agencies, upon further analysis, continue to believe that a 400 pound weight reduction package is appropriate for tractors in the time frame. As stated in Section II.B.2.e above, for tractors where single wide tires are not appropriate, the manufacturers have additional options available to achieve weight reduction, such as body panels and chassis components as documented in the earlier discussion. The agencies have extended the list of weight reduction components in order to provide the manufacturers with additional means to comply with the combination tractors and to further encourage reductions in vehicle weight. The agencies considered increasing the target value beyond 400 pounds given the additional reduction potential components identified in the expanded list; however, lacking information on the capacity for the industry to change to these light weight components across the board by the 2014 model year, we have decided to maintain the 400 pound target. The agencies intend to continue to study the potential for additional weight reductions in our future work considering a second phase of truck fuel efficiency and GHG regulations.
                        <PRTPAGE P="57210"/>
                    </P>
                    <HD SOURCE="HD3">Idle Reduction Technology Application Rate</HD>
                    <P>
                        Idle reduction technologies provide significant reductions in fuel consumption and CO
                        <E T="52">2</E>
                         emissions for Class 8 sleeper cabs and are available on the market today, and therefore will be available in the 2014 model year. There are several different technologies available to reduce idling. These include APUs, diesel fired heaters, and battery powered units. Our discussions with manufacturers indicate that idle technologies are sometimes installed in the factory, but it is also a common practice to have the units installed after the sale of the truck. We would like to continue to incentivize this practice and to do so in a manner that the emission reductions associated with idle reduction technology occur in use. Therefore, as proposed, we are allowing only idle emission reduction technologies with include an automatic engine shutoff (AES). We are also adopting some override provisions in response to comments we received (as explained below). As proposed, we are adopting a 100 percent application rate for this technology for Class 8 sleeper cabs, even though the current fleet is estimated to have a 30 percent application rate. The agencies are unaware of reasons why AES with extended idle reduction technologies could not be applied to all tractors with a sleeper cab, except those deemed a vocational tractor, in the available lead time.
                    </P>
                    <P>One commenter stated the application rate of AES should be less than 100 percent, but did not recommend an alternative application rate or provide justification for a change. The agencies re-evaluated the proposed 100 percent application rate and determined that a 100 percent application rate for this technology for Class 8 sleeper cabs remains appropriate. The agencies have also considered the many comments which raised concerns about the proposed mandatory 5 minute automatic engine shut down without override capability (in terms of safety, extreme temperatures and low battery conditions). To avoid unintended adverse impacts, we are adopting limited override provisions. Three of the five exceptions are similar to those currently in effect under a California Air Resources Board (CARB) regulation. CARB provides AES exceptions (or overrides) within its existing heavy-duty vehicle anti-idling laws, which were developed to address these same types of concerns. The exceptions we are adopting include override capability during exhaust emissions control device regeneration, during engine servicing and maintenance, when battery state of charge is too low, in extreme ambient temperatures, when engine coolant temperature is too low, and during PTO operation. The RIA provides more detail about these final override provisions in Section 2.5.4.3.</P>
                    <P>
                        The agencies received comment that we should extend the idle reduction benefits beyond Class 8 sleepers, including Class 7 tractors and vocational vehicles. The agencies reviewed literature to quantify the amount of idling which is conducted outside of hoteling operations. One study, conducted by Argonne National Laboratory, identified several different types of trucks which might idle for extended amounts of time during the work day.
                        <SU>228</SU>
                        <FTREF/>
                         Idling may occur during the delivery process, queuing at loading docks or border crossings, during power take off operations, or to provide comfort during the work day. However, the study provided only “rough estimates” of the idle time and energy use for these vehicles. The agencies are not able to appropriately develop a baseline of workday idling for the other types of vehicles and identify the percent of this idling which could be reduced through the use of AES. Absent such information, the agencies cannot justify adding substantial cost for AES systems with such uncertain benefits.
                    </P>
                    <FTNT>
                        <P>
                            <SU>228</SU>
                             Gaines, L., A. Vyas, J. Anderson. Estimation of Fuel Use by Idling Commercial Trucks. January 2006.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">Vehicle Speed Limiter Application Rate</HD>
                    <P>
                        Vehicle speed limiters may be used as a technology to meet the standard, but in setting the standard we assumed a zero percent application rate of vehicle speed limiters. Although we believe vehicle speed limiters are a simple, easy to implement, and inexpensive technology, we want to leave the use of vehicles speed limiters to the truck purchaser. Since truck fleets purchase trucks today with owner set vehicle speed limiters, we considered not including VSLs in our compliance model. However, we have concluded that we should allow the use of VSLs that cannot be overridden by the operator as a means of compliance for vehicle manufacturers that wish to offer it and truck purchasers that wish to purchase the technology. In doing so, we are providing another means of meeting that standard that can lower compliance cost and provide a more optimal vehicle solution for some truck fleets. For example, a local beverage distributor may operate trucks in a distribution network of primarily local roads. Under those conditions, aerodynamic fairings used to reduce aerodynamic drag provide little benefit due to the low vehicle speed while adding additional mass to the vehicle. A vehicle manufacturer could choose to install a VSL set a 55 mph for this customer. The resulting truck modeled in GEM could meet our final emission standard without the use of any specialized aerodynamic fairings. The resulting truck would be optimized for its intended application and would be fully compliant with our program all at a lower cost to the ultimate truck purchaser.
                        <SU>229</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>229</SU>
                             Ibid.
                        </P>
                        <P>
                            The agencies note that because a VSL value can be input into GEM, its benefits can be directly assessed with the model and off cycle credit applications therefore are not necessary even though the standard is not based on performance of VSLs (
                            <E T="03">i.e.</E>
                             VSL is an on-cycle technology).
                        </P>
                    </FTNT>
                    <P>
                        As discussed in Section II.B.2.g above, we have chosen not to base the standards on performance of VSLs because of concerns about how to set a realistic application rate that avoids unintended adverse impacts. Although we expect there will be some use of VSL, currently it is used when the fleet involved decides it is feasible and practicable and increases the overall efficiency of the freight system for that fleet operator. However, at this point the agencies are not in a position to determine in how many additional situations use of a VSL would result in similar benefits to overall efficiency. Therefore, the agencies are not premising the final standards on use of VSL, and instead will rely on the industry to select VSL when circumstances are appropriate for its use. The agencies have not included either the cost or benefit due to VSLs in analysis of the program's costs and benefits. Implementation of this program may provide greater information for using this technology in standard setting in the future. Many stakeholders including the American Trucking Association have advocated for more widespread use of vehicle speed limits to address fuel efficiency and greenhouse gas emissions. The Center for Biological Diversity (CBD) argued the agencies should reflect the use of VSLs in setting the standard for tractors rather than assuming no VSL use in determining the appropriate standard. The agencies have chosen not to do so because, as explained, we are not able at this time to quantify to potential loss in utility due to the use of VSLs. Absent this information, we cannot make a determination regarding the reasonableness of setting a standard based on a particular VSL level. In 
                        <PRTPAGE P="57211"/>
                        confirmation, a number of commenters most notably the Owner Operator Independent Drivers Association (OOIDA) suggest that VSLs could significantly impact the ability of a vehicle to deliver goods against a fixed schedule and hence would significantly impact its utility. ATA commented that limited flexibility must be built into speed limiters as not to interfere with NHTSA planned rulemaking in response to 2006 ATA petition and its 2008 Sustainability Plan. Similar comments were received from DTNA requesting that the agencies consider any NHTSA safety regulations that may also be regulating VSLs. NHTSA plans to issue a rule in 2012 addressing the safety performance features of VSLs.
                    </P>
                    <P>Table III-4 provides the final application rates of each technology broken down by weight class, cab configuration, and roof height.</P>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s25,10,10,10,10,10,10,10">
                        <TTITLE>Table III-4—Final Technology Application Rates for Class 7 and 8 Tractors</TTITLE>
                        <TDESC>[In percent]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Class 7</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low/mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="1">Class 8</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low/mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="2">Sleeper cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                        </BOXHD>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Aerodynamics (Cd)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Bin I</ENT>
                            <ENT>40</ENT>
                            <ENT>0</ENT>
                            <ENT>40</ENT>
                            <ENT>0</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin II</ENT>
                            <ENT>60</ENT>
                            <ENT>30</ENT>
                            <ENT>60</ENT>
                            <ENT>30</ENT>
                            <ENT>70</ENT>
                            <ENT>70</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin III</ENT>
                            <ENT/>
                            <ENT>60</ENT>
                            <ENT/>
                            <ENT>60</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>70</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin IV</ENT>
                            <ENT/>
                            <ENT>10</ENT>
                            <ENT/>
                            <ENT>10</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>20</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Bin V</ENT>
                            <ENT/>
                            <ENT>0</ENT>
                            <ENT/>
                            <ENT>0</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Steer Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Baseline</ENT>
                            <ENT>40</ENT>
                            <ENT>30</ENT>
                            <ENT>40</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin I</ENT>
                            <ENT>50</ENT>
                            <ENT>60</ENT>
                            <ENT>50</ENT>
                            <ENT>60</ENT>
                            <ENT>60</ENT>
                            <ENT>60</ENT>
                            <ENT>70</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Bin II</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>20</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Drive Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Baseline</ENT>
                            <ENT>40</ENT>
                            <ENT>30</ENT>
                            <ENT>40</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bin I</ENT>
                            <ENT>50</ENT>
                            <ENT>60</ENT>
                            <ENT>50</ENT>
                            <ENT>60</ENT>
                            <ENT>60</ENT>
                            <ENT>60</ENT>
                            <ENT>70</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Bin II</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>20</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Weight Reduction (lb)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">400 lb. Weight Reduction</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Extended Idle Reduction (gram CO</E>
                                <E T="0732">2</E>
                                <E T="02">/ton-mile reduction)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">AES</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                        </ROW>
                        <ROW EXPSTB="07" RUL="s">
                            <ENT I="21">
                                <E T="02">Vehicle Speed Limiter</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">VSL</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iv) Derivation of the Final Tractor Standards</HD>
                    <P>
                        The agencies used the technology inputs and final technology application rates in GEM to develop the final fuel consumption and CO
                        <E T="52">2</E>
                         emissions standards for each subcategory of Class 7 and 8 combination tractors. The agencies derived a scenario tractor for each subcategory by weighting the individual GEM input parameters included in Table III-3 with the application rates in Table III-4. For example, the Cd value for a Class 8 Sleeper Cab High Roof scenario case was derived as 10 percent times 0.68 plus 70 percent times 0.60 plus 20 percent times 0.55, which is equal to a Cd of 0.60. Similar calculations were done for tire rolling resistance, weight reduction, idle reduction, and vehicle speed limiters. To account for the two final engine standards, the agencies assumed a compliant engine in GEM.
                        <SU>230</SU>
                        <FTREF/>
                         In other words, EPA is finalizing the use of a 2014 model year fuel consumption map in GEM to derive the 2014 model year tractor standard and a 2017 model year fuel consumption map to derive the 2017 model year tractor standard.
                        <SU>231</SU>
                        <FTREF/>
                         The agencies then ran GEM with a single set of vehicle inputs, as shown in Table III-5, to derive the final standards for each subcategory. Additional detail is provided in the RIA Chapter 2.
                    </P>
                    <FTNT>
                        <P>
                            <SU>230</SU>
                             
                            <E T="03">See</E>
                             Section III.A.2.b below explaining the derivation of the engine standards.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>231</SU>
                             As explained further in Section V below, EPA would use these inputs in GEM even for engines electing to use the alternative engine standard.
                        </P>
                    </FTNT>
                    <PRTPAGE P="57212"/>
                    <GPOTABLE COLS="9" OPTS="L2,i1" CDEF="s25,10,10,10,10,10,10,10,10">
                        <TTITLE>Table III-5—GEM Inputs for the Class 7 and 8 Tractor Standard Setting</TTITLE>
                        <BOXHD>
                            <CHED H="1">Class 7</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="1">Class 8</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="2">Sleeper cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                        </BOXHD>
                        <ROW EXPSTB="08" RUL="s">
                            <ENT I="21">
                                <E T="02">Aerodynamics (Cd)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">0.73</ENT>
                            <ENT>0.84</ENT>
                            <ENT>0.65</ENT>
                            <ENT>0.73</ENT>
                            <ENT>0.84</ENT>
                            <ENT>0.65</ENT>
                            <ENT>0.73</ENT>
                            <ENT>0.84</ENT>
                            <ENT>0.59</ENT>
                        </ROW>
                        <ROW EXPSTB="08" RUL="s">
                            <ENT I="21">
                                <E T="02">Steer Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">6.99</ENT>
                            <ENT>6.99</ENT>
                            <ENT>6.87</ENT>
                            <ENT>6.99</ENT>
                            <ENT>6.99</ENT>
                            <ENT>6.87</ENT>
                            <ENT>6.87</ENT>
                            <ENT>6.87</ENT>
                            <ENT>6.54</ENT>
                        </ROW>
                        <ROW EXPSTB="08" RUL="s">
                            <ENT I="21">
                                <E T="02">Drive Tires (CRR kg/metric ton)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">7.38</ENT>
                            <ENT>7.38</ENT>
                            <ENT>7.26</ENT>
                            <ENT>7.38</ENT>
                            <ENT>7.38</ENT>
                            <ENT>7.26</ENT>
                            <ENT>7.26</ENT>
                            <ENT>7.26</ENT>
                            <ENT>6.92</ENT>
                        </ROW>
                        <ROW EXPSTB="08" RUL="s">
                            <ENT I="21">
                                <E T="02">Weight Reduction (lb)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                        </ROW>
                        <ROW EXPSTB="08" RUL="s">
                            <ENT I="21">
                                <E T="02">Extended Idle Reduction (gram CO</E>
                                <E T="0732">2</E>
                                <E T="02">/ton-mile reduction)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>5</ENT>
                            <ENT>5</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW EXPSTB="08" RUL="s">
                            <ENT I="21">
                                <E T="02">Vehicle Speed Limiter</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">—</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW EXPSTB="08" RUL="s">
                            <ENT I="21">
                                <E T="02">Engine</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">2014/17 MY 11L Engine</ENT>
                            <ENT>2014/17 MY 11L Engine</ENT>
                            <ENT>2014/17 MY 11L Engine</ENT>
                            <ENT>2014/17 MY 15L Engine</ENT>
                            <ENT>2014/17 MY 15L Engine</ENT>
                            <ENT>2014/17 MY 15L Engine</ENT>
                            <ENT>2014/17 MY 15L Engine</ENT>
                            <ENT>2014/17 MY 15L Engine</ENT>
                            <ENT>2014/17 MY 15L Engine</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>The level of the 2014 and 2017 model year final standards and percent reduction from the baseline for each subcategory are included in Table III-6.</P>
                    <GPOTABLE COLS="4" OPTS="L2,p1,8/9,i1" CDEF="s25,12,12,12">
                        <TTITLE>Table III-6—Final 2014 and 2017 Model Year Tractor Reductions</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="21">
                                <E T="02">2014 Model Year CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Grams per Ton-Mile</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="n,s">
                            <ENT I="22"> </ENT>
                            <ENT A="01">Day cab</ENT>
                            <ENT>Sleeper cab</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="22"> </ENT>
                            <ENT O="oi3">Class 7</ENT>
                            <ENT O="oi3">Class 8</ENT>
                            <ENT O="oi3">Class 8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Low Roof</ENT>
                            <ENT>107</ENT>
                            <ENT>81</ENT>
                            <ENT>68</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>119</ENT>
                            <ENT>88</ENT>
                            <ENT>76</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">High Roof</ENT>
                            <ENT>124</ENT>
                            <ENT>92</ENT>
                            <ENT>75</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="22">
                                <E T="02">
                                    2014-2016 Model Year Gallons of Fuel per 1,000 Ton-Mile 
                                    <SU>232</SU>
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="n,s">
                            <ENT I="22"> </ENT>
                            <ENT A="01">Day cab</ENT>
                            <ENT O="oi3">Sleeper cab</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="22"> </ENT>
                            <ENT O="oi3">Class 7</ENT>
                            <ENT O="oi3">Class 8</ENT>
                            <ENT O="oi3">Class 8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Low Roof</ENT>
                            <ENT>10.5</ENT>
                            <ENT>8.0</ENT>
                            <ENT>6.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>11.7</ENT>
                            <ENT>8.7</ENT>
                            <ENT>7.4</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">High Roof</ENT>
                            <ENT>12.2</ENT>
                            <ENT>9.0</ENT>
                            <ENT>7.3</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="22">
                                <E T="02">2017 Model Year CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Grams per Ton-Mile</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="n,s">
                            <ENT I="22"> </ENT>
                            <ENT A="01">Day cab</ENT>
                            <ENT O="oi3">Sleeper cab</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="22"> </ENT>
                            <ENT O="oi3">Class 7</ENT>
                            <ENT O="oi3">Class 8</ENT>
                            <ENT O="oi3">Class 8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Low Roof</ENT>
                            <ENT>104</ENT>
                            <ENT>80</ENT>
                            <ENT>66</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>115</ENT>
                            <ENT>86</ENT>
                            <ENT>73</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">High Roof</ENT>
                            <ENT>120</ENT>
                            <ENT>89</ENT>
                            <ENT>72</ENT>
                        </ROW>
                        <ROW EXPSTB="03" RUL="s">
                            <ENT I="22">
                                <E T="02">2017 Model Year and Later Gallons of Fuel per 1,000 Ton-Mile</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="n,s">
                            <PRTPAGE P="57213"/>
                            <ENT I="22"> </ENT>
                            <ENT A="01">Day cab</ENT>
                            <ENT O="oi3">Sleeper cab</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="22"> </ENT>
                            <ENT O="oi3">Class 7</ENT>
                            <ENT O="oi3">Class 8</ENT>
                            <ENT O="oi3">Class 8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Low Roof</ENT>
                            <ENT>10.2</ENT>
                            <ENT>7.8</ENT>
                            <ENT>6.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mid Roof</ENT>
                            <ENT>11.3</ENT>
                            <ENT>8.4</ENT>
                            <ENT>7.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">High Roof</ENT>
                            <ENT>11.8</ENT>
                            <ENT>8.7</ENT>
                            <ENT>7.1</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        A
                        <FTREF/>
                         summary of the final technology package costs is included in Table III-7 with additional details available in the RIA Chapter 2.
                    </P>
                    <FTNT>
                        <P>
                            <SU>232</SU>
                             Manufacturers may voluntarily opt-in to the NHTSA fuel consumption program in 2014 or 2015. If a manufacturer opts-in, the program becomes mandatory.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s25,10,10,10,10,10,10,10">
                        <TTITLE>
                            Table III-7—Class 7 and 8 Tractor Technology Costs Inclusive of Indirect Cost Markups in the 2014 Model Year 
                            <E T="51">a</E>
                             (2009$)
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Class 7</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low/mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="1">Class 8</CHED>
                            <CHED H="2">Day cab</CHED>
                            <CHED H="3">Low/mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                            <CHED H="2">Sleeper cab</CHED>
                            <CHED H="3">Low roof</CHED>
                            <CHED H="3">Mid roof</CHED>
                            <CHED H="3">High roof</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Aerodynamics</ENT>
                            <ENT>$675</ENT>
                            <ENT>$924</ENT>
                            <ENT>$675</ENT>
                            <ENT>$924</ENT>
                            <ENT>$962</ENT>
                            <ENT>$983</ENT>
                            <ENT>$1,627</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Steer Tires</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Drive Tires</ENT>
                            <ENT>63</ENT>
                            <ENT>63</ENT>
                            <ENT>126</ENT>
                            <ENT>126</ENT>
                            <ENT>126</ENT>
                            <ENT>126</ENT>
                            <ENT>126</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Weight Reduction</ENT>
                            <ENT>1,536</ENT>
                            <ENT>1,536</ENT>
                            <ENT>1,980</ENT>
                            <ENT>1,980</ENT>
                            <ENT>3,275</ENT>
                            <ENT>3,275</ENT>
                            <ENT>1,980</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Idle Reduction with Auxiliary Power Unit</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT>3,819</ENT>
                            <ENT>3,819</ENT>
                            <ENT>3,819</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="01">
                                Air Conditioning
                                <SU>c</SU>
                            </ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total</ENT>
                            <ENT>2,364</ENT>
                            <ENT>2,612</ENT>
                            <ENT>2,871</ENT>
                            <ENT>3,119</ENT>
                            <ENT>8,271</ENT>
                            <ENT>8,291</ENT>
                            <ENT>7,641</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Costs shown are for the 2014 model year so do not reflect learning impacts which would result in lower costs for later model years. For a description of the learning impacts considered in this analysis and how it impacts technology costs for other years, refer to Chapter 2 of the RIA (see RIA 2.2.2).
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Note that values in this table include penetration rates. Therefore, the technology costs shown reflect the average cost expected for each of the indicated classes. To see the actual estimated technology costs exclusive of penetration rates, refer to Chapter 2 of the RIA (see RIA 2.9 in particular).
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             EPA's air conditioning standards are presented in Section II.E.5 above.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(v) Reasonableness of the Final Standards</HD>
                    <P>
                        The final standards are based on aggressive application rates for control technologies which the agencies regard as the maximum feasible for purposes of EISA section 32902 (k) and appropriate under CAA section 202 (a) for the reasons given in Section (iii) above; see also RIA Chapter 2.5.8.2. These technologies, at the estimated application rates, are available within the lead time provided, as discussed in RIA Chapter 2.5. Use of these technologies would add only a small amount to the cost of the vehicle, and the associated reductions are highly cost effective, an estimated $20 per ton of CO
                        <E T="52">2</E>
                        eq per vehicle in 2030 without consideration of the substantial fuel savings.
                        <SU>233</SU>
                        <FTREF/>
                         This is even more cost effective than the estimated cost effectiveness for CO
                        <E T="52">2</E>
                        eq removal and fuel economy improvements under the light-duty vehicle rule, already considered by the agencies to be a highly cost effective reduction.
                        <SU>234</SU>
                        <FTREF/>
                         Moreover, the cost of controls is rapidly recovered due to the associated fuel savings, as shown in the payback analysis included in Table VIII-11 located in Section VIII below. Thus, overall cost per ton of the program, considering fuel savings, is negative—fuel savings associated with the rules more than offset projected costs by a wide margin. See Table VIII-6 in Section VIII below. Given that the standards are technically feasible within the lead time afforded by the 2014 model year, are inexpensive and highly cost effective even without accounting for the fuel savings, and have no apparent adverse potential impacts (
                        <E T="03">e.g.,</E>
                         there are no projected negative impacts on safety or vehicle utility), the final standards represent a reasonable choice under section 202(a) of the CAA and the maximum feasible under NHTSA's EISA authority at 49 U.S.C. 32902(k)(2).
                    </P>
                    <FTNT>
                        <P>
                            <SU>233</SU>
                             
                            <E T="03">See</E>
                             Section VIII.D below.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>234</SU>
                             The light-duty rule had an estimated cost per ton of $50 when considering the vehicle program costs only and a cost of −$210 per ton considering the vehicle program costs along with fuel savings in 2030. 
                            <E T="03">See</E>
                             75 FR 25515, Table III.H.3-1.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(vi) Alternative Tractor Standards Considered</HD>
                    <P>The agencies are not adopting tractor standards less stringent than the proposed standards because the agencies believe these standards are appropriate, highly cost effective, and technologically feasible within the rulemaking time frame.</P>
                    <P>
                        The agencies considered adopting tractor standards which are more stringent than those proposed reflecting increased application rates of the technologies discussed. We also considered setting more stringent standards based on the inclusion of hybrid powertrains in tractors. We stopped short of finalizing more stringent standards based on higher application rates of improved aerodynamic controls and tire rolling resistance because we concluded that the technologies would not be compatible with the use profile of a subset of tractors which operate in off-
                        <PRTPAGE P="57214"/>
                        road conditions. We have not adopted more stringent standards for tractors based on the use of hybrid vehicle technologies, believing that additional development and therefore lead-time is needed to develop hybrid systems and battery technology for tractors that operate primarily in highway cruise operations. We know, for example, that hybrid systems are being researched to capture and return energy for tractors that operate in gently rolling hills. However, as discussed above, it is not clear to us today that these systems will be generally applicable to tractors in the time frame of this regulation. In addition, even if hybrid technologies were generally available for these tractors during the MY 2014-2017 period, their costs would be extremely high and benefits would be limited given that idle reduction controls already capture many of the same emissions. According to the 2010 NAS Report, hybrid powertrains in tractors have the potential to improve fuel consumption by 10 percent, but it displaces the 6 percent reduction for idle reduction technologies, for a net improvement of 4 percent at a cost of $25,000 per vehicle.
                        <SU>235</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>235</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 197, Page 146.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(b) Tractor Engines</HD>
                    <HD SOURCE="HD3">(i) Baseline Engine Performance</HD>
                    <P>
                        As noted above, EPA and NHTSA developed the baseline medium- and heavy heavy-duty diesel engine to represent a 2010 model year engine compliant with the 0.20 g/bhp-hr NO
                        <E T="52">X</E>
                         standard for on-highway heavy-duty engines.
                    </P>
                    <P>
                        The agencies developed baseline SET values for medium- and heavy heavy-duty diesel engines based on 2009 model year confidential manufacturer data and from testing conducted by EPA. The agencies adjusted the pre-2010 data to represent 2010 model year engine maps by using predefined technologies including SCR and other systems that are being used in current 2010 model year production. If an engine utilized did not meet the 0.20 g/bhp-hr NO
                        <E T="52">X</E>
                         level, then the individual engine's CO
                        <E T="52">2</E>
                         result was adjusted to accommodate aftertreatment strategies that would result in a 0.20 g/bhp-hr NO
                        <E T="52">X</E>
                         emission level as described in RIA Chapter 2.4.2.1. The engine CO
                        <E T="52">2</E>
                         results were then sales weighted within each regulatory subcategory (
                        <E T="03">i.e.,</E>
                         medium heavy-duty diesel or heavy heavy-duty diesel) to develop an industry average 2010 model year reference engine. Although, most of the engines fell within a few percent of this baseline at least one engine was more than six percent above this average baseline.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,12,12">
                        <TTITLE>Table III-8—2010 Model Year Baseline Diesel Engine Performance</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                <LI>Emissions</LI>
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="1">
                                Fuel
                                <LI>consumption</LI>
                                <LI>(gallon/100 bhp-hr)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Medium Heavy-Duty Diesel—SET</ENT>
                            <ENT>518</ENT>
                            <ENT>5.09</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Heavy Heavy-Duty Diesel—SET</ENT>
                            <ENT>490</ENT>
                            <ENT>4.81</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(ii) Engine Technology Package Effectiveness</HD>
                    <P>
                        The MHD and HHD diesel engine technology package for the 2014 model year includes engine friction reduction, improved aftertreatment effectiveness, improved combustion processes, and low temperature EGR system optimization. The agencies considered improvements in parasitic and friction losses through piston designs to reduce friction, improved lubrication, and improved water pump and oil pump designs to reduce parasitic losses. The aftertreatment improvements are available through lower backpressure of the systems and optimization of the engine-out NO
                        <E T="52">X</E>
                         levels. Improvements to the EGR system and air flow through the intake and exhaust systems, along with turbochargers can also produce engine efficiency improvements. We note that individual technology improvements are not additive due to the interaction of technologies. The agencies assessed the impact of each technology over each of the 13 SET modes to project an overall weighted SET cycle improvement in the 2014 model year of 3 percent, as detailed in RIA Chapter 2.4.2.9 through 2.4.2.14. All of these technologies represent engine enhancements already developed beyond the research phase and are available as “off the shelf” technologies for manufacturers to add to their engines during the engine's next design cycle. We have estimated that manufacturers will be able to implement these technologies on or before the 2014 engine model year. The agencies adopted a standard that therefore reflects a 100 percent application rate of this technology package. The agencies gave consideration to finalizing a more stringent standard based on the application of mechanical turbocompounding by model year 2014, a mechanical means of waste heat recovery, but concluded that manufacturers would have insufficient lead-time to complete the necessary product development and validation work necessary to include this technology. Implementing turbocompounding into an engine design must be done through a significant redesign of the engine architecture a process that typically takes 4 to 5 years. Hence, we believe that turbocompounding is a more appropriate technology for the agencies to consider in the 2017 timeframe.
                    </P>
                    <P>
                        As explained earlier, EPA's heavy-duty highway engine standards for criteria pollutants apply in three year increments. The heavy-duty engine manufacturer product plans have fallen into three year cycles to reflect these requirements. The agencies are finalizing fuel consumption and CO
                        <E T="52">2</E>
                         emission standards recognizing the opportunity for technology improvements over this time frame (specifically, the addition of turbocompounding to the engine technology package) while reflecting the typical heavy-duty engine manufacturer product plan redesign and refresh cycles. Thus, the agencies are finalizing a more stringent standard for heavy-duty engines beginning in the 2017 model year.
                    </P>
                    <P>
                        The MHDD and HHDD engine technology package for the 2017 model year includes the continued development of the 2014 model year technology package including refinement of the aftertreatment system plus turbocompounding. The agencies calculated overall reductions in the same manner as for the 2014 model year package. The weighted SET cycle improvements lead to a 6 percent reduction on the SET cycle, as detailed 
                        <PRTPAGE P="57215"/>
                        in RIA Chapter 2.4.2.12. The agencies' final standards are premised on a 100 percent application rate of this technology package.
                    </P>
                    <P>Commenters noted that the National Academy of Sciences (NAS) study indicates that additional technology improvements can be made to heavy-duty engines in MY 2014 and 2017. For diesel engine standards, the agencies evaluated the following technologies: Combustion system optimization, turbocharging and air handling systems, engine parasitic and friction reduction, integrated aftertreatment systems, electrification, and waste heat recovery.</P>
                    <P>
                        The agencies carefully evaluated the research supporting the NAS report and its recommendations and incorporated them to the extent practicable in the development of the HD program. While the NAS report suggests that greater engine improvements could be achieved by the use of technologies such as improved emission control systems and turbocompounding than do the agencies in this final action, we believe the standards being finalized represent the most stringent technically feasible for diesel engines used in tractors and vocational vehicles in the 2014 to 2017 model year time frame. The NAS study concluded that tractor engine fuel consumption can be reduced by approximately 15 percent in the 2015 to 2020 time frame and vocational engine fuel consumption can be reduced by approximately 10 to 17 percent in the same time frame compared to a 2008 engine baseline.
                        <SU>236</SU>
                        <FTREF/>
                         Throughout this presentation, the agencies' projections of performance improvements are measured relative to a 2010 engine performance baseline that itself reflects a four to five percent improvement over the 2008 engine baseline used by NAS. Based on a review of existing studies, NAS study authors found a range of reduction potential exists for improvements in combustion efficiency, electrification of accessories; improved emission control systems; and turbocompounding. The study found that improvements in combustion efficiency can provide reductions of 1 percent to 4 percent; electrification of accessories can provide reductions of 2 percent to 5 percent in a hybridized vehicle; improved emission control systems can provide a 1 percent to 4 percent improvement (depending on whether the improvement is to the EGR or SCR system); and a 2.5 percent to 10 percent reduction is possible with mechanical or electrical turbocompounding. While the reductions being finalized in this regulation are lower than those published in the NAS study, the agencies believe that the percent reductions being finalized in these rules are consistent with the findings of the NAS study. The reasons for this are as follows.
                    </P>
                    <FTNT>
                        <P>
                            <SU>236</SU>
                             National Research Council, “Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-Duty Vehicles” Figure S-1, page 4, National Acedemies Press, 2011.
                        </P>
                    </FTNT>
                    <P>
                        First, some technologies cannot be used by all manufacturers. For example, improved SCR conversion efficiency was projected by NAS to provide a 3 percent to 4 percent improvement in fuel consumption. Conversely, low temperature EGR was found to provide only a one percent improvement. While the majority of manufacturers do use SCR systems and will be able to realize the 3 percent to 4 percent improvement, not all manufacturers use SCR for NO
                        <E T="52">X</E>
                         aftertreatment. Manufacturers that do not use SCR aftertreatment systems would only be able to realize the 1 percent improvement from low temperature EGR. The agencies need to take into consideration the entire market in setting the stringency of the standards and, in assessing feasibility and cost, cannot assume that all manufacturers will be able to use all technologies.
                    </P>
                    <P>
                        Second, significant technical advances may be needed in order to realize the upper end of estimates for some technologies. For example, studies evaluated by NAS on turbocompounding found that a 2.5 percent to 10 percent reduction is feasible. However, only one system is available commercially and this system provides reductions on the low end of this range.
                        <SU>237</SU>
                        <FTREF/>
                         Little technical information is available on the systems that achieve reductions in the upper range for turbocompounding. These systems are based on proprietary designs the improvement results for which have not yet been replicated by other companies or organizations. The agencies are assuming that all tractor engine manufacturers will use turbocompounding by 2017 model year. This will require a significant change in the design of heavy-duty tractor engines, one that represents the maximum technically feasible standard even at the low end of the assumed improvement spectrum.
                    </P>
                    <FTNT>
                        <P>
                            <SU>237</SU>
                             NAS 2010, page 53 cites Detroit Diesel Corporation, DD15 Brochure, DDC-EMC-BRO-0003-0408, April 2008.
                        </P>
                    </FTNT>
                    <P>Finally, different duty cycles used in the evaluation of medium- and heavy-duty engine technologies can affect reported fuel consumption improvements. For example, some technologies are dependent on high load conditions to provide the greatest reductions. The duty cycles used to evaluate some of the technologies considered by NAS differed significantly from that used by the agencies in the modeling for this rulemaking. Maximum and average speed was higher in some of the cycles used in the studies, for example, and one result was demonstrated on a nonroad engine cycle. In another example, the effectiveness of turbocompounding when evaluated on a duty cycle with higher engine load can show a greater reduction potential than when evaluated with a lower engine load. In addition, technologies such as improvements to cooling fans, air compressors, and air conditioning systems will not be demonstrated using the engine dynamometer test procedures being adopted in this final action because those components are not installed on the engine during the testing. The agencies selected the duty cycles for analysis, and for the final standards, that we believed best suited tractor engines.</P>
                    <P>The agencies selected engine technologies and the estimated fuel reduction percentages for setting the standards. For the reasons stated above, the agencies believe the technologies and required improvements in fuel consumption represent the maximum feasible improvement, and are appropriate, cost-effective, and technologically feasible.</P>
                    <P>
                        We gave consideration to finalizing an even more stringent standard based on the use of waste heat recovery via a Rankine cycle (also called bottoming cycle) but concluded that there is insufficient lead-time between now and 2017 for this promising technology to be developed and applied generally to all heavy-duty engines. TIAX noted in their report to the NAS committee that the engine improvements beyond 2015 model year included in their report are highly uncertain, though they include Rankine cycle type waste heat recovery as applicable sometime between 2016 and 2020.
                        <SU>238</SU>
                        <FTREF/>
                         The Department of Energy is working with industry to develop waste heat recovery systems for heavy-duty engines. At the Diesel Engine-Efficiency and Emissions Research (DEER) conference in 2010, Caterpillar presented details regarding their waste heat recovery systems development effort. In their presentation, Caterpillar clearly noted that the work is a research project and therefore does not imply 
                        <PRTPAGE P="57216"/>
                        commercial viability.
                        <SU>239</SU>
                        <FTREF/>
                         At the same conference, Concepts NREC presented a status of exhaust energy recovery in heavy-duty engines. The scope of Concepts NREC included the design and development of prototype parts.
                        <SU>240</SU>
                        <FTREF/>
                         Cummins, also in coordination with DOE, is also active in developing exhaust energy recovery systems. Cummins made a presentation to the DEER conference in 2009 providing an update on their progress which highlighted opportunities to achieve a 10 percent engine efficiency improvement during their research, but indicated the need to focus their future development on areas with the highest recovery opportunities (such as EGR, exhaust, and charge air).
                        <SU>241</SU>
                        <FTREF/>
                         Cummins also indicated that future development would focus on reducing the high additional costs and system complexity. Based upon the assessment of this information, the agencies did not include these technologies in determining the stringency of the final standards. However, we do believe the bottoming cycle approach represents a significant opportunity to reduce fuel consumption and GHG emissions in the future. EPA and NHTSA are therefore both finalizing provisions for advanced technology credits described in Section IV to create incentives for manufacturers to continue to invest to develop this technology.
                    </P>
                    <FTNT>
                        <P>
                            <SU>238</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, Page 4-29.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>239</SU>
                             Kruiswyk, R. “An Engine System Approach to Exhaust Waste Heat Recovery.” Presented at DOE DEER Conference on September 29, 2010. Last viewed on May 11, 2011 at 
                            <E T="03">http://www1.eere.energy.gov/vehiclesandfuels/pdfs/deer_2010/wednesday/presentations/deer10_kruiswyk.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>240</SU>
                             Cooper, D, N. Baines, N. Sharp. “Organic Rankine Cycle Turbine for Exhaust Energy Recovery in a Heavy Truck Engine.” Presented at the 2010 DEER Conference. Last viewed on May 11, 2011 at 
                            <E T="03">http://www1.eere.energy.gov/vehiclesandfuels/pdfs/deer_2010/wednesday/presentations/deer10_baines.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>241</SU>
                             Nelson, C. “Exhaust Energy Recovery.” Presented at the DOE DEER Conference on August 5, 2009. Last viewed on May 11, 2011 at 
                            <E T="03">http://www1.eere.energy.gov/vehiclesandfuels/pdfs/deer_2009/session5/deer09_nelson_1.pdf.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(iii) Derivation of Engine Standards</HD>
                    <P>
                        EPA developed the final 2014 model year CO
                        <E T="52">2</E>
                         emissions standards (based on the SET cycle) for diesel engines by applying the three percent reduction from the technology package (just explained above) to the 2010 model year baseline values determined using the SET cycle. EPA developed the 2017 model year CO
                        <E T="52">2</E>
                         emissions standards for diesel engines while NHTSA similarly developed the 2017 model year diesel engine fuel consumption standards by applying the 6 percent reduction from the 2017 model year technology package (reflecting performance of turbocompounding plus the 2014 MY technology package) to the 2010 model year baseline values. The final standards are included in Table III-9.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s12,r25,12,12">
                        <TTITLE>Table III-9—Final Diesel Engine Standards Over the SET Cycle</TTITLE>
                        <BOXHD>
                            <CHED H="1">Model year</CHED>
                            <CHED H="1">  </CHED>
                            <CHED H="1">MHD diesel engine</CHED>
                            <CHED H="1">HHD diesel engine</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2014-2016</ENT>
                            <ENT>
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>502</ENT>
                            <ENT>475</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Voluntary Fuel Consumption Standard (gallon/100 bhp-hr)</ENT>
                            <ENT>4.93</ENT>
                            <ENT>4.67</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017 and later</ENT>
                            <ENT>
                                CO
                                <E T="52">2</E>
                                 Standard (g/bhp-hr)
                            </ENT>
                            <ENT>487</ENT>
                            <ENT>460</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Fuel Consumption (gallon/100 bhp-hr)</ENT>
                            <ENT>4.78</ENT>
                            <ENT>4.52</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iv) Engine Technology Package Costs</HD>
                    <P>
                        EPA has historically used two different approaches to estimate the indirect costs (sometimes called fixed costs) of regulations including costs for product development, machine tooling, new capital investments and other general forms of overhead that do not change with incremental changes in manufacturing volumes. Where the Agency could reasonably make a specific estimate of individual components of these indirect costs, EPA has done so. Where EPA could not readily make such an estimate, EPA has instead relied on the use of markup factors referred to as indirect cost multipliers (ICMs) to estimate these indirect costs as a ratio of direct manufacturing costs. In general, EPA has used whichever approach it believed could provide the most accurate assessment of cost on a case-by-case basis. The agencies' general approach used elsewhere in this action (for HD pickup trucks, gasoline engines, combination tractors, and vocational vehicles) estimates indirect costs based on the use of ICMs. 
                        <E T="03">See also</E>
                         75 FR 25376. We have used this approach generally because these standards are based on installing new parts and systems purchased from a supplier. In such a case, the supplier is conducting the bulk of the research and development on the new parts and systems and including those costs in the purchase price paid by the original equipment manufacturer. In this situation, we believe that the ICM approach provides an accurate and clear estimate of the additional indirect costs borne by the manufacturer.
                    </P>
                    <P>
                        For the heavy-duty diesel engine segment, however, the agencies do not consider this model to be the most appropriate because the primary cost is not expected to be the purchase of parts or systems from suppliers or even the production of the parts and systems, but rather the development of the new technology by the original equipment manufacturer itself. Most of the technologies the agencies are projecting the heavy-duty engine manufacturers will use for compliance reflect modifications to existing engine systems rather than wholesale addition of technology (
                        <E T="03">e.g.,</E>
                         improved turbochargers rather than adding a turbocharger where it did not exist before as was done in our light-duty joint rulemaking in the case of turbo-downsizing). When the bulk of the costs come from refining an existing technology rather than a wholesale addition of technology, a specific estimate of indirect costs may be more appropriate. For example, combustion optimization may significantly reduce emissions and cost a manufacturer millions of dollars to develop but will lead to an engine that is no more expensive to produce. Using a bill of materials approach would suggest that the cost of the emissions control was zero reflecting no new hardware and ignoring the millions of dollars spent to develop the improved combustion system. Details of the cost analysis are included in the RIA Chapter 2. The agencies did not receive any comments regarding the cost approach used in the proposal.
                    </P>
                    <P>
                        The agencies developed the engineering costs for the research and development of diesel engines with lower fuel consumption and CO
                        <E T="52">2</E>
                         emissions. The aggregate costs for engineering hours, technician support, 
                        <PRTPAGE P="57217"/>
                        dynamometer cell time, and fabrication of prototype parts are estimated at $6.8 million (2009 dollars) per manufacturer per year over the five years covering 2012 through 2016. In aggregate, this averages out to $284 per engine during 2012 through 2016 using an annual sales volume of 600,000 light-, medium- and heavy-HD engines. The agencies received comments from Horriba regarding the assumption the agencies used in the proposal that said manufacturers would need to purchase new equipment for measuring N
                        <E T="52">2</E>
                        O and the associated costs. Horriba provided information regarding the cost of stand-alone FTIR instrumentation (estimated at $50,000 per unit) and cost of upgrading existing emission measurement systems with NDIR analyzers (estimated at $25,000 per unit). The agencies further analyzed our assumptions along with Horriba's comments. Thus, we have revised the equipment costs estimates and assumed that 75 percent of manufacturers would update existing equipment while the other 25 percent would require new equipment. The agencies are estimating costs of $63,087 (2009 dollars) per engine manufacturer per engine subcategory (light-, medium- and heavy-HD) to cover the cost of purchasing photo-acoustic measurement equipment for two engine test cells. This would be a one-time cost incurred in the year prior to implementation of the standard (
                        <E T="03">i.e.,</E>
                         the cost would be incurred in 2013). In aggregate, this averages out to less than $1 per engine in 2013 using an annual sales volume of 600,000 light-, medium- and heavy-HD engines.
                    </P>
                    <P>Where we projected that additional new hardware was needed to the meet the final standards, we developed the incremental costs for those technologies and marked them up using the ICM approach. Table III-10 below summarizes those estimates of cost on a per item basis. All costs shown in Table III-18, below, include a low complexity ICM of 1.15 and flat-portion of the curve learning is considered applicable to each technology.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,12,12">
                        <TTITLE>
                            Table III-10—Heavy-Duty Diesel Engine Component Costs for Combination Tractors
                            <E T="01">
                                <SU>a</SU>
                            </E>
                             (2009$)
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Technology</CHED>
                            <CHED H="1">2014</CHED>
                            <CHED H="1">2017</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Cylinder Head</ENT>
                            <ENT>$6</ENT>
                            <ENT>$6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Turbo efficiency</ENT>
                            <ENT>18</ENT>
                            <ENT>17</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">EGR cooler</ENT>
                            <ENT>4</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Water pump</ENT>
                            <ENT>91</ENT>
                            <ENT>84</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Oil pump</ENT>
                            <ENT>5</ENT>
                            <ENT>4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel pump</ENT>
                            <ENT>5</ENT>
                            <ENT>4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel rail</ENT>
                            <ENT>10</ENT>
                            <ENT>9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel injector</ENT>
                            <ENT>11</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Piston</ENT>
                            <ENT>3</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Engine Friction Reduction of Valvetrain</ENT>
                            <ENT>82</ENT>
                            <ENT>76</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Turbo-compounding (engines placed in combination tractors only)</ENT>
                            <ENT>0</ENT>
                            <ENT>875</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">MHHD and HHDD Total (combination tractors)</ENT>
                            <ENT>234</ENT>
                            <ENT>1,091</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Costs for aftertreatment improvements for MH and HH diesel engines are covered via the engineering costs (see text). For LH diesel engines, we have included the cost of aftertreatment improvements as a technology cost.
                        </TNOTE>
                    </GPOTABLE>
                    <P>The overall diesel engine technology package cost for an engine being placed in a combination tractor is $234 in the 2014 model year and $1,091 in the 2017 model year.</P>
                    <HD SOURCE="HD3">(v) Reasonableness of the Final Standards</HD>
                    <P>
                        The final engine standards appear to be reasonable and consistent with the agencies' respective statutory authorities. With respect to the 2014 and 2017 MY standards, all of the technologies on which the standards are predicated have already been demonstrated in some capacity and their effectiveness is well documented. The final standards reflect a 100 percent application rate for these technologies. The costs of adding these technologies remain modest across the various engine classes as shown in Table III-10. Use of these technologies would add only a small amount to the cost of the vehicle,
                        <SU>242</SU>
                        <FTREF/>
                         and the associated reductions are highly cost effective, an estimated $20 per ton of CO
                        <E T="52">2</E>
                        eq per vehicle.
                        <SU>243</SU>
                        <FTREF/>
                         This is even more cost effective than the estimated cost effectiveness for CO
                        <E T="52">2</E>
                        eq removal under the light-duty vehicle rule, already considered by the agencies to be a highly cost effective reduction.
                        <SU>244</SU>
                        <FTREF/>
                         Even the more expensive 2017 MY final standard still represents only a small fraction of the vehicle's total cost and is even more cost effective than the light-duty vehicle rule. Moreover, costs are more than offset by fuel savings. Accordingly, EPA and NHTSA view these standards as reflecting an appropriate balance of the various statutory factors under section 202(a) of the CAA and under NHTSA's EISA authority at 49 U.S.C. 32902(k)(2).
                    </P>
                    <FTNT>
                        <P>
                            <SU>242</SU>
                             Sample 2010 MY day cabs are priced at $89,000 while 2010 MY sleeper cabs are priced at $113,000. 
                            <E T="03">See</E>
                             page 3 of ICF's “Investigation of Costs for Strategies to Reduce Greenhouse Gas Emissions for Heavy-Duty On-Road Vehicles.” July 2010.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>243</SU>
                             
                            <E T="03">See</E>
                             Tractor CO
                            <E T="52">2</E>
                             savings and technology costs in Table 7-5 in RIA chapter 7.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>244</SU>
                             The light-duty rule had an estimated cost per ton of $50 when considering the vehicle program costs only and a cost of −$210 per ton considering the vehicle program costs along with fuel savings in 2030. 
                            <E T="03">See</E>
                             75 FR 25515, Table III.H.3-1.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(vi) Temporary Alternative Standard for Certain Engine Families</HD>
                    <P>
                        As discussed above in Section II.B(2)(b), notwithstanding the general reasonableness of the final standards, the agencies recognize that heavy-duty engines have never been subject to GHG or fuel consumption (or fuel economy) standards and that such control has not necessarily been an independent priority for manufacturers. The result is that there are a group of legacy engines with emissions higher than the industry baseline for which compliance with the final 2014 MY standards may be more challenging and for which there may simply be inadequate lead time. The issue is not whether these engines' GHG and fuel consumption performance cannot be improved by utilizing the technology packages on which the final standards are based. Those technologies can be utilized by all diesel engines installed in tractors and the same degree of reductions obtained. Rather the underlying base engine components of these engines reflect designs that are decades old and therefore have base performance levels below what is typical for the industry as a whole 
                        <PRTPAGE P="57218"/>
                        today. Manufacturers have been gradually replacing these legacy products with new engines. Engine manufacturers have indicated to the agencies they will have to align their planned replacement of these products with our final standards and at the same time add additional technologies beyond those identified by the agencies as the basis for the final standard. Because these changes will reflect a larger degree of overall engine redesign, manufacturers may not be able to complete this work for all of their legacy products prior to model year 2014. To pull ahead these already planned engine replacements would be impossible as a practical matter given the engineering structure and lead-times inherent in the companies' existing product development processes. We have also concluded that the use of fleet averaging would not address the issue of legacy engines because each manufacturer typically produces only a limited line of MHDD and HHDD engines. Because there are ample fleetwide averaging opportunities for heavy-duty pickups and vans, the agencies do not perceive similar difficulties for these vehicles.
                    </P>
                    <P>
                        Facing a similar issue in the light-duty vehicle rule, EPA adopted a Temporary Lead Time Allowance provision whereby a limited number of vehicles of a subset of manufacturers would meet an alternative standard in the early years of the program, affording them sufficient lead time to meet the more stringent standards applicable in later model years. 
                        <E T="03">See</E>
                         75 FR 25414-25418. The agencies are finalizing a similar approach here. As explained above in Section II.B.(2)(b), the agencies are finalizing a regulatory alternative whereby a manufacturer, for a limited period, would have the option to comply with a unique standard requiring the same level of reduction of emissions (
                        <E T="03">i.e.,</E>
                         percent removal) and fuel consumption as otherwise required, but the reduction would be measured from its own 2011 model year baseline. We are thus finalizing an optional standard whereby manufacturers would elect to have designated engine families meet a standard of 3 percent reduction from their 2011 baseline emission and fuel consumption levels for that engine family or engine subcategory. Our assessment is that this three percent reduction is appropriate based on use of similar technology packages at similar cost as we have estimated for the primary program. In the NPRM, we solicited comment on extending this alternative (See 75 FR at 74202). As explained earlier, we have decided not to allow the alternative standard to continue past the 2016 MY. By this time, the engines should have gone through a redesign cycle which will allow manufacturers to replace those legacy engines which resulted in abnormally high baseline emission and fuel consumption levels and to achieve the MY 2017 standards which would be feasible using the technology package set out above (optimized NO
                        <E T="52">X</E>
                         aftertreatment, improved EGR, reductions in parasitic losses, and turbocharging). Manufacturers would, of course, be free to adopt other technology paths which meet the final MY 2017 standards.
                    </P>
                    <P>
                        Since the alternative standard is premised on the need for additional lead time, manufacturers would first have to utilize all available flexibilities which could otherwise provide that lead time. Thus, as proposed, the alternative would not be available unless and until a manufacturer had exhausted all available credits and credit opportunities, and engines under the alternative standard could not generate credits. 
                        <E T="03">See</E>
                         also 75 FR 25417-25419 (similar approach for vehicles which are part of Temporary Lead Time Allowance under the light-duty vehicle rule). We are finalizing that manufacturers can select engine families for this alternative standard without agency approval, but are requiring that manufacturers notify the agency of their choice and also requiring manufacturers to include in that notification a demonstration that it has exhausted all available credits and credit opportunities. Manufacturers would also have to demonstrate their 2011 baseline calculations as part of the certification process for each engine family for which the manufacturer elects to use the alternative standard. See Section V.C.1(b)(i) below.
                    </P>
                    <HD SOURCE="HD3">(vii) ther Engine Standards Considered</HD>
                    <P>The agencies are not finalizing engine standards less stringent than the final standards because the agencies believe these final standards are appropriate, highly cost effective, and technologically feasible, as just described.</P>
                    <P>The agencies considered finalizing engine standards which are more stringent. Since the final standards reflect 100 percent utilization of the various technology packages, some additional technology would have to be added. The agencies are finalizing 2017 model year standards based on the use of turbocompounding. As discussed above in Section III.A.2.b.iii, the agencies considered the inclusion of more advanced heat recovery systems, such as Rankine or bottoming cycles, which would provide further reductions. However, the agencies are not finalizing this level of stringency because our assessment is that these technologies would not be available for production by the 2017 model year.</P>
                    <HD SOURCE="HD2">B. Heavy-Duty Pickup Trucks and Vans</HD>
                    <P>
                        This section describes the process the agencies used to develop the standards the agencies are finalizing for HD pickups and vans. We started by gathering available information about the fuel consumption and CO
                        <E T="52">2</E>
                         emissions from recent model year vehicles. The core portion of this information comes primarily from EPA's certification databases, CFEIS and Verify, which contain the publicly available data 
                        <SU>245</SU>
                        <FTREF/>
                         regarding emission and fuel economy results. This information is not extensive because manufacturers have not been required to chassis test HD diesel vehicles for EPA's criteria pollutant emissions standards, nor have they been required to conduct any testing of heavy-duty vehicles on the highway cycle. Nevertheless, enough certification activity has occurred for diesels under EPA's optional chassis-based program, and, due to a California NO
                        <E T="52">X</E>
                         requirement for the highway test cycle, enough test results have been voluntarily reported for both diesel and gasoline vehicles using the highway test cycle, to yield a reasonably robust data set. To supplement this data set, for purposes of this rulemaking EPA initiated its own testing program using in-use vehicles. This program and the results from it thus far are described in a memorandum to the docket for this rulemaking.
                        <SU>246</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>245</SU>
                             
                            <E T="03">http://www.epa.gov/otaq/certdata.htm.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>246</SU>
                             Memorandum from Cleophas Jackson, U.S.EPA, to docket EPA-HQ-OAR-2010-0162, “Heavy-Duty Greenhouse Gas and Fuel Consumption Test Program Summary”, September 20, 2010.
                        </P>
                    </FTNT>
                    <P>
                        Heavy-duty pickup trucks and vans are sold in a variety of configurations to meet market demands. Among the differences in these configurations that affect CO
                        <E T="52">2</E>
                         emissions and fuel consumption are curb weight, GVWR, axle ratio, and drive wheels (two-wheel drive or four-wheel drive). Because the currently-available test data set does not capture all of these configurations, it is necessary to extend that data set across the product mix using adjustment factors. In this way a test result from, say a truck with two-wheel drive, 3.73:1 axle ratio, and 8000 lb test weight, can be used to model emissions and fuel consumption from a truck of the same basic body design, but with four-wheel drive, a 4.10:1 axle ratio, and 8,500 lb test weight. The adjustment factors are 
                        <PRTPAGE P="57219"/>
                        based on data from testing in which only the parameters of interest are varied. These parameterized adjustments and their basis are also described in a memorandum to the docket for this rulemaking.
                        <SU>247</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>247</SU>
                             Memorandum from Anthony Neam and Jeff Cherry, U.S.EPA, to docket EPA-HQ-OAR-2010-0162, October 18, 2010.
                        </P>
                    </FTNT>
                    <P>The agencies requested and received from each of the three major manufacturers confidential information for each model and configuration, indicating the values of each of these key parameters as well as the annual production (for the U.S. market). Production figures are useful because, under our final standards for HD pickups and vans, compliance is judged on the basis of production-weighted (corporate average) emissions or fuel consumption level, not individual vehicle levels. For consistency and to avoid confounding the analysis with data from unusual market conditions in 2009, the production and vehicle specification data is from the 2008 model year. We made the simplifying assumption that these sales figures reasonably approximate future sales for purposes of this analysis.</P>
                    <P>
                        One additional assessment was needed to make the data set useful as a baseline for the standards selection. Because the appropriate standards are determined by applying efficiency-improving technologies to the baseline fleet, it is necessary to know the level of penetration of these technologies in the latest model year (2010). This information was also provided confidentially by the manufacturers. Generally, the agencies found that the HD pickup and van fleet was at a roughly consistent level of technology application, with (1) the transition from 4-speed to 5- or 6-speed automatic transmissions mostly accomplished, (2) coupled cam phasing to achieve variable valve control on gasoline engines likewise mostly in place,
                        <SU>248</SU>
                        <FTREF/>
                         and (3) substantial remaining potential for optimizing catalytic diesel NO
                        <E T="52">X</E>
                         aftertreatment to improve fuel economy (the new heavy-duty NO
                        <E T="52">X</E>
                         standards having taken effect in the 2010 model year).
                    </P>
                    <FTNT>
                        <P>
                            <SU>248</SU>
                             
                            <E T="03">See</E>
                             Section III.B(2)(a) for our response to comments arguing for inclusion of this technology in the list of technologies needed to meet the standards.
                        </P>
                    </FTNT>
                    <P>Taking this 2010 baseline fleet, and applying the technologies determined to be feasible and appropriate by the 2018 model year, along with their effectiveness levels, the agencies could then make a determination of appropriate final standards. The assessment of feasibility, described immediately below, takes into account the projected costs of these technologies. The derivation of these costs, largely based on analyses developed in the light-duty GHG and fuel economy rulemaking, are described in Section III.B(3).</P>
                    <P>Our assessment concluded that the technologies that the agencies considered feasible and appropriate for HD pickups and vans could be consistently applied to essentially all vehicles across this sector by the 2018 model year. Therefore we did not apply varying penetration rates across vehicle types and models in developing and evaluating the final standards.</P>
                    <P>
                        Since the manufacturers of HD pickups and vans generally only have one basic pickup truck and van with different versions (
                        <E T="03">i.e.,</E>
                         different wheel bases, cab sizes, two-wheel drive, four-wheel drive, 
                        <E T="03">etc.</E>
                        ) and do not have the flexibility of the light-duty fleet to coordinate model improvements over several years, changes to the HD pickups and vans to meet new standards must be carefully planned with the redesign cycle taken into account. The opportunities for large-scale changes (
                        <E T="03">e.g.,</E>
                         new engines, transmission, vehicle body and mass) thus occur less frequently than in the light-duty fleet, typically at spans of 8 or more years. However, opportunities for gradual improvements not necessarily linked to large scale changes can occur between the redesign cycles. Examples of such improvements are upgrades to an existing vehicle model's engine, transmission and aftertreatment systems. Given this long redesign cycle and our understanding with respect to where the different manufacturers are in that cycle, the agencies have initially determined that the full implementation of the final standards would be feasible and appropriate by the 2018 model year.
                    </P>
                    <P>Although we did not determine a technological need for less than full implementation of any technology, we did decide that a phased implementation schedule would be appropriate to accommodate manufacturers' redesign workload and product schedules, especially in light of this sector's relatively low sales volumes and long product cycles. We did not determine a specific cost of implementing the final standards immediately in 2014 without a phase-in, but we assessed it to be much higher than the cost of the phase-in we are finalizing, due to the workload and product cycle disruptions it would cause, and also due to manufacturers' resulting need to develop some of these technologies for heavy-duty applications sooner than or simultaneously with light-duty development efforts. See generally 75 FR 25467-25468 explaining why attempting major changes outside the redesign cycle period raises very significant issues of both feasibility and cost. On the other hand, waiting until 2018 before applying any new standards could miss the opportunity to achieve meaningful and cost-effective early reductions not requiring a major product redesign.</P>
                    <P>
                        The final phase-in schedule, 15-20-40-60-100 percent in 2014-2015-2016-2017-2018, respectively, was chosen to strike a balance between meaningful reductions in the early years (reflecting the technologies' penetration rates of 15 and 20 percent) and providing manufacturers with needed lead time via a gradually accelerating ramp-up of technology penetration.
                        <SU>249</SU>
                        <FTREF/>
                         By expressing the final phase-in in terms of increasing fleetwide stringency for each manufacturer, while also providing for credit generation and use (including averaging, carry-forward, and carry-back), we believe our program affords manufacturers substantial flexibility to satisfy the phase-in through a variety of pathways, among them, the gradual application of technologies across the fleet (averaging a fifth of total production in each year), greater application levels on only a portion of the fleet, or a mix of the two.
                    </P>
                    <FTNT>
                        <P>
                            <SU>249</SU>
                             The NHTSA program provides voluntary standards for model years 2014 and 2015. NHTSA and EPA are also providing an alternative standards phase-in that meets EISA's requirement for three years of regulatory stability. 
                            <E T="03">See</E>
                             Section II.C.d.ii for a more detailed discussion.
                        </P>
                    </FTNT>
                    <P>We considered setting more stringent standards that would require the application of additional technologies by 2018. We expect, in fact, that some of these technologies may well prove feasible and cost-effective in this time frame, and may even become technologies of choice for individual manufacturers. This dynamic has played out in EPA programs before and highlights the value of setting performance-based standards that leave engineers the freedom to find the most cost-effective solutions.</P>
                    <P>
                        However, the agencies do believe that at this stage there is not enough information to conclude that the additional technologies provide an appropriate basis for standard-setting. For example, we believe that 42V stop-start systems can be applied to gasoline vehicles with significant GHG and fuel consumption benefits, but we recognize that there is uncertainty at this time over the cost-effectiveness of these systems in heavy-duty applications, and legitimate concern with customer 
                        <PRTPAGE P="57220"/>
                        acceptance of vehicles with high GCWR towing large loads that would routinely stop running at idle. Hybrid electric technology likewise could be applied to heavy-duty vehicles, and in fact has already been so applied on a limited basis. However, the development, design, and tooling effort needed to apply this technology to a vehicle model is quite large, and seems less likely to prove cost-effective in this time frame, due to the small sales volumes relative to the light-duty sector. Here again, potential customer acceptance would need to be better understood because the smaller engines that facilitate much of a hybrid's benefit are typically at odds with the importance pickup trucks buyers place on engine horsepower and torque, whatever the vehicle's real performance.
                    </P>
                    <P>We also considered setting less stringent standards calling for a more limited set of applied technologies. However, our assessment concluded with a high degree of confidence that the technologies on which the final standards are premised are clearly available at reasonable cost in the 2014-2018 time frame, and that the phase-in and other flexibility provisions allow for their application in a very cost-effective manner, as discussed in this section below.</P>
                    <P>More difficult to characterize is the degree to which more or less stringent standards might be appropriate because of under- or over-estimating effectiveness of the technologies whose performance is the basis of the final standards. Our basis for these estimates is described in the following Section 0. Because for the most part these technologies have not yet been applied to HD pickups and vans, even on a limited basis, we are relying to some degree on engineering judgment in predicting their effectiveness. Even so, we believe that we have applied this judgment using the best information available, primarily from our recent rulemaking on light-duty vehicle GHGs and fuel economy, and have generated a robust set of effectiveness values.</P>
                    <HD SOURCE="HD3">(1) What technologies did the agencies consider?</HD>
                    <P>
                        The agencies considered over 35 vehicle technologies that manufacturers could use to improve the fuel consumption and reduce CO
                        <E T="52">2</E>
                         emissions of their vehicles during MYs 2014-2018. The majority of the technologies described in this section is readily available, well known, and could be incorporated into vehicles once production decisions are made. Several of the technologies have already been introduced into the heavy-duty pickup and van market (
                        <E T="03">i.e.,</E>
                         variable valve timing, improved accessories, 
                        <E T="03">etc.</E>
                        ) in a limited number of applications. Other technologies considered may not currently be in production, but are beyond the research phase and under development, and are expected to be in production in highway vehicles over the next few years. These are technologies which are capable of achieving significant improvements in fuel economy and reductions in CO
                        <E T="52">2</E>
                         emissions, at reasonable costs. The agencies did not consider technologies in the research stage because there is insufficient time for such technologies to move from research to production during the model years covered by this final action.
                    </P>
                    <P>
                        The agencies received comments regarding applicability of certain advanced technologies described in the TIAX 2009 report submitted to NAS. Specifically mentioned were turbocharging and downsizing of gasoline vehicles and hydraulic hybrid systems. While turbocharging and downsizing of gasoline vehicles was a principal technology underlying the standards in the light-duty rule, the agencies determined that in the realm of heavy-duty vehicles, this approach provides much less benefit to vehicles which are required to regularly operate at high and sustained loads. In light-duty applications, downsizing of a typically oversized engine largely results in benefits mainly under partial and light load conditions. This approach is more applicable to light-duty vehicles because they infrequently require high or full power. Further, while turbo downsizing was already occurring in a portion of the light-duty fleet, it has not been demonstrated in the heavy-duty fleet, likely due to concerns with durability of this technology in the sustained high-load duty cycles frequently encountered. Similarly, other light-duty technologies (
                        <E T="03">i.e.,</E>
                         cylinder deactivation, engine start stop) were also determined to not be compatible with the duty cycle of heavy-duty vehicles for similar reasons. Due to the relatively aggressive implementation of this program and the lack of commercialization in the heavy-duty market, hydraulic hybrid systems were not considered a technology that could be implemented in the time frame of this program for the HD pickup and van sector. The fact that no HD pickup or van hydraulic hybrids have been, or are the verge of being marketed makes their widespread introduction before the MY 2018 final year of the phase-in very unlikely.
                    </P>
                    <P>The technologies considered in the agencies' analysis are briefly described below. They fall into five broad categories: engine technologies, transmission technologies, vehicle technologies, electrification/accessory technologies, and hybrid technologies.</P>
                    <P>
                        In this class of trucks and vans, diesel engines are installed in about half of all vehicles. The ratio between gasoline and diesel engine purchases by consumers has tended to track changes in the overall cost of oil and the relative cost of gasoline and diesel fuels. When oil prices are higher, diesel sales tend to increase. This trend has reversed when oil prices fall or when diesel fuel prices are significantly higher than gasoline. In the context of our technology discussion for heavy-duty pickups and vans, we are treating gasoline and diesel engines separately so each has a set of baseline technologies. We discuss performance improvements in terms of changes to those baseline engines. Our cost and inventory estimates contained elsewhere reflect the current fleet baseline with an appropriate mix of gasoline and diesel engines. Note that we are not basing the final standards on a targeted switch in the mix of diesel and gasoline vehicles. We believe our final standards require similar levels of technology development and cost for both diesel and gasoline vehicles. Hence the final program does not force, nor does it discourage, changes in a manufacturer's fleet mix between gasoline and diesel vehicles. Although we considered setting a single standard based on the performance level possible for diesel vehicles, we are not finalizing such an approach because the potential disruption in the HD pickup and van market from a forced shift would not be justified. Types of engine technologies that improve fuel efficiency and reduce CO
                        <E T="52">2</E>
                         emissions include the following:
                    </P>
                    <P>
                        • 
                        <E T="03">Low-friction lubricants</E>
                        —low viscosity and advanced low friction lubricants oils are now available with improved performance and better lubrication. If manufacturers choose to make use of these lubricants, they would need to make engine changes and possibly conduct durability testing to accommodate the low-friction lubricants.
                    </P>
                    <P>
                        • 
                        <E T="03">Reduction of engine friction losses</E>
                        —can be achieved through low-tension piston rings, roller cam followers, improved material coatings, more optimal thermal management, piston surface treatments, and other improvements in the design of engine components and subsystems that improve engine operation.
                    </P>
                    <P>
                        • 
                        <E T="03">Cylinder deactivation—</E>
                        deactivates the intake and exhaust valves and prevents fuel injection into some cylinders during light-load operation. 
                        <PRTPAGE P="57221"/>
                        The engine runs temporarily as though it were a smaller engine which substantially reduces pumping losses.
                    </P>
                    <P>
                        • 
                        <E T="03">Variable valve timing</E>
                        —alters the timing of the intake valve, exhaust valve, or both, primarily to reduce pumping losses, increase specific power, and control residual gases.
                    </P>
                    <P>
                        • 
                        <E T="03">Stoichiometric gasoline direct-injection technology</E>
                        —injects fuel at high pressure directly into the combustion chamber to improve cooling of the air/fuel charge within the cylinder, which allows for higher compression ratios and increased thermodynamic efficiency.
                    </P>
                    <P>
                        • 
                        <E T="03">Diesel engine improvements and diesel aftertreatment improvements</E>
                        —improved EGR systems and advanced timing can provide more efficient combustion and, hence, lower fuel consumption. Aftertreatment systems are a relatively new technology on diesel vehicles and, as such, improvements are expected in coming years that allow the effectiveness of these systems to improve while reducing the fuel and reductant demands of current systems.
                    </P>
                    <P>Types of transmission technologies considered include:</P>
                    <P>
                        • 
                        <E T="03">Improved automatic transmission controls</E>
                         —optimizes shift schedule to maximize fuel efficiency under wide ranging conditions, and minimizes losses associated with torque converter slip through lock-up or modulation.
                    </P>
                    <P>
                        • 
                        <E T="03">Six-, seven-, and eight-speed automatic transmissions</E>
                        —the gear ratio spacing and transmission ratio are optimized for a broader range of engine operating conditions specific to the mating engine.
                    </P>
                    <P>Types of vehicle technologies considered include:</P>
                    <P>
                        • 
                        <E T="03">Low-rolling-resistance tires</E>
                        —have characteristics that reduce frictional losses associated with the energy dissipated in the deformation of the tires under load, therefore improving fuel efficiency and reducing CO
                        <E T="52">2</E>
                         emissions.
                    </P>
                    <P>
                        • 
                        <E T="03">Aerodynamic drag reduction</E>
                        —is achieved by changing vehicle shape or reducing frontal area, including skirts, air dams, underbody covers, and more aerodynamic side view mirrors.
                    </P>
                    <P>
                        • 
                        <E T="03">Mass reduction and material substitution—</E>
                        Mass reduction encompasses a variety of techniques ranging from improved design and better component integration to application of lighter and higher-strength materials. Mass reduction is further compounded by reductions in engine power and ancillary systems (transmission, steering, brakes, suspension, 
                        <E T="03">etc.</E>
                        ). The agencies recognize there is a range of diversity and complexity for mass reduction and material substitution technologies and there are many techniques that automotive suppliers and manufacturers are using to achieve the levels of this technology that the agencies have modeled in our analysis for this program.
                    </P>
                    <P>Types of electrification/accessory and hybrid technologies considered include:</P>
                    <P>
                        • 
                        <E T="03">Electric power steering and Electro-Hydraulic power steering</E>
                        —are electrically-assisted steering systems that have advantages over traditional hydraulic power steering because it replaces a continuously operated hydraulic pump, thereby reducing parasitic losses from the accessory drive.
                    </P>
                    <P>
                        • 
                        <E T="03">Improved accessories</E>
                        —may include high efficiency alternators, electrically driven (
                        <E T="03">i.e.,</E>
                         on-demand) water pumps and cooling fans. This excludes other electrical accessories such as electric oil pumps and electrically driven air conditioner compressors.
                    </P>
                    <P>
                        • 
                        <E T="03">Air Conditioner Systems</E>
                        —These technologies include improved hoses, connectors and seals for leakage control. They also include improved compressors, expansion valves, heat exchangers and the control of these components for the purposes of improving tailpipe CO
                        <E T="52">2</E>
                         emissions as a result of A/C use.
                        <SU>250</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>250</SU>
                             
                            <E T="03">See</E>
                             RIA Chapter 2.3 for more detailed technology descriptions.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(2) How did the agencies determine the costs and effectiveness of each of these technologies?</HD>
                    <P>Building on the technical analysis underlying the light-duty 2012-2016 MY vehicle rule, the agencies took a fresh look at technology cost and effectiveness values for purposes of this final action. For costs, the agencies reconsidered both the direct or “piece” costs and indirect costs of individual components of technologies. For the direct costs, the agencies followed a bill of materials (BOM) approach employed by NHTSA and EPA in the light-duty rule.</P>
                    <P>
                        For two technologies, stoichiometric gasoline direct injection (SGDI) and turbocharging with engine downsizing, the agencies relied to the extent possible on the available tear-down data and scaling methodologies used in EPA's ongoing study with FEV, Incorporated. This study consists of complete system tear-down to evaluate technologies down to the nuts and bolts to arrive at very detailed estimates of the costs associated with manufacturing them.
                        <SU>251</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>251</SU>
                             U.S. Environmental Protection Agency, “Draft Report—Light-Duty Technology Cost Analysis Pilot Study,” Contract No. EP-C-07-069, Work Assignment 1-3, September 3, 2009.
                        </P>
                    </FTNT>
                    <P>For the other technologies, considering all sources of information and using the BOM approach, the agencies worked together intensively to determine component costs for each of the technologies and build up the costs accordingly. Where estimates differ between sources, we have used engineering judgment to arrive at what we believe to be the best cost estimate available today, and explained the basis for that exercise of judgment.</P>
                    <P>
                        Once costs were determined, they were adjusted to ensure that they were all expressed in 2009 dollars using a ratio of gross domestic product (GDP) values for the associated calendar years,
                        <SU>252</SU>
                        <FTREF/>
                         and indirect costs were accounted for using the new approach developed by EPA and used in the light-duty 2012-2016 MY vehicle rule. NHTSA and EPA also reconsidered how costs should be adjusted by modifying or scaling content assumptions to account for differences across the range of vehicle sizes and functional requirements, and adjusted the associated material cost impacts to account for the revised content, although some of these adjustments may be different for each agency due to the different vehicle subclasses used in their respective models.
                    </P>
                    <FTNT>
                        <P>
                            <SU>252</SU>
                             NHTSA examined the use of the CPI multiplier instead of GDP for adjusting these dollar values, but found the difference to be exceedingly small—only $0.14 over $100.
                        </P>
                    </FTNT>
                    <P>
                        Regarding estimates for technology effectiveness, NHTSA and EPA used the estimates from the light-duty rule as a baseline but adjusted them as appropriate, taking into account the unique requirement of the heavy-duty test cycles to test at curb weight plus half payload versus the light-duty requirement of curb plus 300 lb. The adjustments were made on an individual technology basis by assessing the specific impact of the added load on each technology when compared to the use of the technology on a light-duty vehicle. The agencies also considered other sources such as the 2010 NAS Report, recent CAFE compliance data, and confidential manufacturer estimates of technology effectiveness. NHTSA and EPA engineers reviewed effectiveness information from the multiple sources for each technology and ensured that such effectiveness estimates were based on technology hardware consistent with the BOM components used to estimate costs. Together, the agencies compared the multiple estimates and assessed their validity, taking care to ensure that common BOM definitions and other 
                        <PRTPAGE P="57222"/>
                        vehicle attributes such as performance and drivability were taken into account.
                    </P>
                    <P>
                        The agencies note that the effectiveness values estimated for the technologies may represent average values applied to the baseline fleet described earlier, and do not reflect the potentially-limitless spectrum of possible values that could result from adding the technology to different vehicles. For example, while the agencies have estimated an effectiveness of 0.5 percent for low friction lubricants, each vehicle could have a unique effectiveness estimate depending on the baseline vehicle's oil viscosity rating. Similarly, the reduction in rolling resistance (and thus the improvement in fuel efficiency and the reduction in CO
                        <E T="52">2</E>
                         emissions) due to the application of LRR tires depends not only on the unique characteristics of the tires originally on the vehicle, but on the unique characteristics of the tires being applied, characteristics which must be balanced between fuel efficiency, safety, and performance. Aerodynamic drag reduction is much the same—it can improve fuel efficiency and reduce CO
                        <E T="52">2</E>
                         emissions, but it is also highly dependent on vehicle-specific functional objectives. For purposes of this NPRM, NHTSA and EPA believe that employing average values for technology effectiveness estimates is an appropriate way of recognizing the potential variation in the specific benefits that individual manufacturers (and individual vehicles) might obtain from adding a fuel-saving technology.
                    </P>
                    <P>The following section contains a detailed description of our assessment of vehicle technology cost and effectiveness estimates. The agencies note that the technology costs included in this NPRM take into account only those associated with the initial build of the vehicle.</P>
                    <HD SOURCE="HD3">(a) Engine Technologies</HD>
                    <P>NHTSA and EPA have reviewed the engine technology estimates used in the light-duty rule. In doing so NHTSA and EPA reconsidered all available sources and updated the estimates as appropriate. The section below describes both diesel and gasoline engine technologies considered for this program.</P>
                    <HD SOURCE="HD3">(i) Low Friction Lubricants</HD>
                    <P>
                        One of the most basic methods of reducing fuel consumption in both gasoline and diesel engines is the use of lower viscosity engine lubricants. More advanced multi-viscosity engine oils are available today with improved performance in a wider temperature band and with better lubricating properties. This can be accomplished by changes to the oil base stock (
                        <E T="03">e.g.,</E>
                         switching engine lubricants from a Group I base oils to lower-friction, lower viscosity Group III synthetic) and through changes to lubricant additive packages (
                        <E T="03">e.g.,</E>
                         friction modifiers and viscosity improvers). The use of 5W-30 motor oil is now widespread and auto manufacturers are introducing the use of even lower viscosity oils, such as 5W-20 and 0W-20, to improve cold-flow properties and reduce cold start friction. However, in some cases, changes to the crankshaft, rod and main bearings and changes to the mechanical tolerances of engine components may be required. In all cases, durability testing would be required to ensure that durability is not compromised. The shift to lower viscosity and lower friction lubricants will also improve the effectiveness of valvetrain technologies such as cylinder deactivation, which rely on a minimum oil temperature (viscosity) for operation.
                    </P>
                    <P>Based on the light-duty 2012-2016 MY vehicle rule, and previously-received confidential manufacturer data, NHTSA and EPA estimated the effectiveness of low friction lubricants to be between 0 to 1 percent.</P>
                    <P>
                        In the light-duty rule, the agencies estimated the cost of moving to low friction lubricants at $3 per vehicle (2007$). That estimate included a markup of 1.11 for a low complexity technology. For HD pickups and vans, we are using the same base estimate but have marked it up to 2009 dollars using the GDP price deflator and have used a markup of 1.24 for a low complexity technology to arrive at a value of $4 per vehicle. As in the light-duty rule, learning effects are not applied to costs for this technology and, as such, this estimate applies to all model years.
                        <E T="51">253 254</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>253</SU>
                             Note that throughout the cost estimates for this HD analysis, the agencies have used slightly higher markups than those used in the 2012-2016 MY light-duty vehicle rule. The new, slightly higher ICMs include return on capital of roughly 6%, a factor that was not included in the light-duty analysis. The markups are also higher than those used the in proposal for this action. That change has to do with our decision to base the ICMs solely on EPA internal work rather than averaging that work with earlier work done under contract to EPA by RTI, International. That change is discussed in Section VIII.C of this preamble and is detailed in Chapter 2 of the RIA (
                            <E T="03">See</E>
                             RIA 2.2.1)
                        </P>
                        <P>
                            <SU>254</SU>
                             Note that the costs developed for low friction lubes for this analysis reflect the costs associated with any engine changes that would be required as well as any durability testing that may be required.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(ii) Engine Friction Reduction</HD>
                    <P>
                        In addition to low friction lubricants, manufacturers can also reduce friction and improve fuel consumption by improving the design of both diesel and gasoline engine components and subsystems. Approximately 10 percent of the energy consumed by a vehicle is lost to friction, and just over half is due to frictional losses within the engine.
                        <SU>255</SU>
                        <FTREF/>
                         Examples include improvements in low-tension piston rings, piston skirt design, roller cam followers, improved crankshaft design and bearings, material coatings, material substitution, more optimal thermal management, and piston and cylinder surface treatments. Additionally, as computer-aided modeling software continues to improve, more opportunities for evolutionary friction reductions may become available.
                    </P>
                    <FTNT>
                        <P>
                            <SU>255</SU>
                             “Impact of Friction Reduction Technologies on Fuel Economy,” Fenske, G. Presented at the March 2009 Chicago Chapter Meeting of the `Society of Tribologists and Lubricated Engineers' Meeting, March 18th, 2009. Available at: 
                            <E T="03">http://www.chicagostle.org/program/2008-2009/Impact%20of%20Friction%20Reduction%20Technologies%20on%20Fuel%20Economy%20-%20with%20VGs%20removed.pdf</E>
                             (last accessed July 9, 2009).
                        </P>
                    </FTNT>
                    <P>All reciprocating and rotating components in the engine are potential candidates for friction reduction, and minute improvements in several components can add up to a measurable fuel efficiency improvement. The light-duty 2012-2106 MY vehicle rule, the 2010 NAS Report, and NESCCAF and Energy and Environmental Analysis reports, as well as confidential manufacturer data, indicate a range of effectiveness for engine friction reduction to be between 1 to 3 percent. NHTSA and EPA continue to believe that this range is accurate.</P>
                    <P>Consistent with the light-duty rule, the agencies estimate the cost of this technology at $15 per cylinder compliance cost (2008$), including the low complexity ICM markup value of 1.24. Learning impacts are not applied to the costs of this technology and, as such, this estimate applies to all model years. This cost is multiplied by the number of engine cylinders.</P>
                    <HD SOURCE="HD3">(iii) Coupled Cam Phasing</HD>
                    <P>
                        Valvetrains with coupled (or coordinated) cam phasing can modify the timing of both the inlet valves and the exhaust valves an equal amount by phasing the camshaft of an overhead valve engine. For overhead valve engines, which have only one camshaft to actuate both inlet and exhaust valves, couple cam phasing is the only variable valve timing implementation option available and requires only one cam phaser. Based on the light-duty rule, previously-received confidential manufacturer data, and the NESCCAF report, NHTSA and EPA estimated the effectiveness of couple cam phasing to be between 1 and 4 percent. NHTSA 
                        <PRTPAGE P="57223"/>
                        and EPA reviewed this estimate for purposes of the NPRM, and continue to find it accurate.
                    </P>
                    <P>The agencies received comments questioning the exclusion of cam phasing from the technology packages. During the rulemaking process, manufacturers introduced many new or updated gasoline engines resulting in the majority of the 2010 gasoline heavy-duty engines including cam phasing, and so we now consider this technology to be in the baseline fleet. Because of this, the baseline analysis of technology for the 2010 heavy-duty gasoline fleet already includes the benefits of cam phasing and therefore it is not appropriate for the agencies to include this as a technology that is available for most manufactures to add to their current gasoline engines.</P>
                    <HD SOURCE="HD3">(iv) Cylinder Deactivation</HD>
                    <P>In conventional spark-ignited engines throttling the airflow controls engine torque output. At partial loads, efficiency can be improved by using cylinder deactivation instead of throttling. Cylinder deactivation can improve engine efficiency by disabling or deactivating (usually) half of the cylinders when the load is less than half of the engine's total torque capability—the valves are kept closed, and no fuel is injected—as a result, the trapped air within the deactivated cylinders is simply compressed and expanded as an air spring, with reduced friction and heat losses. The active cylinders combust at almost double the load required if all of the cylinders were operating. Pumping losses are significantly reduced as long as the engine is operated in this “part-cylinder” mode.</P>
                    <P>Cylinder deactivation control strategy relies on setting maximum manifold absolute pressures or predicted torque within a range in which it can deactivate the cylinders. Noise and vibration issues reduce the operating range to which cylinder deactivation is allowed, although manufacturers are exploring vehicle changes that enable increasing the amount of time that cylinder deactivation might be suitable. Some manufacturers may choose to adopt active engine mounts and/or active noise cancellations systems to address Noise Vibration and Harshness (NVH) concerns and to allow a greater operating range of activation. Cylinder deactivation is a technology keyed to more lightly loaded operation, and so may be a less likely technology choice for manufacturers designing for effectiveness in the loaded condition required for testing, and in the real world that involves frequent operation with heavy loads.</P>
                    <P>Cylinder deactivation has seen a recent resurgence thanks to better valvetrain designs and engine controls. General Motors and Chrysler Group have incorporated cylinder deactivation across a substantial portion of their light-duty V8-powered lineups.</P>
                    <P>Effectiveness improvements scale roughly with engine displacement-to-vehicle weight ratio: The higher displacement-to-weight vehicles, operating at lower relative loads for normal driving, have the potential to operate in part-cylinder mode more frequently. For heavy-duty vehicles tested and operated at loaded conditions, the power to weight ratio is considerably lower than the light-duty case greatly reducing the opportunity for “part-cylinder” mode and therefore was not considered in this rulemaking as an effective technology for heavy-duty pickup truck and van applications.</P>
                    <HD SOURCE="HD3">(v) Stoichiometric Gasoline Direct Injection</HD>
                    <P>SGDI engines inject fuel at high pressure directly into the combustion chamber (rather than the intake port in port fuel injection). SGDI requires changes to the injector design, an additional high pressure fuel pump, new fuel rails to handle the higher fuel pressures and changes to the cylinder head and piston crown design. Direct injection of the fuel into the cylinder improves cooling of the air/fuel charge within the cylinder, which allows for higher compression ratios and increased thermodynamic efficiency without the onset of combustion knock. Recent injector design advances, improved electronic engine management systems and the introduction of multiple injection events per cylinder firing cycle promote better mixing of the air and fuel, enhance combustion rates, increase residual exhaust gas tolerance and improve cold start emissions. SGDI engines achieve higher power density and match well with other technologies, such as boosting and variable valvetrain designs.</P>
                    <P>Several manufacturers have recently introduced vehicles with SGDI engines, including GM and Ford and have announced their plans to increase dramatically the number of SGDI engines in their portfolios.</P>
                    <P>The light-duty 2012-2016 MY vehicle rule estimated the range of 1 to 2 percent for SGDI. NHTSA and EPA reviewed this estimate for purposes of the NPRM, and continue to find it accurate.</P>
                    <P>Consistent with the light-duty rule, NHTSA and EPA cost estimates for SGDI take into account the changes required to the engine hardware, engine electronic controls, ancillary and NVH mitigation systems. Through contacts with industry NVH suppliers, and manufacturer press releases, the agencies believe that the NVH treatments will be limited to the mitigation of fuel system noise, specifically from the injectors and the fuel lines. For this analysis, the agencies have estimated the costs at $481 (2009$) in the 2014 model year. Flat-portion of the curve learning is applied to this technology. This technology was considered for gasoline engines only, as diesel engines already employ direct injection.</P>
                    <HD SOURCE="HD3">(b) Diesel Engine Technologies</HD>
                    <P>
                        Diesel engines have several characteristics that give them superior fuel efficiency compared to conventional gasoline, spark-ignited engines. Pumping losses are much lower due to lack of (or greatly reduced) throttling. The diesel combustion cycle operates at a higher compression ratio, with a very lean air/fuel mixture, and turbocharged light-duty diesels typically achieve much higher torque levels at lower engine speeds than equivalent-displacement naturally-aspirated gasoline engines. Additionally, diesel fuel has a higher energy content per gallon.
                        <SU>256</SU>
                        <FTREF/>
                         However, diesel fuel also has a higher carbon to hydrogen ratio, which increases the amount of CO
                        <E T="52">2</E>
                         emitted per gallon of fuel used by approximately 15 percent over a gallon of gasoline.
                    </P>
                    <FTNT>
                        <P>
                            <SU>256</SU>
                             Burning one gallon of diesel fuel produces about 15 percent more carbon dioxide than gasoline due to the higher density and carbon to hydrogen ratio.
                        </P>
                    </FTNT>
                    <P>Based on confidential business information and the 2010 NAS Report, two major areas of diesel engine design will be improved during the 2014-2018 time frame. These areas include aftertreatment improvements and a broad range of engine improvements.</P>
                    <HD SOURCE="HD3">(i) Aftertreatment Improvements</HD>
                    <P>
                        The HD diesel pickup and van segment has largely adopted the SCR type of aftertreatment system to comply with criteria pollutant emission standards. As the experience base for SCR expands over the next few years, many improvements in this aftertreatment system such as construction of the catalyst, thermal management, and reductant optimization will result in a significant reduction in the amount of fuel used in the process. This technology was not considered in the light-duty rule. Based on confidential business information, 
                        <PRTPAGE P="57224"/>
                        EPA and NHTSA estimate the reduction in CO
                        <E T="52">2</E>
                         as a result of these improvements at 3 to 5 percent.
                    </P>
                    <P>
                        The agencies have estimated the cost of this technology at $25 for each percentage improvement in fuel consumption. This estimate is based on the agencies' belief that this technology is, in fact, a very cost effective approach to improving fuel consumption. As such, $25 per percent improvement is considered a reasonable cost. This cost would cover the engineering and test cell related costs necessary to develop and implement the improved control strategies that would allow for the improvements in fuel consumption. Importantly, the engineering work involved would be expected to result in cost savings to the aftertreatment and control hardware (lower platinum group metal loadings, lower reductant dosing rates, 
                        <E T="03">etc.</E>
                        ). Those savings are considered to be included in the $25 per percent estimate described here. Given the 4 percent average expected improvement in fuel consumption results in an estimated cost of $119 (2009$) for a 2014 model year truck or van. This estimate includes a low complexity ICM of 1.24 and flat-portion of the curve learning from 2012 forward.
                    </P>
                    <HD SOURCE="HD3">(ii) Engine Improvements</HD>
                    <P>
                        Diesel engines in the HD pickup and van segment are expected to have several improvements in their base design in the 2014-2018 time frame. These improvements include items such as improved combustion management, optimal turbocharger design, and improved thermal management. This technology was not considered in the light-duty rule. Based on confidential business information, EPA and NHTSA estimate the reduction in CO
                        <E T="52">2</E>
                         as a result of these improvements at 4 to 6 percent.
                    </P>
                    <P>The cost for this technology includes costs associated with low temperature exhaust gas recirculation, improved turbochargers and improvements to other systems and components. These costs are considered collectively in our costing analysis and termed “diesel engine improvements.” The agencies have estimated the cost of diesel engine improvements at $148 based on the cost estimates for several individual technologies. Specifically, the direct manufacturing costs we have estimated are: improved cylinder head, $9; turbo efficiency improvements, $16; EGR cooler improvements, $3; higher pressure fuel rail, $10; improved fuel injectors, $13; improved pistons, $2; and reduced valve train friction, $95. All values are in 2009 dollars and are applicable in the 2014 MY. Applying a low complexity ICM of 1.24 results in a cost of $184 (2009$) applicable in the 2014 MY. We consider flat-portion of the curve learning to be appropriate for these technologies.</P>
                    <HD SOURCE="HD3">(c) Transmission Technologies</HD>
                    <P>NHTSA and EPA have also reviewed the transmission technology estimates used in the light-duty rule. In doing so, NHTSA and EPA considered or reconsidered all available sources and updated the estimates as appropriate. The section below describes each of the transmission technologies considered for the final standards.</P>
                    <HD SOURCE="HD3">(i) Improved Automatic Transmission Control (Aggressive Shift Logic and Early Torque Converter Lockup)</HD>
                    <P>
                        Calibrating the transmission shift schedule to upshift earlier and quicker, and to lock-up or partially lock-up the torque converter under a broader range of operating conditions can reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions. However, this operation can result in a perceptible degradation in NVH. The degree to which NVH can be degraded before it becomes noticeable to the driver is strongly influenced by characteristics of the vehicle, and although it is somewhat subjective, it always places a limit on how much fuel consumption can be improved by transmission control changes. Given that the Aggressive Shift Logic and Early Torque Converter Lockup are best optimized simultaneously due to the fact that adding both of them primarily requires only minor modifications to the transmission or calibration software, these two technologies are combined in the modeling. We consider these technologies to be present in the baseline, since 6-speed automatic transmissions are installed in the majority of Class 2b and 3 trucks in the 2010 model year time frame.
                    </P>
                    <HD SOURCE="HD3">(ii) Automatic 6- and 8-Speed Transmissions</HD>
                    <P>Manufacturers can also choose to replace 4- 5- and 6-speed automatic transmissions with 8-speed automatic transmissions. Additional ratios allow for further optimization of engine operation over a wider range of conditions, but this is subject to diminishing returns as the number of speeds increases. As additional planetary gear sets are added (which may be necessary in some cases to achieve the higher number of ratios), additional weight and friction are introduced. Also, the additional shifting of such a transmission can be perceived as bothersome or busy to some consumers, so manufacturers need to develop strategies for smooth shifts. Some manufacturers are replacing 4- and 5-speed automatics with 6-speed automatics already, and 7- and 8-speed automatics have entered production in light-duty vehicles, albeit in lower-volume applications in luxury and performance oriented cars.</P>
                    <P>
                        As discussed in the light-duty rule, confidential manufacturer data projected that 6-speed transmissions could incrementally reduce fuel consumption by 0 to 5 percent from a 4-speed automatic transmission, while an 8-speed transmission could incrementally reduce fuel consumption by up to 6 percent from a 4-speed automatic transmission. GM has publicly claimed a fuel economy improvement of up to 4 percent for its new 6-speed automatic transmissions.
                        <SU>257</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>257</SU>
                             General Motors, news release, “From Hybrids to Six-Speeds, Direct Injection And More, GM's 2008 Global Powertrain Lineup Provides More Miles with Less Fuel” (released Mar. 6, 2007). Available at 
                            <E T="03">http:// www.gm.com/ experience/ fuel_ economy/ news/ 2007/ adv_ engines/ 2008- powertrain- lineup- 082707.jsp</E>
                             (last accessed Sept. 18, 2008).
                        </P>
                    </FTNT>
                    <P>NHTSA and EPA reviewed and revised these effectiveness estimates based on actual usage statistics and testing methods for these vehicles along with confidential business information. When combined with improved automatic transmission control, the agencies estimate the effectiveness for a conversion from a 4- to a 6-speed transmission to be 5.3 percent and a conversion from a 6- to 8-speed transmission to be 1.7 percent. While 8-speed transmissions were not considered in the light-duty 2012-2016 MY vehicle rule, they are considered as a technology of choice for this analysis in that manufacturers are expected to upgrade the 6-speed automatic transmissions being implemented today with 8-speed automatic transmissions in the 2014-2018 time frame. We are estimating the cost of an 8-speed automatic transmission at $281 (2009$) relative to a 6-speed automatic transmission in the 2014 model year. This estimate is based from the 2010 NAS Report and we have applied a low complexity ICM of 1.24 and flat-portion of the curve learning. This technology applies to both gasoline and diesel pickup trucks and vans.</P>
                    <HD SOURCE="HD3">(d) Electrification/Accessory Technologies</HD>
                    <HD SOURCE="HD3">(i) Electrical Power Steering or Electrohydraulic Power Steering</HD>
                    <P>
                        Electric power steering (EPS) or Electrohydraulic power steering (EHPS) provides a potential reduction in CO
                        <E T="52">2</E>
                         emissions and fuel consumption over 
                        <PRTPAGE P="57225"/>
                        hydraulic power steering because of reduced overall accessory loads. This eliminates the parasitic losses associated with belt-driven power steering pumps which consistently draw load from the engine to pump hydraulic fluid through the steering actuation systems even when the wheels are not being turned. EPS is an enabler for all vehicle hybridization technologies since it provides power steering when the engine is off. EPS may be implemented on most vehicles with a standard 12V system. Some heavier vehicles may require a higher voltage system which may add cost and complexity.
                    </P>
                    <P>The light-duty rule estimated a one to two percent effectiveness based on the 2002 NAS report for light-duty vehicle technologies, a Sierra Research report, and confidential manufacturer data. NHTSA and EPA reviewed these effectiveness estimates and found them to be accurate, thus they have been retained for purposes of this NPRM.</P>
                    <P>NHTSA and EPA adjusted the EPS cost for the current rulemaking based on a review of the specification of the system. Adjustments were made to include potentially higher voltage or heavier duty system operation for HD pickups and vans. Accordingly, higher costs were estimated for systems with higher capability. After accounting for the differences in system capability and applying the ICM markup of low complexity technology of 1.24, the estimated costs are $115 for a MY 2014 truck or van (2009$). As EPS systems are in widespread usage today, flat-portion of the curve learning is deemed applicable. EHPS systems are considered to be of equal cost and both are considered applicable to gasoline and diesel engines.</P>
                    <HD SOURCE="HD3">(ii) Improved Accessories</HD>
                    <P>
                        The accessories on an engine, including the alternator, coolant and oil pumps are traditionally mechanically-driven. A reduction in CO
                        <E T="52">2</E>
                         emissions and fuel consumption can be realized by driving the pumping accessories electrically, and only when needed (“on-demand”). Alternator improvements include internal changes resulting in lower mechanical and electrical losses combined with control logic that charges the battery at more efficient voltage levels and during conditions of available kinetic energy from the vehicle which would normally be wasted energy such as braking during vehicle decelerations.
                    </P>
                    <P>Electric water pumps and electric fans can provide better control of engine cooling. For example, coolant flow from an electric water pump can be reduced and the radiator fan can be shut off during engine warm-up or cold ambient temperature conditions which will reduce warm-up time, reduce warm-up fuel enrichment, and reduce parasitic losses.</P>
                    <P>
                        Indirect benefit may be obtained by reducing the flow from the water pump electrically during the engine warm-up period, allowing the engine to heat more rapidly and thereby reducing the fuel enrichment needed during cold starting of the engine. Further benefit may be obtained when electrification is combined with an improved, higher efficiency engine alternator. Intelligent cooling can more easily be applied to vehicles that do not typically carry heavy payloads, so larger vehicles with towing capacity present a challenge, as these vehicles have high cooling fan loads.
                        <SU>258</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>258</SU>
                             In the CAFE model, improved accessories refer solely to improved engine cooling. However, EPA has included a high efficiency alternator in this category, as well as improvements to the cooling system.
                        </P>
                    </FTNT>
                    <P>The agencies considered whether to include electric oil pump technology for the rulemaking. Because it is necessary to operate the oil pump any time the engine is running, electric oil pump technology has insignificant effect on efficiency. Therefore, the agencies decided to not include electric oil pump technology.</P>
                    <P>NHTSA and EPA jointly reviewed the estimates of 1 to 2 percent effectiveness estimates used in the light-duty rule and found them to be accurate for Improved Electrical Accessories. Consistent with the light-duty rule, the agencies have estimated the cost of this technology at $93 (2009$) including a low complexity ICM of 1.24. This cost is applicable in the 2014 model year. Improved accessory systems are in production currently and thus flat-portion of the curve learning is applied. This technology was considered for diesel pickup trucks and vans only.</P>
                    <HD SOURCE="HD3">(e) Vehicle Technologies</HD>
                    <HD SOURCE="HD3">(i) Mass Reduction</HD>
                    <P>Reducing a vehicle's mass, or down-weighting the vehicle, decreases fuel consumption by reducing the energy demand needed to overcome forces resisting motion, and rolling resistance. Manufacturers employ a systematic approach to mass reduction, where the net mass reduction is the addition of a direct component or system mass reduction plus the additional mass reduction taken from indirect ancillary systems and components, as a result of full vehicle optimization, effectively compounding or obtaining a secondary mass reduction from a primary mass reduction. For example, use of a smaller, lighter engine with lower torque-output subsequently allows the use of a smaller, lighter-weight transmission and drive line components. Likewise, the compounded weight reductions of the body, engine and drivetrain reduce stresses on the suspension components, steering components, wheels, tires and brakes, allowing further reductions in the mass of these subsystems. The reductions in unsprung masses such as brakes, control arms, wheels and tires further reduce stresses in the suspension mounting points. This produces a compounding effect of mass reductions.</P>
                    <P>
                        Estimates of the synergistic effects of mass reduction and the compounding effect that occurs along with it can vary significantly from one report to another. For example, in discussing its estimate, an Auto-Steel Partnership report states that “These secondary mass changes can be considerable—estimated at an additional 0.7 to 1.8 times the initial mass change.” 
                        <SU>259</SU>
                        <FTREF/>
                         This means for each one pound reduction in a primary component, up to 1.8 pounds can be reduced from other structures in the vehicle (
                        <E T="03">i.e.,</E>
                         a 180 percent factor). The report also discusses that a primary variable in the realized secondary weight reduction is whether or not the powertrain components can be included in the mass reduction effort, with the lower end estimates being applicable when powertrain elements are unavailable for mass reduction. However, another report by the Aluminum Association, which primarily focuses on the use of aluminum as an alternative material for steel, estimated a factor of 64 percent for secondary mass reduction even though some powertrain elements were considered in the analysis.
                        <SU>260</SU>
                        <FTREF/>
                         That report also notes that typical values for this factor vary from 50 to 100 percent. Although there is a wide variation in stated estimates, synergistic mass reductions do exist, and the effects result in tangible mass reductions. Mass reductions in a single vehicle component, for example a door side 
                        <PRTPAGE P="57226"/>
                        impact/intrusion system, may actually result in a significantly higher weight savings in the total vehicle, depending on how well the manufacturer integrates the modification into the overall vehicle design. Accordingly, care must be taken when reviewing reports on weight reduction methods and practices to ascertain if compounding effects have been considered or not.
                    </P>
                    <FTNT>
                        <P>
                            <SU>259</SU>
                             “Preliminary Vehicle Mass Estimation Using Empirical Subsystem Influence Coefficients,” Malen, D.E., Reddy, K. Auto-Steel Partnership Report, May 2007, Docket EPA-HQ-OAR-2009-0472-0169. Accessed on the Internet on May 30, 2009 at: 
                            <E T="03">http://www.a-sp.org/database/custom/Mass%20Compounding%20-%20Final%20Report.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>260</SU>
                             “Benefit Analysis: Use of Aluminum Structures in Conjunction with Alternative Powertrain Technologies in Automobiles,” Bull, M. Chavali, R., Mascarin, A., Aluminum Association Research Report, May 2008, Docket EPA-HQ-OAR-2009-0472-0168. Accessed on the Internet on April 30, 2009 at: 
                            <E T="03">http://www.autoaluminum.org/downloads/IBIS-Powertrain-Study.pdf.</E>
                        </P>
                    </FTNT>
                    <P>
                        Mass reduction is broadly applicable across all vehicle subsystems including the engine, exhaust system, transmission, chassis, suspension, brakes, body, closure panels, glazing, seats and other interior components, engine cooling systems and HVAC systems. It is estimated that up to 1.25 kilograms of secondary weight savings can be achieved for every kilogram of weight saved on a light-duty vehicle when all subsystems are redesigned to take into account the initial primary weight savings.
                        <E T="51">261 262</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>261</SU>
                             “Future Generation Passenger Compartment-Validation (ASP 241)” Villano, P.J., Shaw, J.R., Polewarczyk, J., Morgans, S., Carpenter, J.A., Yocum, A.D., in “Lightweighting Materials—FY 2008 Progress Report,” U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Vehicle Technologies Program, May 2009, Docket EPA-HQ-OAR-2009-0472-0190.
                        </P>
                        <P>
                            <SU>262</SU>
                             “Preliminary Vehicle Mass Estimation Using Empirical Subsystem Influence Coefficients,” Malen, D.E., Reddy, K. Auto-Steel Partnership Report, May 2007, Docket EPA-HQ-OAR-2009-0472-0169. Accessed on the Internet on May 30, 2009 at: 
                            <E T="03">http://www.a-sp.org/database/custom/Mass%20Compounding%20-%20Final%20Report.pdf.</E>
                        </P>
                    </FTNT>
                    <P>Mass reduction can be accomplished by proven methods such as:</P>
                    <P>
                        • 
                        <E T="03">Smart Design:</E>
                         Computer aided engineering (CAE) tools can be used to better optimize load paths within structures by reducing stresses and bending moments applied to structures. This allows better optimization of the sectional thicknesses of structural components to reduce mass while maintaining or improving the function of the component. Smart designs also integrate separate parts in a manner that reduces mass by combining functions or the reduced use of separate fasteners. In addition, some “body on frame” vehicles are redesigned with a lighter “unibody” construction.
                    </P>
                    <P>
                        • 
                        <E T="03">Material Substitution:</E>
                         Substitution of lower density and/or higher strength materials into a design in a manner that preserves or improves the function of the component. This includes substitution of high-strength steels, aluminum, magnesium or composite materials for components currently fabricated from mild steel.
                    </P>
                    <P>
                        • 
                        <E T="03">Reduced Powertrain Requirements:</E>
                         Reducing vehicle weight sufficiently allows for the use of a smaller, lighter and more efficient engine while maintaining or increasing performance. Approximately half of the reduction is due to these reduced powertrain output requirements from reduced engine power output and/or displacement, changes to transmission and final drive gear ratios. The subsequent reduced rotating mass (
                        <E T="03">e.g.,</E>
                         transmission, driveshafts/halfshafts, wheels and tires) via weight and/or size reduction of components are made possible by reduced torque output requirements.
                    </P>
                    <P>
                        • Automotive companies have largely used weight savings in some vehicle subsystems to offset or mitigate weight gains in other subsystems from increased feature content (sound insulation, entertainment systems, improved climate control, panoramic roof, 
                        <E T="03">etc.</E>
                        ).
                    </P>
                    <P>• Lightweight designs have also been used to improve vehicle performance parameters by increased acceleration performance or superior vehicle handling and braking.</P>
                    <P>
                        Many manufacturers have already announced final future products plans reducing the weight of a vehicle body through the use of high strength steel body-in-white, composite body panels, magnesium alloy front and rear energy absorbing structures reducing vehicle weight sufficiently to allow a smaller, lighter and more efficient engine. Nissan will be reducing average vehicle curb weight by 15 percent by 2015.
                        <SU>263</SU>
                        <FTREF/>
                         Ford has identified weight reductions of 250 to 750 lb per vehicle as part of its implementation of known technology within its sustainability strategy between 2011 and 2020.
                        <SU>264</SU>
                        <FTREF/>
                         Mazda plans to reduce vehicle weight by 220 pounds per vehicle or more as models are redesigned.
                        <E T="51">265 266</E>
                        <FTREF/>
                         Ducker International estimates that the average curb weight of light-duty vehicle fleet will decrease approximately 2.8 percent from 2009 to 2015 and approximately 6.5 percent from 2009 to 2020 via changes in automotive materials and increased change-over from previously used body-on-frame automobile and light-truck designs to newer unibody designs.
                        <SU>263</SU>
                         While the opportunity for mass reductions available to the light-duty fleet may not in all cases be applied directly to the heavy-duty fleet due to the different designs for the expected duty cycles of a “work” vehicle, mass reductions are still available particularly to areas unrelated to the components and systems necessary for the work vehicle aspects.
                    </P>
                    <FTNT>
                        <P>
                            <SU>263</SU>
                             “Lighten Up!,” Brooke, L., Evans, H. Automotive Engineering International, Vol. 117, No. 3, March 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>264</SU>
                             “2008/9 Blueprint for Sustainability,” Ford Motor Company. Available at: 
                            <E T="03">http://www.ford.com/go/sustainability</E>
                             (last accessed February 8, 2010).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>265</SU>
                             “Mazda to cut vehicle fuel consumption 30 percent by 2015,” Mazda press release, June 23, 2009. Available at: 
                            <E T="03">http://www.mazda.com/publicity/release/2008/200806/080623.html</E>
                             (last accessed February 8, 2010).
                        </P>
                        <P>
                            <SU>266</SU>
                             “Mazda: Don't believe hot air being emitted by hybrid hype,” Greimel, H. Automotive News, March 30, 2009.
                        </P>
                    </FTNT>
                    <P>
                        Due to the payload and towing requirements of these heavy-duty vehicles, engine downsizing was not considered in the estimates for CO
                        <E T="52">2</E>
                         reduction in the area of mass reduction and material substitution. NHTSA and EPA estimate that a 3 percent mass reduction with no engine downsizing results in a 1 percent reduction in fuel consumption. In addition, a 5 and 10 percent mass reduction with no engine downsizing result in an estimated CO
                        <E T="52">2</E>
                         reduction of 1.6 and 3.2 percent respectively. These effectiveness values are 50 percent of the light-duty rule values due to the elimination of engine downsizing for this class of vehicle.
                    </P>
                    <P>In the NPRM, EPA and NHTSA relied on three studies to estimate the cost of vehicle mass reduction. The agencies used a value of $1.32 per pound of mass reduction that was derived from a 2002 National Academy of Sciences study, a 2008 Sierra Research report, and a 2008 MIT study. The cost was estimated to be constant, independent of the level of mass reduction.</P>
                    <P>
                        The agencies along with the California Air Resources Board (CARB) have recently completed work on an Interim Joint Technical Assessment Report (TAR) that considers light-duty GHG and fuel economy standards for model years 2017 through 2025 and have continued this work to support the light-duty vehicle NPRM, which is expected to be issued this fall. Based on new information from various industry and literature sources, the TAR modified the mass reduction/cost relationship used in the light-duty 2012-2016 MY vehicle rule to begin at the origin (zero cost at zero percent mass reduction) and to have increasing cost with increasing mass reduction.
                        <SU>267</SU>
                        <FTREF/>
                         The resulting analysis showed costs for 5 percent mass reduction on light-duty vehicles to be near zero or cost parity.
                    </P>
                    <FTNT>
                        <P>
                            <SU>267</SU>
                             “Interim Joint Technical Assessment Report: Light-Duty Vehicle Greenhouse Gas Emission Standards and Corporate Average Fuel Economy Standards for Model Years 2017-2025;” September 2010; available at 
                            <E T="03">http://epa.gov/otaq/climate/regulations/ldv-ghg-tar.pdf</E>
                             and in the docket for this rule.
                        </P>
                    </FTNT>
                    <P>
                        In the proposal for heavy-duty vehicles, we estimated mass reduction costs based on the 2012-2016 light-duty analysis without accounting for the new work completed in the Interim Joint Technical Assessment and additional 
                        <PRTPAGE P="57227"/>
                        work the agencies have considered for the upcoming light-duty vehicle NPRM. Since the heavy-duty vehicle proposal, the agencies have been able to consider updated cost estimates in the context of both light-duty and heavy-duty vehicle bodies of work. While the agencies intend to discuss the additional work for the light-duty NPRM in much more detail in the documents for that rulemaking, we think it appropriate to explain here that after having considered a number of additional and highly-varying sources, the agencies believe that the cost estimates used in the TAR may have been lower than would be reasonable for HD pickups and vans, given their different and work-related uses and thus different construction as compared to the light-duty vehicles evaluated in the TAR. We do not believe that all of the weight reduction opportunities for light-duty vehicles can be applied to heavy-duty trucks. However, we do believe reductions in the following components and systems can be found that do not affect the payload and towing requirements of these heavy-duty vehicles: Body, closure panels, glazing, seats and other interior components, engine cooling systems and HVAC systems.
                    </P>
                    <P>The agencies have reviewed and considered many different mass reduction studies during the technical assessment for the heavy-duty vehicle GHG and fuel efficiency rulemaking. The agencies found that many of the studies on this topic vary considerably in their rigor, transparency, and applicability to the regulatory assessment. Having considered a variety of options, the agencies for this heavy-duty analysis have been unable to come up with a way to quantitatively evaluate the available studies. Therefore, the agencies have chosen a value within the range of the available studies that the agencies believe is reasonable. The studies and manufacturers' confidential business information relied upon in determining the final mass reduction costs are summarized in Figure 2.1, Section 2.3.6 of the RIA. Each study relied upon by the agencies in this determination has also been placed in the agencies' respective dockets. See NHTSA-2010-0079; EPA-HQ-0AR-2010-0162.</P>
                    <P>The agencies note that the NAS 2010 study provided estimates of mass reduction costs, but the agencies did not consider using the NAS 2010 study as the single source of mass reduction cost estimates because the NAS 2010 estimates were not based on literature reports that focused on trucks or were necessarily appropriate for MD/HD vehicles, and also because a variety of newer and more rigorous studies were available to the agencies than those relied upon by the NAS in developing its estimates. We note, however, that for a 5 percent reduction in mass, the NAS 2010 report estimates a per pound cost of mass reduction of $1.65.</P>
                    <P>Thus, we are estimating the direct manufacturing costs for a 5 percent mass reduction of a 6,000 lb vehicle at a range of $75-$90 per vehicle. With additional margin for uncertainty, we arrive at a direct manufacturing cost of $85-$100, which is roughly in the upper middle of the range of values that resulted from the additional and highly-varying studies mentioned above that were considered in the agencies' review. We have broken this down for application to HD pickup trucks and vans as follows: Class 2b gasoline $85, Class 2b diesel $95, Class 3 gasoline $90, and Class 3 diesel trucks $100. Applying the low complexity ICM of 1.24 results in estimated total costs for a 5 percent mass reduction applicable in the 2016 model year as follows: Class 2b gasoline $108, Class 2b diesel $121, Class 3 gasoline $115, and Class 3 diesel trucks $127. All mass reduction costs stated here are in 2009 dollars.</P>
                    <HD SOURCE="HD3">(ii) Low Rolling Resistance Tires</HD>
                    <P>
                        Tire rolling resistance is the frictional loss associated mainly with the energy dissipated in the deformation of the tires under load and thus influences fuel efficiency and CO
                        <E T="52">2</E>
                         emissions. Other tire design characteristics (
                        <E T="03">e.g.,</E>
                         materials, construction, and tread design) influence durability, traction (both wet and dry grip), vehicle handling, and ride comfort in addition to rolling resistance. A typical LRR tire's attributes would include: increased tire inflation pressure, material changes, and tire construction with less hysteresis, geometry changes (
                        <E T="03">e.g.,</E>
                         reduced aspect ratios), and reduction in sidewall and tread deflection. These changes would generally be accompanied with additional changes to suspension tuning and/or suspension design.
                    </P>
                    <P>EPA and NHTSA estimated a 1 to 2 percent increase in effectiveness with a 10 percent reduction in rolling resistance, which was based on the 2010 NAS Report findings and consistent with the light-duty rule.</P>
                    <P>
                        Based on the light-duty rule and the 2010 NAS Report, the agencies have estimated the cost for LRR tires to be $7 per Class 2b truck or van, and $10 per Class 3 truck or van (both values in 2009$ and inclusive of a 1.24 low complexity markup).
                        <SU>268</SU>
                        <FTREF/>
                         The higher cost for the Class 3 trucks and vans is due to the predominant use of dual rear tires and, thus, 6 tires per truck. Due to the commodity-based nature of this technology, cost reductions due to learning are not applied. This technology is considered applicable to both gasoline and diesel.
                    </P>
                    <FTNT>
                        <P>
                            <SU>268</SU>
                             “Tires and Passenger Vehicle Fuel Economy,” Transportation Research Board Special Report 286, National Research Council of the National Academies, 2006, Docket EPA-HQ-OAR-2009-0472-0146.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(iii) Aerodynamic Drag Reduction</HD>
                    <P>
                        Many factors affect a vehicle's aerodynamic drag and the resulting power required to move it through the air. While these factors change with air density and the square and cube of vehicle speed, respectively, the overall drag effect is determined by the product of its frontal area and drag coefficient, Cd. Reductions in these quantities can therefore reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions. Although frontal areas tend to be relatively similar within a vehicle class (mostly due to market-competitive size requirements), significant variations in drag coefficient can be observed. Significant changes to a vehicle's aerodynamic performance may need to be implemented during a redesign (
                        <E T="03">e.g.,</E>
                         changes in vehicle shape). However, shorter-term aerodynamic reductions, with a somewhat lower effectiveness, may be achieved through the use of revised exterior components (typically at a model refresh in mid-cycle) and add-on devices that currently are being applied. The latter list would include revised front and rear fascias, modified front air dams and rear valances, addition of rear deck lips and underbody panels, and lower aerodynamic drag exterior mirrors.
                    </P>
                    <P>
                        The light-duty 2012-2016 MY vehicle rule estimated that a fleet average of 10 to 20 percent total aerodynamic drag reduction is attainable which equates to incremental reductions in fuel consumption and CO
                        <E T="52">2</E>
                         emissions of 2 to 3 percent for both cars and trucks. These numbers are generally supported by confidential manufacturer data and public technical literature. For the heavy-duty truck category, a 5 to 10 percent total aerodynamic drag reduction was considered due to the different structure and use of these vehicles equating to incremental reductions in fuel consumption and CO
                        <E T="52">2</E>
                         emissions of 1 to 2 percent.
                    </P>
                    <P>
                        Consistent with the light-duty rule, the agencies have estimated the cost for this technology at $58 (2009$) including a low complexity ICM of 1.24. This cost is applicable in the 2014 model year to 
                        <PRTPAGE P="57228"/>
                        both gasoline and diesel pickup trucks and vans.
                    </P>
                    <HD SOURCE="HD3">(3) What are the projected technology packages' effectiveness and cost?</HD>
                    <P>
                        The assessment of the final technology effectiveness was developed through the use of the EPA Lumped Parameter model developed for the light-duty rule. Many of the technologies were common with the light-duty assessment but the effectiveness of individual technologies was appropriately adjusted to match the expected effectiveness when implemented in a heavy-duty application. The model then uses the individual technology effectiveness levels but then takes into account technology synergies. The model is also designed to prevent double counting from technologies that may directly or indirectly impact the same physical attribute (
                        <E T="03">e.g.,</E>
                         pumping loss reductions).
                    </P>
                    <P>
                        To achieve the levels of the final standards for gasoline and diesel powered heavy-duty vehicles, the technology packages were determined to generally require the technologies previously discussed respective to unique gasoline and diesel technologies. Although some of the technologies may already be implemented in a portion of heavy-duty vehicles, none of the technologies discussed are considered ubiquitous in the heavy-duty fleet. Also, as would be expected, the available test data shows that some vehicle models will not need the full complement of available technologies to achieve the final standards. Furthermore, many technologies can be further improved (
                        <E T="03">e.g.,</E>
                         aerodynamic improvements) from today's best levels, and so allow for compliance without needing to apply a technology that a manufacturer might deem less desirable.
                    </P>
                    <P>Technology costs for HD pickup trucks and vans are shown in Table III-11.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s100,10,10,10,10">
                        <TTITLE>Table III-11—Technology Costs for HD Pickup Trucks &amp; Vans Inclusive of Indirect Cost Markups for the 2014MY</TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Technology</CHED>
                            <CHED H="1">Class 2b gasoline</CHED>
                            <CHED H="1">Class 2b diesel</CHED>
                            <CHED H="1">Class 3 gasoline</CHED>
                            <CHED H="1">
                                Class 3
                                <LI>diesel</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Low friction lubes</ENT>
                            <ENT>$4</ENT>
                            <ENT>$4</ENT>
                            <ENT>$4</ENT>
                            <ENT>$4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Engine friction reduction</ENT>
                            <ENT>116</ENT>
                            <ENT>N/A</ENT>
                            <ENT>116</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Stoichiometric gasoline direct injection</ENT>
                            <ENT>481</ENT>
                            <ENT>N/A</ENT>
                            <ENT>481</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Engine improvements</ENT>
                            <ENT>N/A</ENT>
                            <ENT>184</ENT>
                            <ENT>N/A</ENT>
                            <ENT>184</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">8s automatic transmission (increment to 6s automatic transmission)</ENT>
                            <ENT>281</ENT>
                            <ENT>281</ENT>
                            <ENT>281</ENT>
                            <ENT>281</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Improved accessories</ENT>
                            <ENT>N/A</ENT>
                            <ENT>93</ENT>
                            <ENT>N/A</ENT>
                            <ENT>93</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Low rolling resistance tires</ENT>
                            <ENT>7</ENT>
                            <ENT>7</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Aerodynamic improvements</ENT>
                            <ENT>58</ENT>
                            <ENT>58</ENT>
                            <ENT>58</ENT>
                            <ENT>58</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Electric (or electro/hydraulic) power steering</ENT>
                            <ENT>115</ENT>
                            <ENT>115</ENT>
                            <ENT>115</ENT>
                            <ENT>115</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Aftertreatment improvements</ENT>
                            <ENT>N/A</ENT>
                            <ENT>119</ENT>
                            <ENT>N/A</ENT>
                            <ENT>119</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Mass reduction (5%)</ENT>
                            <ENT>108</ENT>
                            <ENT>121</ENT>
                            <ENT>115</ENT>
                            <ENT>127</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Air conditioning</ENT>
                            <ENT>21</ENT>
                            <ENT>21</ENT>
                            <ENT>21</ENT>
                            <ENT>21</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="03">Total</ENT>
                            <ENT>1,190</ENT>
                            <ENT>1,003</ENT>
                            <ENT>1,209</ENT>
                            <ENT>1,013</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">At 15% phase-in in 2014</ENT>
                            <ENT>179</ENT>
                            <ENT>150</ENT>
                            <ENT>180</ENT>
                            <ENT>152</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(4) Reasonableness of the Final Standards</HD>
                    <P>
                        The final standards are based on the application of the control technologies described in this section. These technologies are available within the lead time provided, as discussed in RIA Chapter 2.3. These controls are estimated to add costs of approximately $1,048 for MY 2018 heavy-duty pickups and vans. Reductions associated with these costs and technologies are considerable, estimated at a 12 percent reduction of CO
                        <E T="52">2</E>
                        eq emissions from the MY 2010 baseline for gasoline engine-equipped vehicles and 17 percent for diesel engine equipped vehicles, estimated to result in reductions of 18 MMT of CO
                        <E T="52">2</E>
                        eq emissions over the lifetimes of 2014 through 2018 MY vehicles.
                        <SU>269</SU>
                        <FTREF/>
                         The reductions are cost effective, estimated at $90 per ton of CO
                        <E T="52">2</E>
                        eq removed in 2030.
                        <SU>270</SU>
                        <FTREF/>
                         This cost is consistent with the light-duty rule which was estimated at $100 per ton of CO
                        <E T="52">2</E>
                        eq removed in 2020 excluding fuel savings. Moreover, taking into account the fuel savings associated with the program, the cost becomes −$230 per ton of CO
                        <E T="52">2</E>
                        eq (
                        <E T="03">i.e.</E>
                         a savings of $230 per ton) in 2030. The cost of controls is fully recovered due to the associated fuel savings, with a payback period in the second year of ownership, as shown in Table VIII-9 below in Section VIII. Given the large, cost effective emission reductions based on use of feasible technologies which are available in the lead time provided, plus the lack of adverse impacts on vehicle safety or utility, EPA and NHTSA regard these final standards as appropriate and consistent with our respective statutory authorities under CAA section 202(a) and NHTSA's EISA authority under 49 U.S.C. 32902(k)(2). Based on the discussion above, NHTSA believes these standards are the maximum feasible under EISA.
                    </P>
                    <FTNT>
                        <P>
                            <SU>269</SU>
                             
                            <E T="03">See</E>
                             Table VI-4 of this preamble.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>270</SU>
                             
                            <E T="03">See</E>
                             Table 0-3 of this preamble.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(5) Alternative HD Pickup Truck and Van Standards Considered</HD>
                    <P>The agencies rejected consideration of any less stringent standards given that the standards adopted are feasible at reasonable cost and cost-effectiveness within the lead time of the program. Furthermore, as explained above, because the standards are premised on 100 percent application of available technologies during this period, the agencies rejected adoption of more stringent standards. The agencies have also explained above why the phase-in period for the standards is reasonable and that attempting more aggressive phase-ins would start to force changes outside normal redesign cycles at likely exorbitant cost.</P>
                    <HD SOURCE="HD2">C. Class 2b-8 Vocational Vehicles</HD>
                    <P>
                        Vocational vehicles cover a wide variety of applications which influence both the body style and usage patterns. They also are built using a complex process, which includes additional entities such as body builders. These factors create special sensitivity to 
                        <PRTPAGE P="57229"/>
                        concerns of needed lead time, as well as developing standards that do not interfere with vocational vehicles' utility. The agencies are adopting a standard for vocational vehicles for the first phase of the program that relies on less extensive addition of technology than do the other regulatory categories as well as making the chassis manufacturer the manufacturer subject to the standard. We intend that future rulemakings will consider increased stringency and possibly more application-specific standards. The agencies are also finalizing standards for the diesel and gasoline engines installed in vocational vehicles, similar to those discussed above for HD engines installed in Class 7 and 8 tractors.
                    </P>
                    <HD SOURCE="HD3">
                        (1) What technologies did the agencies consider to reduce the CO
                        <E T="52">2</E>
                         emissions and fuel consumption of vocational vehicles?
                    </HD>
                    <P>Similar to the approach taken with tractors, the agencies evaluated aerodynamic, tire, idle reduction, weight reduction, hybrid powertrain, and engine technologies and their impact on reducing fuel consumption and GHG emissions. The engines used in vocational vehicles include both gasoline and diesel engines, thus, each type is discussed separately below. As explained in Section II.D.1.b, the final regulatory structure for heavy-duty engines separates the compression ignition (or “diesel”) engines into three regulatory subcategories—light heavy, medium heavy, and heavy heavy diesel engines—while spark ignition (or “gasoline”) engines are a single regulatory subcategory (an approach for which there was consensus in the public comments). Therefore, the subsequent discussion will assess each type of engine separately.</P>
                    <HD SOURCE="HD3">(a) Vehicle Technologies</HD>
                    <P>
                        Vocational vehicles typically travel fewer miles than combination tractors. They also tend to be used in more urban locations (with consequent stop and start drive cycles). Therefore the average speed of vocational vehicles is significantly lower than combination tractors. This has a significant effect on the types of technologies that are appropriate to consider for reducing CO
                        <E T="52">2</E>
                         emissions and fuel consumption.
                    </P>
                    <P>
                        The agencies considered the type of technologies for vocational vehicles based on the energy losses of a typical vocational vehicle. The technologies are similar to the ones considered for combination tractors. Argonne National Lab conducted an energy audit using simulation tools to evaluate the energy losses of vocational vehicles, such as a Class 6 pickup and delivery truck. Argonne found that 74 percent of the energy losses are attributed to the engine, 13 percent to tires, 9 percent to aerodynamics, two percent to transmission losses, and the remaining four percent of losses to axles and accessories for a medium-duty truck traveling at 30 mph.
                        <SU>271</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>271</SU>
                             Argonne National Lab. Evaluation of Fuel Consumption Potential of Medium and Heavy-duty Vehicles through Modeling and Simulation. October 2009. Page 89.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Low Rolling Resistance Tires:</E>
                         Tires are the second largest contributor to energy losses of vocational vehicles, as found in the energy audit conducted by Argonne National Lab (as just mentioned). The range of rolling resistance of tires used on vocational vehicles today is large. This is in part due to the fact that the competitive pressure to improve rolling resistance of vocational vehicle tires has been less than that found in the line haul tire market. In addition, the drive cycles typical for these applications often lead truck buyers to value tire traction and durability more heavily than rolling resistance. Therefore, the agencies concluded that a regulatory program that seeks to optimize tire rolling resistance in addition to traction and durability can bring about fuel consumption and CO
                        <E T="52">2</E>
                         emission reductions from this segment. The 2010 NAS report states that rolling resistance impact on fuel consumption reduces with mass of the vehicle and with drive cycles with more frequent starts and stops. The report found that the fuel consumption reduction opportunity for reduced rolling resistance ranged between one and three percent in the 2010 through 2020 time frame.
                        <SU>272</SU>
                        <FTREF/>
                         The agencies estimate that average rolling resistance from tires in 2010 model year can be reduced by 10 percent for 50 percent of the vehicles by 2014 model year based on the tire development achievements over the last several years in the line haul truck market.
                    </P>
                    <FTNT>
                        <P>
                            <SU>272</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 197, page 146.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Aerodynamics:</E>
                         The Argonne National lab work shows that aerodynamics has less of an impact on vocational vehicle energy losses than do engines or tires. In addition, the aerodynamic performance of a complete vehicle is significantly influenced by the body of the vehicle. The agencies are not regulating body builders in this phase of regulations for the reasons discussed in Section II. Therefore, we are not basing any of the final standards for vocational vehicles on aerodynamic improvements. Nor would aerodynamic performance be input into GEM to demonstrate compliance.
                    </P>
                    <P>
                        <E T="03">Weight Reduction:</E>
                         NHTSA and EPA are also not basing any of the final vocational vehicle standards on use of vehicle weight reduction. Thus, vehicle mass reductions are not an input into GEM. The agencies are taking this approach despite comments suggesting that the agencies make use of weight reductions for this segment, because we are unable to quantify the potential impact of weight reduction on vehicle utility in this broad segment. Vocational vehicles serve an incredibly diverse range of functions. Each of these unique vehicle functions is likely to have its own unique tradeoff between vehicle utility and the potential for vehicle mass reduction. The agencies have not been able at this time to determine the degree to which such tradeoffs exist nor the specific level of the tradeoff for each unique vehicle vocation. No commenter provided data to inform this question. Absent this information, the agencies cannot at this time project the potential for worthwhile weight reductions from vocational vehicles.
                    </P>
                    <P>
                        <E T="03">Drivetrain:</E>
                         Optimization of vehicle gearing to engine performance through selection of transmission gear ratios, final drive gear ratios and tire size can play a significant role in reducing fuel consumption and GHGs. Optimization of gear selection versus vehicle and engine speed accomplished through driver training or automated transmission gear selection can provide additional reductions. The 2010 NAS report found that the opportunities to reduce fuel consumption in heavy-duty vehicles due to transmission and driveline technologies in the 2015 time frame ranged between 2 and 8 percent.
                        <SU>273</SU>
                        <FTREF/>
                         Initially, the agencies considered reflecting transmission choices and technology in our standard setting process for both tractors and vocational vehicles (see previous discussion above on automated manual and automatic transmissions for tractors). We have however decided not to do so for the following reasons.
                    </P>
                    <FTNT>
                        <P>
                            <SU>273</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 197, pp 134 and 137.
                        </P>
                    </FTNT>
                    <P>
                        The primary factors that determine optimum gear selection are vehicle weight, vehicle aerodynamics, vehicle speed, and engine performance typically considered on a two dimensional map of engine speed and torque. For a given power demand (determined by speed, aerodynamics and vehicle mass) an optimum transmission and gearing setup will keep the engine power delivery operating at the best speed and torque points for highest engine 
                        <PRTPAGE P="57230"/>
                        efficiency. Since power delivery from the engine is the product of speed and torque a wide range of torque and speed points can be found that deliver adequate power, but only a smaller subset will provide power with peak efficiency. Said more generally, the design goal is for the transmission to deliver the needed power to the vehicle while maintaining engine operation within the engine's “sweet spot” for most efficient operation. Absent information about vehicle mass and aerodynamics (which determines road load at highway speeds) it is not possible to optimize the selection of gear ratios for lowest fuel consumption. Truck and chassis manufacturers today offer a wide range of tire sizes, final gear ratios and transmission choices so that final bodybuilders can select an optimal combination given the finished vehicle weight, general aerodynamic characteristics and expected average speed. In order to set fuel efficiency and GHG standards that would reflect these optimizations, the agencies would need to regulate a wide range of small entities that are final bodybuilders, would need to set a large number of uniquely different standards to reflect the specific weight and aerodynamic differences and finally would need test procedures to evaluate these differences that would not themselves be excessively burdensome. Finally, the agencies would need the underlying data regarding effectively all of the vocational trucks produced today in order to determine the appropriate standards. Because the market is already motivated to reach these optimizations themselves today, because we have insufficient data to determine appropriate standards, and finally, because we believe the testing burden would be unjustifiably high, we are not finalizing to reflect transmission and gear ratio optimization in our GEM or in our standard setting.
                    </P>
                    <P>Some commenters suggested that the agencies predicate the vocational vehicle standard on the use of specific transmission technologies for example automated manual transmissions believing that these mechanically more efficient designs would inherently provide better fuel efficiency and lower greenhouse gas emissions than conventional torque convertor automatic transmission designs. However as discussed above the agencies believe that the small mechanical efficiency differences between these transmission designs are relatively insignificant in the context of the dominant impact of proper gear ratio selection in determining a vehicle's overall performance. In many cases, the mechanically more efficient design may prove less effective in use if other aspects of vehicle performance (such a vehicle launch under load) compromise the selection of gear ratios. This somewhat surprising outcome can be seen most readily by looking at modern passenger cars where mechanically less efficient torque converter automatic models often produce equal or better fuel economy when compared to the more mechanically efficient manual transmission versions of the same vehicles. Given this reality, we do not believe it would be appropriate to base the vocational truck standard on the use of a particular transmission technology. In the future, if we develop a complete vehicle chassis test approach to regulating this segment, we would then be able to incorporate transmission performance as we already do for the heavy-duty pickup truck and van segment.</P>
                    <P>
                        <E T="03">Idle Reduction:</E>
                         Episodic idling by vocational vehicles occurs during the workday, unlike the overnight idling of combination tractors (see discussion in Section III.A.2.a). Vocational vehicle idling can be divided into two typical types. The first type is idling while waiting—such as during a pickup or delivery. This type of idling can be reduced through automatic engine shut-offs. The second type of idling is to accomplish PTO operation, such as compacting garbage or operating a bucket. The agencies have found only one study that quantifies the emissions due to idling conducted by Argonne National Lab based on 2002 VIUS data.
                        <SU>274</SU>
                        <FTREF/>
                         EPA conducted a work assignment to assist in characterizing PTO operations. The study of a utility truck used in two different environments (rural and urban) and a refuse hauler found that the PTO operated on average 28 percent of time relative to the total time spent driving and idling.
                        <SU>275</SU>
                        <FTREF/>
                         The use of hybrid powertrains to reduce idling is discussed below.
                    </P>
                    <FTNT>
                        <P>
                            <SU>274</SU>
                             Gaines, Linda, A. Vyas, J. Anderson (Argonne National Laboratory). 
                            <E T="03">Estimation of Fuel Use by Idling Commercial Trucks.</E>
                             January 2006.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>275</SU>
                             Southwest Research Institute. Power Take Off Cycle Development and Testing. 2010. Docket EPA-HQ-OAR-2010-0162-3335.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Hybrid Powertrains:</E>
                         Several types of vocational vehicles are well suited for hybrid powertrains. Vehicles such as utility or bucket trucks, delivery vehicles, refuse haulers, and buses have operational usage patterns with either a significant amount of stop-and-go activity or spend a large portion of their operating hours idling the main engine to operate a PTO unit. The industry is currently developing many variations of hybrid powertrain systems. The hybrids developed to date have seen fuel consumption and CO
                        <E T="52">2</E>
                         emissions reductions between 20 and 50 percent in the field. However, there are still some key issues that are restricting the penetration of hybrids, including overall system cost, battery technology, and lack of cost-effective electrified accessories. We have not predicated the standards based on the use of hybrids reflecting the still nascent level of technology development and the very small fraction of vehicle sales they would be expected to account for in this time frame—on the order of only a percent or two. Were we to overestimate the number of hybrids that could be produced, we would set a standard that is not feasible. We believe that it is more appropriate given the status of technology development and our hopes for future advancements in hybrid technologies to encourage their production through incentives. Thus, to create an incentive for early introduction of hybrid powertrains into the vocational vehicle fleet, the agencies are adopting the proposed advanced technology credits if hybrid powertrains are used as a technology to meet the vocational vehicle standard (or any other vehicle standard), as described in Section IV.
                    </P>
                    <HD SOURCE="HD3">(b) Gasoline Engine Technologies</HD>
                    <P>The gasoline (or spark ignited) engines certified and sold as loose engines into the heavy-duty truck market are typically large V8 and V10 engines produced by General Motors and Ford. The basic architecture of these engines is the same as the versions used in the heavy-duty pickup trucks and vans. Therefore, the technologies analyzed by the agencies mirror the gasoline engine technologies used in the heavy-duty pickup truck analysis in Section III.B above.</P>
                    <P>
                        Building on the technical analysis underlying the light-duty 2012-2016 MY vehicle rule, the agencies took a fresh look at technology effectiveness values for purposes of this analysis using as a starting point the estimates from that rule. The agencies then considered the impact of test procedures (such as higher test weight of HD pickup trucks and vans) on the effectiveness estimates. The agencies also considered other sources such as the 2010 NAS Report, recent CAFE compliance data, and confidential manufacturer estimates of technology effectiveness. NHTSA and EPA engineers reviewed effectiveness information from the multiple sources for each technology and ensured that such effectiveness estimates were based 
                        <PRTPAGE P="57231"/>
                        on technology hardware consistent with the BOM components used to estimate costs.
                    </P>
                    <P>The agencies note that the effectiveness values estimated for the technologies may represent average values, and do not reflect the potentially-limitless spectrum of possible values that could result from adding the technology to different vehicles. For example, while the agencies have estimated an effectiveness of 0.5 percent for low friction lubricants, each vehicle could have a unique effectiveness estimate depending on the baseline vehicle's oil viscosity rating. For purposes of this final rulemaking, NHTSA and EPA believe that employing average values for technology effectiveness estimates is an appropriate way of recognizing the potential variation in the specific benefits that individual manufacturers (and individual engines) might obtain from adding a fuel-saving technology.</P>
                    <P>
                        <E T="03">Baseline Engine:</E>
                         Similar to the gasoline engine used as the baseline in the light-duty rule, the agencies assumed the baseline engine in this segment to be a naturally aspirated, overhead valve V8 engine.
                        <SU>276</SU>
                        <FTREF/>
                         The agencies did not receive any comments regarding the baseline engine assumptions in the proposal. The following discussion of effectiveness is generally in comparison to 2010 baseline engine performance.
                    </P>
                    <FTNT>
                        <P>
                            <SU>276</SU>
                             The agencies note that baseline did not include coupled cam phasing for loose HD gasoline engines. The HD loose engines are slightly different than the ones used in the HD pickup trucks. They tend to be the older versions of the same engine.
                        </P>
                    </FTNT>
                    <P>
                        For the final rulemaking, the agencies considered the same set of technologies for loose gasoline engines at proposal. The agencies received comments which suggested that the agencies consider electrification of accessories to reduce the fuel consumption and CO
                        <E T="52">2</E>
                         emissions from heavy-duty gasoline engines. Electrification may result in a reduction in power demand, because electrically powered accessories (such as the air compressor or power steering) operate only when needed if they are electrically powered, but they impose a parasitic demand all the time if they are engine driven. In other cases, such as cooling fans or an engine's water pump, electric power allows the accessory to run at speeds independent of engine speed, which can reduce power consumption. However, technologies such as these improvements to accessories are not demonstrated using the engine dynamometer test procedures being adopted in this final rule because those systems are not installed on the engine during the testing. Thus, the technologies the agencies considered include the following:
                    </P>
                    <P>
                        <E T="03">Engine Friction Reduction:</E>
                         In addition to low friction lubricants, manufacturers can also reduce friction and improve fuel consumption by improving the design of engine components and subsystems. Examples include improvements in low-tension piston rings, piston skirt design, roller cam followers, improved crankshaft design and bearings, material coatings, material substitution, more optimal thermal management, and piston and cylinder surface treatments. The 2010 NAS, NESCCAF 
                        <SU>277</SU>
                        <FTREF/>
                         and EEA 
                        <SU>278</SU>
                        <FTREF/>
                         reports as well as confidential manufacturer data used in the light-duty vehicle rulemaking suggested a range of effectiveness for engine friction reduction to be between 1 to 3 percent. NHTSA and EPA continue to believe that this range is accurate.
                    </P>
                    <FTNT>
                        <P>
                            <SU>277</SU>
                             Northeast States Center for a Clean Air Future. “Reducing Greenhouse Gas Emissions from Light-Duty Motor Vehicles.” September 2004.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>278</SU>
                             Energy and Environmental Analysis, Inc. “Technology to Improve the Fuel Economy of Light Duty Trucks to 2015.” May 2006.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Coupled Cam Phasing:</E>
                         Valvetrains with coupled (or coordinated) cam phasing can modify the timing of both the inlet valves and the exhaust valves an equal amount by phasing the camshaft of a single overhead cam engine or an overhead valve engine. Based on the light-duty 2012-2016 MY vehicle rule, previously-received confidential manufacturer data, and the NESCCAF report, NHTSA and EPA estimated the effectiveness of couple cam phasing CCP to be between 1 and 4 percent. NHTSA and EPA reviewed this estimate for purposes of the NPRM, and continue to find it accurate.
                    </P>
                    <P>
                        <E T="03">Cylinder Deactivation:</E>
                         In conventional spark-ignited engines throttling the airflow controls engine torque output. At partial loads, efficiency can be improved by using cylinder deactivation instead of throttling. Cylinder deactivation can improve engine efficiency by disabling or deactivating (usually) half of the cylinders when the load is less than half of the engine's total torque capability—the valves are kept closed, and no fuel is injected—as a result, the trapped air within the deactivated cylinders is simply compressed and expanded as an air spring, with reduced friction and heat losses. The active cylinders combust at almost double the load required if all of the cylinders were operating. Pumping losses are significantly reduced as long as the engine is operated in this “part cylinder” mode. Effectiveness improvements scale roughly with engine displacement-to-vehicle weight ratio: The higher displacement-to-weight vehicles, operating at lower relative loads for normal driving, have the potential to operate in part-cylinder mode more frequently. Cylinder deactivation is less effective on heavily-loaded vehicles because they require more power and spend less time in areas of operation where only partial power is required. The technology also requires proper integration into the vehicles which is difficult in the vocational vehicle segment where often the engine is sold to a chassis manufacturer or body builder without knowing the type of transmission or axle used in the vehicle or the precise duty cycle of the vehicle. The cylinder deactivation requires fine tuning of the calibration as the engine moves into and out of deactivation mode to achieve acceptable NVH. Additionally, cylinder deactivation would be difficult to apply to vehicles with a manual transmission because it requires careful gear change control. NHTSA and EPA adjusted the 2012-16 MY light-duty rule estimates using updated power to weight ratings of heavy-duty trucks and confidential business information and downwardly adjusted the effectiveness to 0 to 3 percent for these vehicles to reflect the differences in drive cycle and operational opportunities compared to light-duty vehicles. Because of the complexities associated with integrating cylinder deactivation in a non-integrated vehicle assembly process and the low effectiveness of the technology, the agencies did not include cylinder deactivation in the final gasoline engine technology package.
                    </P>
                    <P>
                        <E T="03">Stoichiometric gasoline direct injection:</E>
                         SGDI (also known as spark-ignition direct injection engines) inject fuel at high pressure directly into the combustion chamber (rather than the intake port in port fuel injection). Direct injection of the fuel into the cylinder improves cooling of the air/fuel charge within the cylinder, which allows for higher compression ratios and increased thermodynamic efficiency without the onset of combustion knock. Recent injector design advances, improved electronic engine management systems and the introduction of multiple injection events per cylinder firing cycle promote better mixing of the air and fuel, enhance combustion rates, increase residual exhaust gas tolerance and improve cold start emissions. SGDI engines achieve higher power density and match well with other technologies, such as boosting and variable valvetrain designs. The light-duty 2012-2016 MY vehicle rule estimated the effectiveness 
                        <PRTPAGE P="57232"/>
                        of SGDI to be between 2 and 3 percent. NHTSA and EPA revised these estimated accounting for the use and testing methods for these vehicles along with confidential business information estimates received from manufacturers while developing the program. Based on these revisions, NHTSA and EPA estimate the range of 1 to 2 percent for SGDI.
                    </P>
                    <HD SOURCE="HD3">(c) Diesel Engine Technologies</HD>
                    <P>Different types of diesel engines are used in vocational vehicles, depending on the application. They fall into the categories of Light, Medium, and Heavy Heavy-duty Diesel engines. The Light Heavy-duty Diesel engines typically range between 4.7 and 6.7 liters displacement. The Medium Heavy-duty Diesel engines typically have some overlap in displacement with the Light Heavy-duty Diesel engines and range between 6.7 and 9.3 liters. The Heavy Heavy-duty Diesel engines typically are represented by engines between 10.8 and 16 liters.</P>
                    <P>
                        <E T="03">Baseline Engine:</E>
                         There are three baseline diesel engines, a Light, Medium, and a Heavy Heavy-duty Diesel engine. The agencies developed the baseline diesel engine as a 2010 model year engine with an aftertreatment system which meets EPA's 0.2 grams of NO
                        <E T="52">X</E>
                        /bhp-hr standard with an SCR system along with EGR and meets the PM emissions standard with a diesel particulate filter with active regeneration. The engine is turbocharged with a variable geometry turbocharger. As noted above in Section III.A.1.b, the agencies received comments from Navistar stating that the agencies used an artificially low baseline CO
                        <E T="52">2</E>
                         emissions level which was tilted toward the use of SCR aftertreatment system. As discussed in Section III.A.1.b, the agencies disagree with the statement that SCR is infeasible. Additional responses from the agencies are available in the Response to Comments document, Section 6.2.
                        <SU>279</SU>
                        <FTREF/>
                         The following discussion of technologies describes improvements over the 2010 model year baseline engine performance, unless otherwise noted. Further discussion of the baseline engine and its performance can be found in Section III.C.2.(c)(i) below. The following discussion of effectiveness is generally in comparison to 2010 baseline engine performance, and is in reference to performance in terms of the Heavy-duty FTP that would be used for compliance for these engine standards. This is in comparison to the steady state SET procedure that would be used for compliance purposes for the engines used in Class 7 and 8 tractors. 
                        <E T="03">See</E>
                         Section II.B.2.(i) above.
                    </P>
                    <FTNT>
                        <P>
                            <SU>279</SU>
                             U.S. EPA. Greenhouse Gas Emissions Standards and Fuel Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles—EPA Response to Comments Document for Joint Rulemaking. EPA-420-R-11-004. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Turbochargers:</E>
                         Improved efficiency of a turbocharger compressor or turbine could reduce fuel consumption by approximately 1 to 2 percent over today's variable geometry turbochargers in the market today. The 2010 NAS report identified technologies such as higher pressure ratio radial compressors, axial compressors, and dual stage turbochargers as design paths to improve turbocharger efficiency.
                    </P>
                    <P>
                        <E T="03">Low Temperature Exhaust Gas Recirculation:</E>
                         Most LHDD, MHDD, and HHDD engines sold in the U.S. market today use cooled EGR, in which part of the exhaust gas is routed through a cooler (rejecting energy to the engine coolant) before being returned to the engine intake manifold. EGR is a technology employed to reduce peak combustion temperatures and thus NO
                        <E T="52">X.</E>
                         Low-temperature EGR uses a larger or secondary EGR cooler to achieve lower intake charge temperatures, which tend to further reduce NO
                        <E T="52">X</E>
                         formation. If the NO
                        <E T="52">X</E>
                         requirement is unchanged, low-temperature EGR can allow changes such as more advanced injection timing that will increase engine efficiency slightly more than one percent. Because low-temperature EGR reduces the engine's exhaust temperature, it may not be compatible with exhaust energy recovery systems such as turbocompounding or a bottoming cycle.
                    </P>
                    <P>
                        <E T="03">Engine Friction Reduction:</E>
                         Reduced friction in bearings, valve trains, and the piston-to-liner interface will improve efficiency. Any friction reduction must be carefully developed to avoid issues with durability or performance capability. Estimates of fuel consumption improvements due to reduced friction range from 0.5 to 1.5 percent.
                        <SU>280</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>280</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, pg. 4-15.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Selective catalytic reduction:</E>
                         This technology is common on 2010 heavy-duty diesel engines. Because SCR is a highly effective NO
                        <E T="52">X</E>
                         aftertreatment approach, it enables engines to be optimized to maximize fuel efficiency, rather than minimize engine-out NO
                        <E T="52">X.</E>
                         2010 SCR systems are estimated to result in improved engine efficiency of approximately 4 to 5 percent compared to a 2007 in-cylinder EGR-based emissions system and by an even greater percentage compared to 2010 in-cylinder approaches.
                        <SU>281</SU>
                        <FTREF/>
                         As more effective low-temperature catalysts are developed, the NO
                        <E T="52">X</E>
                         conversion efficiency of the SCR system will increase. Next-generation SCR systems could then enable still further efficiency improvements; alternatively, these advances could be used to maintain efficiency while down-sizing the aftertreatment. We estimate that continued optimization of the catalyst could offer 1 to 2 percent reduction in fuel use over 2010 model year systems in the 2014 model year.
                        <SU>282</SU>
                        <FTREF/>
                         The agencies also estimate that continued refinement and optimization of the SCR systems could provide an additional 2 percent reduction in the 2017 model year.
                    </P>
                    <FTNT>
                        <P>
                            <SU>281</SU>
                             Stanton, D. “Advanced Diesel Engine Technology Development for High Efficiency, Clean Combustion.” Cummins, Inc. Annual Progress Report 2008 Vehicle Technologies Program: Advanced Combustion Engine Technologies, U.S. Department of Energy. Pp 113-116. December 2008.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>282</SU>
                             
                            <E T="03">See</E>
                             TIAX, Note 198, pg. 4-9
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Improved Combustion Process:</E>
                         Fuel consumption reductions in the range of 1 to 4 percent are identified in the 2010 NAS report through improved combustion chamber design, higher fuel injection pressure, improved injection shaping and timing, and higher peak cylinder pressures.
                        <SU>283</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>283</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 197, page 56.
                        </P>
                    </FTNT>
                    <P>
                        <E T="03">Reduced Parasitic Loads:</E>
                         Accessories that are traditionally gear or belt driven by a vehicle's engine can be optimized and/or converted to electric power. Examples include the engine water pump, oil pump, fuel injection pump, air compressor, power-steering pump, cooling fans, and the vehicle's air-conditioning system. Optimization and improved pressure regulation may significantly reduce the parasitic load of the water, air and fuel pumps. Electrification may result in a reduction in power demand, because electrically powered accessories (such as the air compressor or power steering) operate only when needed if they are electrically powered, but they impose a parasitic demand all the time if they are engine driven. In other cases, such as cooling fans or an engine's water pump, electric power allows the accessory to run at speeds independent of engine speed, which can reduce power consumption. The TIAX study used 2 to 4 percent fuel consumption improvement for accessory electrification, with the understanding that electrification of accessories will have more effect in short-haul/urban applications and less benefit in line-haul applications.
                        <SU>284</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>284</SU>
                             
                            <E T="03">See</E>
                             TIAX. Note 198, Pages 3-5.
                        </P>
                    </FTNT>
                    <PRTPAGE P="57233"/>
                    <HD SOURCE="HD3">(2) What is the projected technology package's effectiveness and cost?</HD>
                    <HD SOURCE="HD3">(a) Vocational Vehicles</HD>
                    <HD SOURCE="HD3">(i) Baseline Vocational Vehicle Performance</HD>
                    <P>
                        The baseline vocational vehicle model is defined in the GEM, as described in RIA Chapter 4.4.6. At proposal, the agencies used a baseline rolling resistance coefficient for today's vocational vehicle fleet of 9.0 kg/metric ton.
                        <SU>285</SU>
                        <FTREF/>
                         As discussed in Section II.D.1, the agencies conducted a tire rolling resistance evaluation of tires used in vocational vehicles. The agencies found that the average rolling resistance of the tires was lower than the agencies' assessment at proposal. Based on this new information and our understanding of the potential to improve tire rolling resistance by 2014, the agencies are setting the vocational truck standard premised on the use of tires with a rolling resistance coefficient of 7.7 kg/metric ton. This value is consistent with the average performance of the subset of tires the agencies tested. We are projecting this standard will drive a 5 percent reduction in tire rolling resistance on average across the fleet. We are projecting this 5 percent reduction based on our expectation that manufacturers will desire to bring all of their tires below the standard (not just comply on average) and knowing manufacturers will need some degree of overcompliance to ensure despite manufacturing variability and test to test variability their products are compliant with the emission standards. In order to reflect both this tighter standard (based on 7.7) and the 5 percent reduction in rolling resistance we project it will accomplish, we are modeling the baseline performance of vocational truck tires as 8.1 kg/metric ton.
                    </P>
                    <FTNT>
                        <P>
                            <SU>285</SU>
                             The baseline tire rolling resistance for this segment of vehicles was derived for the proposal based on the current baseline tractor and passenger car tires. The baseline tractor drive tire has a rolling resistance of 8.2 kg/metric ton based on SmartWay testing. The average passenger car has a tire rolling resistance of 9.75 kg/metric ton based on a presentation made to CARB by the Rubber Manufacturer's Association. As noted above, further analysis has resulted in an estimate of improved performance in the baseline fleet, which is based entirely on use of LRR tires on vocational vehicles (not cars). Additional details are available in the RIA chapter 2.
                        </P>
                    </FTNT>
                    <P>Further vehicle technology is not included in this baseline, as discussed below in the discussion of the baseline vocational vehicle. The baseline engine fuel consumption represents a 2010 model year diesel engine, as described in RIA Chapter 4. Using these values, the baseline performance of these vehicles is included in Table III-12.</P>
                    <P>
                        The agencies note that the baseline performance derived for the final rule slightly differs from the values derived for the NPRM. The first difference is due to the change in rolling resistance from 9.0 to 8.1 kg/metric ton based on the agencies' post-proposal test results. Second, there are minor differences in the fuel consumption and CO
                        <E T="52">2</E>
                         emissions due to the small modifications made to the GEM, as noted in RIA Chapter 4. In addition, the HHD vocational vehicle baseline performance for the final rule uses a revised payload assumption from 38,000 to 15,000 pounds, as described in Section II.D.3.c.iii.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,9.1,9.1,9.1">
                        <TTITLE>Table III-12—Baseline Vocational Vehicle Performance</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="2"> </CHED>
                            <CHED H="1">Vocational vehicle</CHED>
                            <CHED H="2">Heavy-duty</CHED>
                            <CHED H="2">Medium heavy-duty</CHED>
                            <CHED H="2">
                                Heavy 
                                <LI>heavy-duty</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Fuel Consumption Baseline (gallon/1,000 ton-mile)</ENT>
                            <ENT>40.0</ENT>
                            <ENT>24.3</ENT>
                            <ENT>23.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Baseline (grams CO
                                <E T="52">2</E>
                                /ton-mile)
                            </ENT>
                            <ENT>408</ENT>
                            <ENT>247</ENT>
                            <ENT>236</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(ii) Vocational Vehicle Technology Package</HD>
                    <P>The final program for vocational vehicles for this phase of regulatory standards is based on the performance of tire and engine technologies. Aerodynamics technology, weight reduction, drive train improvement, and hybrid power trains are not included for the reasons discussed above in Section III.C (1) and Section II.D.</P>
                    <P>The assessment of the final technology effectiveness was developed through the use of the GEM. To account for the two final engine standards, EPA is finalizing the use of a 2014 model year fuel consumption map in the GEM to derive the 2014 model year truck standard and a 2017 model year fuel consumption map to derive the 2017 model year truck standard. (These fuel consumption maps reflect the main standards for HD diesel engines, not the alternative engine standards.) The agencies estimate that the rolling resistance of 50 percent of the tires can be reduced by 10 percent in the 2014 model year, for an overall reduction in rolling resistance of 5 percent. The vocational vehicle standards for all three regulatory categories were determined using a tire rolling resistance coefficient of 7.7 kg/metric ton in the 2014 model year. The set of input parameters which are modeled in GEM are shown in Table III-13.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,20C,20C">
                        <TTITLE>Table III-13—GEM Inputs for Final Vocational Vehicle Standards</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2014 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Engine</ENT>
                            <ENT>2014 MY 7L for LHD/MHD and 15L for HHD Trucks</ENT>
                            <ENT>2017 MY 7L for LHD/MHD and 15L for HHD Trucks.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tire Rolling Resistance (kg/metric ton)</ENT>
                            <ENT>7.7</ENT>
                            <ENT>7.7</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        The agencies developed the final standards by using the engine and tire rolling resistance inputs in the GEM, as shown in Table III-13. The percent reductions shown in Table III-14 reflect improvements over the 2010 model year baseline vehicle with a 2010 model year baseline engine.
                        <PRTPAGE P="57234"/>
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,12,12,12">
                        <TTITLE>Table III-14—Final Vocational Vehicle Standards and Percent Reductions</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Vocational vehicle</CHED>
                            <CHED H="2">Light heavy-duty</CHED>
                            <CHED H="2">Medium heavy-duty</CHED>
                            <CHED H="2">Heavy heavy-duty</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2016 MY Fuel Consumption Standard (gallon/1,000 ton-mile)</ENT>
                            <ENT>38.1</ENT>
                            <ENT>23.0</ENT>
                            <ENT>22.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017 MY Fuel Consumption Standard (gallon/1,000 ton-mile)</ENT>
                            <ENT>36.7</ENT>
                            <ENT>22.1</ENT>
                            <ENT>21.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                2014 MY CO
                                <E T="52">2</E>
                                 Standard (grams CO
                                <E T="52">2</E>
                                /ton-mile)
                            </ENT>
                            <ENT>388</ENT>
                            <ENT>234</ENT>
                            <ENT>226</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                2017 MY CO
                                <E T="52">2</E>
                                 Standard (grams CO
                                <E T="52">2</E>
                                /ton-mile)
                            </ENT>
                            <ENT>373</ENT>
                            <ENT>225</ENT>
                            <ENT>222</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Percent Reduction from 2010 baseline in 2014 MY</ENT>
                            <ENT>5%</ENT>
                            <ENT>5%</ENT>
                            <ENT>4%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Percent Reduction from 2010 baseline in 2017 MY</ENT>
                            <ENT>8%</ENT>
                            <ENT>9%</ENT>
                            <ENT>6%</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iii) Technology Package Cost</HD>
                    <P>The agencies did not receive any substantial comments on the engine costs proposed. Thus the agencies are projecting the costs of the technologies used to develop the final standards based on the costs used in the proposal, but revised to reflect 2009$, new ICMs, and a 50 percent penetration rate of low rolling resistance tires (as explained above). EPA and NHTSA developed the costs of LRR tires based on the ICF report. The estimated cost per truck is $81 (2009$) for LHD and MHD trucks and $97 (2009$) for HHD trucks. These costs include a low complexity ICM of 1.18 and are applicable in the 2014 model year.</P>
                    <HD SOURCE="HD3">(iv) Reasonableness of the Final Vocational Vehicle Standards</HD>
                    <P>
                        The final standards would not only add only a small amount to the vehicle cost, but are highly cost effective, an estimated $20 ton of CO
                        <E T="52">2</E>
                        eq per vehicle in 2030.
                        <SU>286</SU>
                        <FTREF/>
                         This is even less than the estimated cost effectiveness for CO
                        <E T="52">2</E>
                        eq removal under the light-duty vehicle rule, already considered by the agencies to be a highly cost effective reduction.
                        <SU>287</SU>
                        <FTREF/>
                         Moreover, the modest cost of controls is recovered almost immediately due to the associated fuel savings, as shown in the payback analysis included in Table VIII-7. Given that the standards are technically feasible within the lead time afforded by the 2014 model year, are inexpensive and highly cost effective, and do not have other adverse potential impacts (
                        <E T="03">e.g.,</E>
                         there are no projected negative impacts on safety or vehicle utility), the final standards represent a reasonable choice under section 202(a) of the CAA and NHTSA's EISA authority under 49 U.S.C. 32902(k)(2), and the agencies believe that the standards are consistent with their respective authorities. Based on the discussion above, NHTSA believes these standards are the maximum feasible under EISA.
                    </P>
                    <FTNT>
                        <P>
                            <SU>286</SU>
                             
                            <E T="03">See</E>
                             Section VIII.D.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>287</SU>
                             As noted above, the light-duty rule had an estimated cost per ton of $50 when considering the vehicle program costs only and a cost of −$210 per ton considering the vehicle program costs along with fuel savings in 2030. 
                            <E T="03">See</E>
                             75 FR 25515, Table III.H.3-1.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(v) Alternative Vehicle Standards Considered</HD>
                    <P>The agencies are not finalizing vehicle standards less stringent than the final standards because the agencies believe these standards are highly cost effective, as just explained.</P>
                    <P>The agencies considered finalizing truck standards which are more stringent reflecting the inclusion of hybrid powertrains in those vocational vehicles where use of hybrid powertrains is appropriate. The agencies estimate that a 25 percent utilization rate of hybrid powertrains in MY 2017 vocational vehicles would add, on average, $30,000 to the cost of each vehicle and more than double the cost of the rule for this sector. See the RIA at chapter 6.1.8. The emission reductions associated with these very high costs appear to be modest. See the RIA Table 6-14. In addition, the agencies are finalizing flexibilities in the form of generally applicable credit opportunities for advanced technologies, to encourage use of hybrid powertrains. See Section IV.C. 2 below. Several commenters recommended that in addition to hybrid powertrains, the agencies consider setting more stringent standards based on the use of aerodynamic improvements, weight reduction, idle shutdown technologies, vehicle speed limiters, and specific transmission technologies. As described above, we are not finalizing standards based on these technologies for reasons that related to the unique nature of the very diverse vocational vehicle segment. At this time, the agencies have no means to determine the current baseline aerodynamic performance of all vocational vehicles (ranging from concrete mixers to school buses), nor a means to project to what degree the aerodynamic performance could be improved without compromising the utility of the vehicle. Absent this information, the agencies cannot set a standard based on improvements in aerodynamic performance. The agencies face similar obstacles regarding our ability to project the utility tradeoffs that may exist between limitations on vehicle speed or reductions in vehicle mass and utility and safety of vocational vehicles. We are confident the answer to those questions will differ for a school bus compared to a concrete mixer compared to a fire truck compared to an ambulance. Absent an approach to set distinct standards for each of the vocational vehicle types and the information necessary to determine the appropriate level of performance for those vehicles, the agencies cannot set standards for vocational vehicles based on the use of these technologies. For these reasons, the agencies are not adopting more comprehensive standards for vocational vehicles. The agencies do agree that at least some vocational vehicles can be made more efficient through the use of technologies, including those technologies mentioned in the comments, and the agencies fully intend to take on the challenge of developing the data, test procedures and regulatory structures necessary to set more comprehensive standards for vocational trucks in the future.</P>
                    <HD SOURCE="HD3">(b) Gasoline Engines</HD>
                    <HD SOURCE="HD3">(i) Baseline Gasoline Engine Performance</HD>
                    <P>
                        EPA and NHTSA developed the reference heavy-duty gasoline engines to represent a 2010 model year engine compliant with the 0.20 g/bhp-hr NO
                        <E T="52">X</E>
                         standard for on-highway heavy-duty engines.
                    </P>
                    <P>
                        NHTSA and EPA developed the baseline fuel consumption and CO
                        <E T="52">2</E>
                         emissions for the gasoline engines from manufacturer reported CO
                        <E T="52">2</E>
                         values used in the certification of non-GHG pollutants. The baseline engine for the analysis was developed to represent a 2011 model year engine, because this is the most current information available. The average CO
                        <E T="52">2</E>
                         performance of the heavy-duty gasoline engines was 660 g/bhp-hour, which will be used as a 
                        <PRTPAGE P="57235"/>
                        baseline. The baseline gasoline engines are all stoichiometric port fuel injected V-8 engines without cam phasers or other variable valve timing technologies. While they may reflect some degree of static valve timing optimization for fuel efficiency they do not reflect the potential to adjust timing with engine speed.
                    </P>
                    <HD SOURCE="HD3">(ii) Gasoline Engine Technology Package Effectiveness</HD>
                    <P>
                        The gasoline engine technology package includes engine friction reduction, coupled cam phasing, and SGDI to produce an overall five percent reduction from the reference engine based on the Heavy-duty Lumped Parameter model. The agencies are projecting a 100 percent application rate of this technology package to the heavy-duty gasoline engines, which results in a CO
                        <E T="52">2</E>
                         standard of 627 g/bhp-hr and a fuel consumption standard of 7.05 gallon/100 bhp-hr. As discussed in Section II.D.b.ii, the agencies are adopting gasoline engine standards that begin in the 2016 model year based on the agencies' projection of the engine redesign schedules for the small number of engines in this category.
                    </P>
                    <HD SOURCE="HD3">(iii) Gasoline Engine Technology Package Cost</HD>
                    <P>For the proposed costs, the agencies considered both the direct or “piece” costs and indirect costs of individual components of technologies. For the direct costs, the agencies followed a BOM approach employed by NHTSA and EPA in the light-duty 2012-2016 MY vehicle rule. In this final action, the agencies are using marked up gasoline engine technology costs developed for the HD Pickup Truck and Van segment because these engines are made by the same manufacturers (primarily by Ford and GM) and are simply, sold as loose engines rather than as complete vehicles. Hence the engine cost estimates are fundamentally the same. The agencies did not receive any comments recommending adjustments to the proposed gasoline engine technology costs. The costs summarized in Table III-15 are consistent with the proposed values, but updated to reflect 2009$ and new ICMs. The costs shown in Table III-15 include a low complexity ICM of 1.24 and are applicable in the 2016 model year. No learning effects are applied to engine friction reduction costs, while flat-portion of the curve learning is considered applicable to both coupled cam phasing and SGDI.</P>
                    <P/>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,8">
                        <TTITLE>Table III-15—Heavy-Duty Gasoline Engine Technology Costs Inclusive of Indirect Cost Markups </TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2016 MY</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Engine Friction Reduction</ENT>
                            <ENT>$95</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Coupled Cam Phasing</ENT>
                            <ENT>46</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="01">Stoichiometric Gas Direct Injection</ENT>
                            <ENT>452</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total</ENT>
                            <ENT>594</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iv) Reasonableness of the Final Standard</HD>
                    <P>
                        The final engine standards are reasonable and consistent with the agencies' respective authorities. With respect to the 2016 MY standard, all of the technologies on which the standards are predicated have been demonstrated and their effectiveness is well documented. The final standards reflect a 100 percent application rate for these technologies. The costs of adding these technologies remain modest across the various engine classes as shown in Table 0-15. Use of these technologies would add only a small amount to the cost of the vehicle,
                        <SU>288</SU>
                        <FTREF/>
                         and the associated reductions are highly cost effective, an estimated $20 per ton of CO
                        <E T="52">2</E>
                        eq per vehicle.
                        <SU>289</SU>
                        <FTREF/>
                         This is even more cost effective than the estimated cost effectiveness for CO
                        <E T="52">2</E>
                        eq removal and fuel economy improvement under the light-duty vehicle rule, already considered by the agencies to be a highly cost effective reduction.
                        <SU>290</SU>
                        <FTREF/>
                         Accordingly, EPA and NHTSA view these standards as reflecting an appropriate balance of the various statutory factors under section 202(a) of the CAA and under NHTSA's EISA authority at 49 U.S.C. 32902(k)(2). Based on the discussion above, NHTSA believes these standards are the maximum feasible under EISA.
                    </P>
                    <FTNT>
                        <P>
                            <SU>288</SU>
                             Sample 2010 MY vocational vehicles range in price between $40,000 for a Class 4 work truck to approximately $200,000 for a Class 8 refuse hauler. 
                            <E T="03">See</E>
                             pages 16-17 of ICF's “Investigation of Costs for Strategies to Reduce Greenhouse Gas Emissions for Heavy-Duty On-Road Vehicles.” July 2010.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>289</SU>
                             
                            <E T="03">See</E>
                             Vocational Vehicle CO
                            <E T="52">2</E>
                             savings and technology costs in Table 7-4 in RIA chapter 7.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>290</SU>
                             The light-duty rule had an estimated cost per ton of $50 when considering the vehicle program costs only and a cost of −$210 per ton considering the vehicle program costs along with fuel savings in 2030. 
                            <E T="03">See</E>
                             75 FR 25515, Table III.H.3-1.
                        </P>
                    </FTNT>
                    <P>Several commenters suggested that the lead time provided by the agencies for heavy-duty pickups and vans and by extension the 2016 gasoline engine standards were unnecessarily long. The agencies do not agree with this assessment. The technologies that we are considering here cannot simply be bolted on to an existing engine but can only be effectively applied through an integrated design and development process. The four years lead time provided here is short in the context of engine redesigns and is only possible in part because the standards align with engine manufacturers' planned redesign processes that are either just starting or will be starting within the year. These standards set a clear metric of performance for those planned redesigns and we project will lead manufacturers to include a number of technologies that would not otherwise have been incorporated into those engines.</P>
                    <HD SOURCE="HD3">(v) Alternative Gasoline Engine Standards Considered</HD>
                    <P>The agencies are not finalizing gasoline standards less stringent than the final standards because the agencies believe these standards are feasible in the lead time provided, inexpensive, and highly cost effective.</P>
                    <P>The final rule reflects 100 percent penetration of the technology package on whose performance the standard is based, so some additional technology would need to be added to obtain further improvements. The agencies considered finalizing gasoline engine standards which are more stringent reflecting the inclusion of cylinder deactivation and other advanced technologies. However, the agencies are not finalizing this level of stringency because our assessment is that these technologies cannot be adapted to the higher average engine loads of heavy-duty vehicles for production by the 2017 model year. We intend to continue to evaluate the potential for further gasoline engine improvements building on the work done for light-duty passenger cars and trucks as we begin work on the next phase of heavy-duty regulations.</P>
                    <HD SOURCE="HD3">(c) Diesel Engines</HD>
                    <HD SOURCE="HD3">(i) Baseline Diesel Engine Performance</HD>
                    <P>
                        EPA and NHTSA developed the baseline heavy-duty diesel engines to represent a 2010 model year engine compliant with the 0.20 g/bhp-hr NO
                        <E T="52">X</E>
                         standard for on-highway heavy-duty engines.
                    </P>
                    <P>
                        The agencies utilized 2007 through 2011 model year CO
                        <E T="52">2</E>
                         certification levels from the Heavy-duty FTP cycle as the basis for the baseline engine CO
                        <E T="52">2</E>
                         performance. The pre-2010 data are subsequently adjusted to represent 2010 model year engine maps by using predefined technologies including SCR and other systems that are being used in current 2010 production. The engine CO
                        <E T="52">2</E>
                         results were then sales weighted 
                        <PRTPAGE P="57236"/>
                        within each regulatory subcategory to develop an industry average 2010 model year reference engine, as shown in Table III-16. The level of CO
                        <E T="52">2</E>
                         emissions and fuel consumption of these engines varies significantly, where the engine with the highest CO
                        <E T="52">2</E>
                         emissions is estimated to be 20 percent greater than the sales weighted average. Details of this analysis are included in RIA Chapter 2.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,18,18">
                        <TTITLE>Table III-16—2010 Model Year Reference Diesel Engine Performance Over the Heavy-Duty FTP Cycle</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                 emissions 
                                <LI>(g/bhp-hr)</LI>
                            </CHED>
                            <CHED H="1">
                                Fuel consumption 
                                <LI>(gallon/100 bhp-hr)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">LHD Diesel</ENT>
                            <ENT>630</ENT>
                            <ENT>6.19</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">MHD Diesel</ENT>
                            <ENT>630</ENT>
                            <ENT>6.19</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HHD Diesel</ENT>
                            <ENT>584</ENT>
                            <ENT>5.74</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(ii) Diesel Engine Packages</HD>
                    <P>
                        The diesel engine technology packages for the 2014 model year include engine friction reduction, improved aftertreatment effectiveness, improved combustion processes, and low temperature EGR system optimization. The improvements in parasitic and friction losses come through piston designs to reduce friction, improved lubrication, and improved water pump and oil pump designs to reduce parasitic losses. The aftertreatment improvements are available through lower backpressure of the systems and optimization of the engine-out NO
                        <E T="52">X</E>
                         levels. Improvements to the EGR system and air flow through the intake and exhaust systems, along with turbochargers can also produce engine efficiency improvements. It should be pointed out that individual technology improvements are not additive to each other due to the interaction of technologies. The agencies assessed the impact of each technology over the Heavy-duty FTP and project an overall cycle improvement in the 2014 model year of 3 percent for HHD diesel engines and 5 percent for LHD and MHD diesel engines, as detailed in RIA Chapter 2.4.2.9 and 2.4.2.10. EPA used a 100 percent application rate of this technology package to determine the level of the final 2014 MY standards
                    </P>
                    <P>
                        Recently, EPA's heavy-duty highway engine program for criteria pollutants provided new emissions standards for the industry in three year increments. The heavy-duty engine manufacturer product plans have fallen into three year cycles to reflect this environment. EPA is finalizing CO
                        <E T="52">2</E>
                         emission standards recognizing the opportunity for technology improvements over this time frame while reflecting the typical heavy-duty engine manufacturer product plan redesign cycles. Thus, the agencies are establishing initial standards for the 2014 model year and a more stringent standard for these heavy-duty engines beginning in the 2017 model year.
                    </P>
                    <P>
                        The 2017 model year technology package for LHD and MHD diesel engine includes continued development and refinement of the 2014 model year technology package, in particular the additional improvement to aftertreatment systems. This package leads to a projected 9 percent reduction for LHD and MHD diesel engines in the 2017 model year. The HHD diesel engine technology packages for the 2017 model year include the continued development of the 2014 model year technology package. A similar approach to evaluating the impact of individual technologies as taken to develop the overall reduction of the 2014 model year package was taken with the 2017 model year package. The Heavy-duty FTP cycle improvements lead to a 5 percent reduction on the cycle for HHDD, as detailed in RIA Chapter 2.4.2.13. The agencies used a 100 percent application rate of the technology package to determine the final 2017 MY standards. The agencies believe that bottom cycling technologies are still in the development phase and will not be ready for production by the 2017 model year.
                        <SU>291</SU>
                        <FTREF/>
                         Therefore, these technologies were not included in determining the stringency of the final standards. However, we do believe the bottoming cycle approach represents a significant opportunity to reduce fuel consumption and GHG emissions in the future for vehicles that operate under primarily steady-state conditions like line-haul tractors and some vocational vehicles. As discussed above, we also considered setting standards based on the use of hybrid powertrains that are a better match to many vocational vehicle duty cycles but have decided for the reasons articulated above to not base the vocational vehicle standard on the use of hybrid technologies in this first regulation. However, EPA and NHTSA are both finalizing provisions described in Section IV to create incentives for manufacturers to continue to invest to develop these technologies in the believe that with further development these technologies can form the basis of future standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>291</SU>
                             TIAX noted in their report to the NAS panel that the engine improvements beyond 2015 model year included in their report are highly uncertain, though they include waste heat recovery in the engine package for 2016 through 2020 (page 4-29).
                        </P>
                    </FTNT>
                    <P>
                        The overall projected improvements in CO
                        <E T="52">2</E>
                         emissions and fuel consumption over the baseline are included in Table III-17.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,6,6">
                        <TTITLE>
                            Table III-17—Percent Fuel Consumption and CO
                            <E T="52">2</E>
                             Emission Reductions Over the Heavy-duty FTP Cycle
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2014</CHED>
                            <CHED H="1">2017</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">LHD Diesel</ENT>
                            <ENT>5%</ENT>
                            <ENT>9%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">MHD Diesel</ENT>
                            <ENT>5</ENT>
                            <ENT>9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HHD Diesel</ENT>
                            <ENT>3</ENT>
                            <ENT>5</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(iii) Technology Package Costs</HD>
                    <P>
                        NHTSA and EPA jointly developed costs associated with the engine technologies to assess an overall package cost for each regulatory category. Our engine cost estimates for diesel engines used in vocational vehicles include a separate analysis of the incremental part costs, research and development activities, and additional equipment, such as emissions equipment to measure N
                        <E T="52">2</E>
                        O emissions. Our general approach used elsewhere in this action (for HD pickup trucks, gasoline engines, Class 7 and 8 tractors, and Class 2b-8 vocational vehicles) estimates a direct manufacturing cost for a part and marks it up based on a factor to account for indirect costs. 
                        <E T="03">See also</E>
                         75 FR 25376. We believe that approach is appropriate when compliance with final standards is achieved generally by installing new parts and systems purchased from a supplier. In such a case, the supplier is conducting the bulk of the research and development on the new parts and systems and including those costs in the purchase price paid by the original equipment manufacturer. The indirect costs incurred by the original equipment manufacturer need not include much cost to cover research and development since the bulk of that effort is already done. For the MHD and 
                        <PRTPAGE P="57237"/>
                        HHD diesel engine segment, however, the agencies believe we can make a more accurate estimate of technology cost using this alternate approach because the primary cost is not expected to be the purchase of parts or systems from suppliers or even the production of the parts and systems, but rather the development of the new technology by the original equipment manufacturer itself. Therefore, the agencies believe it more accurate to directly estimate the indirect costs. EPA commonly uses this approach in cases where significant investments in research and development can lead to an emission control approach that requires no new hardware. For example, combustion optimization may significantly reduce emissions and cost a manufacturer millions of dollars to develop but will lead to an engine that is no more expensive to produce. Using a bill of materials approach would suggest that the cost of the emissions control was zero reflecting no new hardware and ignoring the millions of dollars spent to develop the improved combustion system. Details of the cost analysis are included in the RIA Chapter 2. To reiterate, we have used this different approach because the MHD and HHD diesel engines are expected to comply in large part via technology changes that are not reflected in new hardware but rather knowledge gained through laboratory and real world testing that allows for improvements in control system calibrations—changes that are more difficult to reflect through direct costs with indirect cost multipliers.
                    </P>
                    <P>
                        The agencies developed the engineering costs for the research and development of diesel engines with lower fuel consumption and CO
                        <E T="52">2</E>
                         emissions. The aggregate costs for engineering hours, technician support, dynamometer cell time, and fabrication of prototype parts are estimated at $6.8 million (2009$) per manufacturer per year over the five years covering 2012 through 2016. In aggregate, this averages out to $284 per engine during 2012 through 2016 using an annual sales value of 600,000 light, medium, and heavy heavy-duty engines. The agencies received comments from Horriba regarding the assumption the agencies used in the proposal that said manufacturers would need to purchase new equipment for measuring N
                        <E T="52">2</E>
                        O and the associated costs. Horriba provided information regarding the cost of stand-alone FTIR instrumentation (estimated at $50,000 per unit) and cost of upgrading existing emission measurement systems with NDIR analyzers (estimated at $25,000 per unit). The agencies further analyzed our assumptions along with Horriba's comments. Thus, we have revised the equipment costs estimates and assumed that 75 percent of manufacturers would update existing equipment while the other 25 percent would require new equipment. The agencies are estimating costs of $63,087 (2009$) per engine manufacturer per engine subcategory (light, medium, and heavy HD) to cover the cost of purchasing photo-acoustic measurement equipment for two engine test cells. This would be a one-time cost incurred in the year prior to implementation of the standard (
                        <E T="03">i.e.,</E>
                         the cost would be incurred in 2013). In aggregate, this averages out to less than $1 per engine in 2013 using an annual sales value of 600,000 light, medium, and heavy HD engines.
                    </P>
                    <P>EPA also developed the incremental piece cost for the components to meet each the 2014 and 2017 standards. These costs shown in Table III-18 which include a low complexity ICM of 1.15; flat-portion of the curve learning is considered applicable to each technology.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,r50,r50">
                        <TTITLE>
                            Table III-18—Heavy-Duty Diesel Engine Component Costs Inclusive of Indirect Cost Markups 
                            <E T="51">a</E>
                        </TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2014 Model year</CHED>
                            <CHED H="1">2017 Model year</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Cylinder Head (flow optimized, increased firing pressure, improved thermal management)</ENT>
                            <ENT>$6 (MHD &amp; HH), $11 (LHD)</ENT>
                            <ENT>$6 (MHD &amp; HHD), $10 (LHD).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Exhaust Manifold (flow optimized, improved thermal management)</ENT>
                            <ENT>$0</ENT>
                            <ENT>$0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Turbocharger (improved efficiency)</ENT>
                            <ENT>$18</ENT>
                            <ENT>$17.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">EGR Cooler (improved efficiency)</ENT>
                            <ENT>$4</ENT>
                            <ENT>$3.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Water Pump (optimized, variable vane, variable speed)</ENT>
                            <ENT>$91</ENT>
                            <ENT>$84.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Oil Pump (optimized)</ENT>
                            <ENT>$5</ENT>
                            <ENT>$4.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Pump (higher working pressure, increased efficiency, improved pressure regulation)</ENT>
                            <ENT>$5</ENT>
                            <ENT>$4.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Rail (higher working pressure)</ENT>
                            <ENT>$10 (MHD &amp; HHD), $12 (LHD)</ENT>
                            <ENT>$9 (MHD &amp; HHD), $11 (LHD).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Injector (optimized, improved multiple event control, higher working pressure)</ENT>
                            <ENT>$11 (MHD &amp; HHD), $15 (LHD)</ENT>
                            <ENT>$10 (MHD &amp; HHD), $13 (LHD).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Piston (reduced friction skirt, ring and pin)</ENT>
                            <ENT>$3</ENT>
                            <ENT>$3.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Aftertreatment system (improved effectiveness SCR, dosing, dpf)
                                <E T="51">a</E>
                            </ENT>
                            <ENT>$0 (MHD &amp; HHD), $111 (LHD)</ENT>
                            <ENT>$0 (MHD &amp; HHD), $101 (LHD).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Valve Train (reduced friction, roller tappet)</ENT>
                            <ENT>$82 (MHD), $109 (LHD)</ENT>
                            <ENT>$76 (MHD), $101 (LHD).</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="51">a</E>
                             Note that costs for aftertreatment improvements for MHD and HHD diesel engines are covered via the engineering costs (see text). For LH diesel engines, we have included the cost of aftertreatment improvements as a technology cost.
                        </TNOTE>
                    </GPOTABLE>
                    <P>The overall costs for each diesel engine regulatory subcategory are included in Table III-19.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,6,6">
                        <TTITLE>Table III-19—Diesel Engine Technology Costs per Engine </TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2014 </CHED>
                            <CHED H="1">2017 </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">LHD Diesel</ENT>
                            <ENT>$388</ENT>
                            <ENT>$358</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">MHD Diesel</ENT>
                            <ENT>234</ENT>
                            <ENT>216</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HHD Diesel</ENT>
                            <ENT>234</ENT>
                            <ENT>216</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">Reasonableness of the Final Standards</HD>
                    <P>
                        The final engine standards appear to be reasonable and consistent with the agencies' respective authorities. With respect to the 2014 and 2017 MY standards, all of the technologies on which the standards are based have already been demonstrated and their effectiveness is well documented. The final standards reflect a 100 percent application rate for these technologies. 
                        <PRTPAGE P="57238"/>
                        The costs of adding these technologies remain modest across the various engine classes as shown in Table III-19. Use of these technologies would add only a small amount to the cost of the vehicle,
                        <SU>292</SU>
                        <FTREF/>
                         and the associated reductions are highly cost effective, an estimated $20 per ton of CO
                        <E T="52">2</E>
                        eq per vehicle.
                        <SU>293</SU>
                        <FTREF/>
                         This is even more cost effective than the estimated cost effectiveness for CO
                        <E T="52">2</E>
                        eq removal and fuel economy improvement under the light-duty vehicle rule, already considered by the agencies to be a highly cost effective reduction.
                        <SU>294</SU>
                        <FTREF/>
                         Accordingly, EPA and NHTSA view these standards as reflecting an appropriate balance of the various statutory factors under section 202(a) of the CAA and under NHTSA's EISA authority at 49 U.S.C. 32902(k)(2). Based on the discussion above, NHTSA believes these standards are the maximum feasible under EISA.
                    </P>
                    <FTNT>
                        <P>
                            <SU>292</SU>
                             Sample 2010 MY vocational vehicles range in price between $40,000 for a Class 4 work truck to approximately $200,000 for a Class 8 refuse hauler. 
                            <E T="03">See</E>
                             pages 16-17 of ICF's “Investigation of Costs for Strategies to Reduce Greenhouse Gas Emissions for Heavy-Duty On-Road Vehicles.” July 2010.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>293</SU>
                             
                            <E T="03">See</E>
                             RIA chapter 7, Table 7-4.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>294</SU>
                             The light-duty rule had a cost per ton of $50 when considering the vehicle program costs only and a cost of −$210 per ton considering the vehicle program costs along with fuel savings in 2030. 
                            <E T="03">See</E>
                             75 FR 25515, Table III.H.3-1.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(v) Alternative Diesel Engine Standards Considered</HD>
                    <P>Other than the specific option related to legacy engine products, the agencies are not finalizing diesel engine standards less stringent than the final standards because the agencies believe these standards are highly cost effective.</P>
                    <P>The agencies have not considered finalizing diesel engine standards which are more stringent because we have exhausted the list of engine technologies that we believe are directly applicable to medium- and heavy-duty diesel engines used in vocational applications. We are continuing to evaluate the potential for bottoming cycle technologies to be used in the future, however it is not clear today that this technology, although promising for more steady-state operation will provide any significant efficiency improvement under the more transient operating cycles typical of vocational vehicles. Moreover, as stated at II.D above, the agencies do not believe that this technology will be available in the time frame of this rule in any case.</P>
                    <HD SOURCE="HD1">IV. Final Regulatory Flexibility Provisions</HD>
                    <P>
                        This section describes flexibility provisions intended to advance the goals of the overall program while providing alternate pathways to achieve those goals, consistent with the agencies' statutory authority, as well as with Executive Order 13563.
                        <SU>295</SU>
                        <FTREF/>
                         The primary flexibility provisions for combination tractors and vocational vehicles and the engines installed in these vehicles are incorporated in a program of averaging, banking, and trading of credits. For HD pickups and vans, the primary flexibility provision is also an ABT program expressed in the fleet average form of the standards, along with provisions for credit and deficit carry-forward and for trading, patterned after the agencies' light-duty vehicle GHG and CAFE programs. Furthermore, EPA will allow manufacturers to comply with the N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards using CO
                        <E T="52">2</E>
                         credits and is providing an opportunity for engine manufacturers to earn N
                        <E T="52">2</E>
                        O credits that can be used to comply with the CO
                        <E T="52">2</E>
                         standards. However, EPA is not adopting an emission credit program associated with the CH
                        <E T="52">4</E>
                         or HFC standards. This section also describes other flexibility provisions that apply, including advanced technology credits, innovative technology credits and early compliance credits.
                    </P>
                    <FTNT>
                        <P>
                            <SU>295</SU>
                             Section 4 of EO 13563 states that “Where relevant, feasible, and consistent with regulatory objectives, and to the extent permitted by law, each agency shall identify and consider regulatory approaches that reduce burdens and maintain flexibility and freedom of choice for the public.” 76 FR 3821 (Jan. 21, 2011).
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">A. Averaging, Banking, and Trading Program</HD>
                    <P>Averaging, Banking, and Trading (ABT) of emissions credits have been an important part of many EPA mobile source programs under CAA Title II, including engine and vehicle programs. NHTSA has also long had an averaging and banking program for light-duty CAFE under EPCA, and recently gained authority to add a trading program for light-duty CAFE through EISA. ABT programs are useful because they can help to address many issues of technological feasibility and lead-time, as well as considerations of cost. They provide manufacturers flexibilities that assist the efficient development and implementation of new technologies and therefore enable new technologies to be implemented at a more aggressive pace than without ABT. ABT programs are more than just add-on provisions included to help reduce costs, and can be, as in EPA's Title II programs an integral part of the standard setting itself. A well-designed ABT program can also provide important environmental and energy security benefits by increasing the speed at which new technologies can be implemented (which means that more benefits accrue over time than with slower-starting standards) and at the same time increase flexibility for, and reduce costs to, the regulated industry. American Council for an Energy-Efficient Economy (ACEEE) has commented that ABT and related flexibilities should not be offered for this program because the agencies are not promoting the use of new technologies but rather the use of existing technologies. However, without ABT provisions (and other related flexibilities), standards would typically have to be numerically less stringent since the numerical standard would have to be adjusted to accommodate issues of feasibility and available lead time. See 75 FR at 25412-13. By offering ABT credits and additional flexibilities the agencies can offer progressively more stringent standards that help meet our fuel consumption reduction and GHG emission goals at a faster pace.</P>
                    <P>Section II above describes EPA's GHG emission standards and NHTSA's fuel consumption standards. For each of these respective sets of standards, the agencies also offer ABT provisions, consistent with each agency's statutory authority. The agencies worked closely to design these provisions to be essentially identical to each other in form and function. Because of this fundamental similarity, the remainder of this section refers to these provisions collectively as “the ABT program” except where agency-specific distinctions are required.</P>
                    <P>As discussed in detail below, the structure of the GHG and fuel consumption ABT program for HD engines was based closely on EPA's earlier ABT programs for HD engines; the program for HD pickups and vans was built on the existing light-duty GHG program flexibility provisions; and the first-time ABT provisions for combination tractors and vocational vehicles are as consistent as possible with EPA's other HD vehicle regulations. The flexibility provisions associated with this new regulatory category were intended to build systematically upon the structure of the existing programs.</P>
                    <P>
                        As an overview, “averaging” means the exchange of emission or fuel consumption credits between engine families or truck families within a given manufacturer's regulatory subcategories and averaging sets. For example, specific “engine families,” which manufacturers create by dividing their product lines into groups expected to have similar emission characteristics throughout their useful life, would be contained within an averaging set. 
                        <PRTPAGE P="57239"/>
                        Averaging allows a manufacturer to certify one or more engine families (or vehicle families, as appropriate) within the same averaging set at levels worse than the applicable emission or fuel consumption standard. The increased emissions or fuel consumption over the standard would need to be offset by one or more engine (or vehicle) families within that manufacturer's averaging set that are certified better than the same emission or fuel consumption standard, such that the average emissions or fuel consumption from all the manufacturer's engine families, weighted by engine power, regulatory useful life, and production volume, are at or below the level of the emission or fuel consumption standard 
                        <SU>296</SU>
                        <FTREF/>
                         Total credits for each averaging set within each model year are determined by summing together the credits calculated for every engine family within that specific averaging set.
                    </P>
                    <FTNT>
                        <P>
                            <SU>296</SU>
                             The inclusion of engine power, useful life, and production volume in the averaging calculations allows the emissions or fuel consumption credits or debits to be expressed in total emissions or consumption over the useful life of the credit-using or generating engine sales.
                        </P>
                    </FTNT>
                    <P>“Banking” means the retention of emission credits by the manufacturer for use in future model year averaging or trading. “Trading” means the exchange of emission credits between manufacturers, which can then be used for averaging purposes, banked for future use, or traded to another manufacturer.</P>
                    <P>
                        In EPA's current HD engine program for criteria pollutants, manufacturers are restricted to averaging, banking and trading only credits generated by the engine families within a regulatory subcategory, and EPA and NHTSA proposed to continue this restriction in the GHG and fuel consumption program for engines and vehicles. However, the agencies sought comment on potential alternative approaches in which fewer restrictions are placed on the use of credits for averaging, banking, and trading. Particularly, the agencies requested comment on removing prohibitions on averaging and trading between some or all regulatory categories in the proposal, and on removing restrictions between some or all regulatory subcategories that are within the same regulatory category (
                        <E T="03">e.g.,</E>
                         allowing trading of credits between Class 7 day cabs and Class 8 sleeper cabs).
                    </P>
                    <P>The agencies received many comments on the restrictions proposed for the ABT program, namely on the proposal that credits could only be averaged within the specified vehicle and engine subcategories and not averaged across subcategories or between vehicle and engine categories. Many commenters, including Union of Concerned Scientist (UCS), NY Dept of Transportation, Natural Resources Defense Council, Oshkosh, and Autocar, requested that the agencies maintain the restrictions as proposed in the NPRM. UCS argued that allowing credits to be used across categories could undermine further technology advancements, and that manufacturers that have broad portfolios would have advantages over those manufacturers that do not. The Center for Biological Diversity (CBD) argued that because of the various credit opportunities in the ABT program and the potential that manufacturers will pay penalties rather than comply with the standards, the program could actually cause an increase in emissions and a decrease in fuel efficiency. On the other hand, several commenters, including EMA/TMA, Cummins, Volvo, and ATA, requested that the agencies maintain the proposed restrictions of averaging credits between the engine and vehicle categories, but reduce the restrictions on credit averaging across vehicle subcategories or engine subcategories or averaging sets within similar vehicle and engine weight classes (LHD, MHD and HHD). Cummins requested that the agencies allow credit averaging between engine subcategories within the same weight classes (LHD, MHD and HHD). Cummins explained that tractor and vocational engines in the corresponding weight classes not only share the same useful life but also use the same emission and fuel consumption technologies and therefore should be placed into the same engine averaging set. EMA/TMA argued that the NPRM restrictions would inhibit a manufacturer's ability to use credits to address market fluctuations, which would reduce the flexibility that the ABT program was intended to provide. As an example, EMA/TMA stated that if the line-haul market were depressed for a period of time a manufacturer could make up any deficit selling more low-roof tractors with regional hauling operations. The same market shift could eliminate a manufacturer's ability to generate credits using its aerodynamic high-roof sleeper cab tractors and could create a credit deficit if there is a demand for more of the less aerodynamic low-roof tractors. EMA/TMA argued that credit exchanges across vehicle categories within the same weight classes within the tractor subcategories and across vocational vehicle and tractor subcategories would allow a manufacturer more flexibility to deal with these types of market and customer demand situations. Finally, several commenters, including Ford, DTNA NADA, NTEA and Navistar, requested that the agencies reduce the proposed restrictions even further by allowing credit averaging between vehicle categories and engine categories. Navistar argued that more flexibility was necessary for manufacturers like itself to increase innovation at a reasonable cost, stating that more restrictions would increase costs within a shorter time frame.</P>
                    <P>After considering these comments, the agencies continue to believe that the ABT program developed by the agencies increases and accelerates the technological feasibility of the GHG and fuel consumption standards by providing manufacturers flexibility in implementing new technologies in a way that may be more consistent with their business practices and cost considerations. In response to the comments submitted by CBD, the agencies disagree with CBD's statements that the ABT program will adversely affect the fuel efficiency and GHG emission goals of this regulation. This joint final action requires vehicle and engine manufacturers to meet increasingly more stringent emission and fuel consumption standards which will result in emission reductions and fuel consumption savings. Manufacturers will not have the option of not meeting the standards. The ABT program simply provides each manufacturer the flexibility to meet these standards based upon their individual products and implementation plans.</P>
                    <P>
                        By assuming the use of credits for compliance, the agencies were able to set the fuel consumption/GHG standards at more stringent levels than would otherwise have been feasible. One reason is that use of ABT allows each manufacturer maximum flexibility to develop compliance strategies consistent with its redesign cycles and with its product plans generally, allowing the agencies, in turn, to adopt standards which are numerically more stringent in earlier model years than would be possible with a more rigid program since those rigidities would be associated with greater costs. Greater improvements in fuel efficiency will occur under more stringent standards; manufacturers will simply have greater flexibility to determine where and how to make those improvements than they would have without credit options. Further, this is consistent with the directive in EO 13563 to “seek to identify, as appropriate, means to 
                        <PRTPAGE P="57240"/>
                        achieve regulatory goals that are designed to promote innovation.”
                    </P>
                    <P>The agencies further agree that certain restrictions on use of ABT which were proposed are unnecessary. The proposed ABT program for engines was somewhat more restrictive, in its definition of averaging sets, than EPA's parallel ABT program for criteria pollutant emissions from the same engines. The final rules conform to the ABT provisions for GHG heavy-duty engine emissions to be consistent with the parallel ABT provisions for criteria pollutants with same weight engines treated as a single averaging set regardless of the vehicles in which they are installed. We have applied this same principle with respect to combination tractors and vocational vehicles: Treating like weight classes as an averaging set. The agencies have determined that these additional flexibilities will help to reduce manufacturing costs further and encourage technology implementation without creating an unfair advantage for manufactures with vertically integrated portfolios including engines and vehicles. EPA's experience in administering the ABT program for heavy-duty diesel engine criteria pollutant emissions supports this conclusion. Therefore, the agencies have decided to allow credit averaging within and across vocational vehicle and tractor subcategories within the same weight class groups, as well as credit averaging across the same weight class vocational and tractor engine groups. This added flexibility beyond what was proposed in the NPRM will not be extended to the HD pickup truck and van category because this group of vehicles is comprised of only one subcategory and is not broken down like the other categories and corresponding subcategories into different weight classes, and the standard applies to the entire vehicle, so that there are no separate engine and vehicle standards. Put another way, the HD pickup truck and van category is one large averaging set that will remain as proposed.</P>
                    <P>
                        However, the agencies are maintaining the restrictions against averaging vehicle credits with engine credits or between vehicle weight classes or engine subcategories for this first phase of regulation. We believe averaging or trading credits between averaging sets would be problematic because of the diversity of applications involved. This diversity creates large differences in the real world conditions that impact lifetime emissions—such as actual operating life, load cycles, and maintenance practices. In lieu of conducting extensive and burdensome real world tracking of these parameters, along with corrective measures to provide some assurance of parity between credits earned and credits redeemed, averaging sets provide a reasonable amount of confidence that typical engines or vehicles within each set have comparable enough real world experience to make such follow-up activity unnecessary. The agencies believe this approach will ensure that CO
                        <E T="52">2</E>
                         emissions are reduced and fuel consumption is improved in each engine subcategory without interfering with the ability of manufacturers to engage in free trade and competition. Again, EPA's experience in administering its ABT program for criteria pollutant emissions from heavy-duty diesel engines confirms these views. The agencies also note that no commenter offered an explanation of why the restrictions on this ABT program should differ from the parallel ABT program respecting criteria pollutants. As explained earlier in this preamble, the agencies intend to re-evaluate the appropriateness of the ABT averaging sets and credit use restrictions we are adopting here for the HD GHG and fuel consumption program in the future based on information we gain implementing this first phase of regulation.
                    </P>
                    <P>Under previous ABT programs for other rulemakings, EPA and NHTSA have allowed manufacturers to carry forward credit deficits for a set period of time—if a manufacturer cannot meet an applicable standard in a given model year, it may make up its shortfall by overcomplying in a subsequent year. In the NPRM the agencies proposed to allow manufacturers of engines, tractors, HD pickups and vans, and vocational vehicles to carry forward deficits for up to three years before reconciling the shortfall—the same period allowed in numerous other EPA rules—but sought comments on alternative approaches for reconciling deficits. DTNA supported the three year period and stated that it was sufficient for reconciling deficits. CBD did not support the use of the carry forward of deficits because it would delay investments and technological innovation. The agencies respectfully disagree with CBD and believe this provision has enabled the agencies to consider overall standards that are more stringent and that will become effective sooner than we could consider with a more rigid program, one in which all of a manufacturer's similar vehicles or engines would be required to achieve the same emissions or fuel consumption levels, and at the same time. Therefore the agencies included in the final rulemaking the proposed 3 year reconciliation period. However, the agencies' respective credit programs require manufacturers to use credits to offset a shortfall before credits may be banked or traded for additional model years. This restriction reduces the chance of manufacturers passing forward deficits before reconciling shortfalls and exhausting those credits before reconciling past deficits.</P>
                    <P>For the heavy-duty pickup and van category, the agencies proposed a 5-year credit life provision, as adopted in the light-duty vehicle GHG/CAFE program. Navistar requested that the agencies drop the 5-year credit expiration date proposed for the heavy-duty pickup and van category and not specify an expiration date for earned credits. Navistar stated that such credits are necessary to further improve the flexibilities of this program in order to meet the new stringent standards within the limited lead time provided. The agencies disagree. The 5-year credit life is substantial, and allows credits earned early in the phase-in to be held and used without discounting throughout the phase-in period.</P>
                    <P>
                        For engines, vocational vehicles and tractors, EPA also proposed that CO
                        <E T="52">2</E>
                         credits generated during this first phase of the HD National Program could not be used for later phases of standards, but NHTSA did not expressly specify the potential expiration of fuel consumption credits. DTNA and Cummins requested that the surplus credits from the first phase of the program not expire. DTNA suggested that the agencies drop any reference to credit expiration until the next rulemaking, at which time the agencies would have a better understanding of actual credit balances and what kind of lifespan for credits might be necessary or appropriate. DTNA argued that in some of EPA's past programs, EPA had delayed a final decision about credit expiration until development of the subsequent rule when, EPA had a better understanding of associated credit balances, along with the stringency of the standards being proposed for future model years. EPA had proposed to limit the lifespan of credits earned to the first phase of standards in the interest of ensuring a level playing field before the next phase begins. Upon further consideration, the agencies recognize that this is a new program and it is unknown whether any manufacturers will have credit surpluses by the end of the first phase of standards, much less whether some manufacturers will have significantly larger credit surpluses that might create an unlevel playing field going into the next phase. The agencies 
                        <PRTPAGE P="57241"/>
                        are adopting a 5-year credit life provision for all regulatory categories, as adopted in the light-duty vehicle program and proposed for the HD pickup trucks and vans.
                        <SU>297</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>297</SU>
                             Note, however, that manufacturers have no property right in these credits, so no issues of deprivation of property arise if later rules choose not to recognize those credits. 
                            <E T="03">See</E>
                             69 FR at 39001-002 (June 29, 2004).
                        </P>
                    </FTNT>
                    <P>The following sections provide further discussions of the flexibilities provided in this action under the ABT program and the agencies' rationale for providing them.</P>
                    <HD SOURCE="HD3">(1) Heavy-duty Engines</HD>
                    <P>For the heavy-duty engine ABT program, EPA and NHTSA proposed to use six averaging sets per 40 CFR 1036.740 for EPA and 49 CFR 535.7(d) for NHTSA, which aligned with the proposed regulatory engine subcategories. As described above, the agencies have decided that these engine averaging sets should be the same as for criteria pollutants under the EPA heavy-duty diesel engine rules, and agree with commenters that increasing the size of averaging sets from within subcategories to across subcategories within the same engine weight class would provide important additional flexibilities for engine manufacturers without negatively impacting fuel savings or emissions reductions. The agencies are therefore adopting four engine averaging sets rather than the proposed six. The four engine averaging sets are light heavy-duty (LHD) diesel, medium heavy-duty (MHD) diesel, heavy heavy-duty (HHD) diesel, and gasoline or spark ignited engines without distinction for the type of vehicle in which the engine is installed. Thus, the final ABT program will allow for averaging, banking, and trading of credits between HHD diesel engines which are certified for use in vocational vehicles and HHD diesel engines which are certified for installation in tractors. Similarly, the MHD diesel engines certified for use in either vocational vehicles or tractors will be treated as a single averaging set. As noted in Section I.G above, the agencies intend to monitor this program and consider possibilities of more widespread trading based on experience in implementing the program as the first engines and vehicles certified to the new standards are introduced. Credits generated by engine manufacturers under this ABT program are restricted for use only within their engine averaging set, based on performance against the standard as defined in Section II.B and II.D. Thus, LHD diesel engine manufacturers can only use their LHD diesel engine credits for averaging, banking and trading with LHD diesel engines, not with MHD diesel or HHD diesel engines. As noted, this limitation is consistent with ABT provisions in EPA's existing criteria pollutant program for engines and will help avoid problems created by the diversity of applications that the broad spectrum of HD engines goes into, as discussed above.</P>
                    <P>
                        The compliance program for the final rules adopts the proposed method for generating a manufacturer's CO
                        <E T="52">2</E>
                         emission and fuel consumption credit or deficit. The manufacturer's certification test results would serve as the basis for the generation of the manufacturer's Family Certification Level (FCL). The agencies did not receive comment on this, and continue to believe that it is the best approach. The FCL is a new term we proposed for this program to differentiate the purpose of this credit generation technique from the Family Emission Limit (FEL) previously used in a similar context in other EPA rules. A manufacturer may define its FCL at any level at or above the certification test results. Credits for the ABT program are generated when the FCL is compared to its CO
                        <E T="52">2</E>
                         and fuel consumption standard, as discussed in Section II. Credit calculation for the Engine ABT program, either positive or negative, is based on Equation IV-1 and Equation IV-2:
                    </P>
                    <HD SOURCE="HD1">
                        Equation IV-1: Final HD Engine CO
                        <E T="52">2</E>
                         credit (deficit)
                    </HD>
                    <FP SOURCE="FP-2">
                        HD Engine CO
                        <E T="52">2</E>
                         credit (deficit)(metric tons) = (Std − FCL) × (CF) × (Volume) × (UL) × (10
                        <E T="51">-6</E>
                        )
                    </FP>
                    <EXTRACT>
                        <FP SOURCE="FP-2">Where:</FP>
                        <FP SOURCE="FP-2">Std = the standard associated with the specific engine regulatory subcategory (g/bhp-hr)</FP>
                        <FP SOURCE="FP-2">FCL = Family Certification Level for the engine family</FP>
                        <FP SOURCE="FP-2">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 Heavy-duty FTP cycle. For gasoline heavy-duty engines, the equivalent mileage is 6.3 miles. For diesel heavy-duty engines, the equivalent mileage is 6.5 miles. The CF determined by the Heavy-duty FTP cycle is used for engines certifying to the SET standard.</FP>
                        <FP SOURCE="FP-2">Volume = (projected or actual) production volume of the engine family</FP>
                        <FP SOURCE="FP-2">UL = useful life of the engine (miles)</FP>
                        <FP SOURCE="FP-2">
                            10
                            <E T="51">-6</E>
                             converts the grams of CO
                            <E T="52">2</E>
                             to metric tons
                        </FP>
                    </EXTRACT>
                    <HD SOURCE="HD1">Equation IV-2: Final HD Engine Fuel Consumption credit (deficit) in gallons</HD>
                    <FP SOURCE="FP-2">
                        HD Engine Fuel Consumption credit (deficit)(gallons) = (Std − FCL) × (CF) × (Volume) × (UL) × 10
                        <SU>2</SU>
                    </FP>
                    <EXTRACT>
                        <FP SOURCE="FP-2">Where:</FP>
                        <FP SOURCE="FP-2">Std = the standard associated with the specific engine regulatory subcategory (gallon/100 bhp-hr)</FP>
                        <FP SOURCE="FP-2">FCL = Family Certification Level for the engine family (gallon/100 bhp-hr)</FP>
                        <FP SOURCE="FP-2">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 Heavy-duty FTP cycle. For gasoline heavy-duty engines, the equivalent mileage is 6.3 miles. For diesel heavy-duty engines, the equivalent mileage is 6.5 miles. The CF determined by the Heavy-duty FTP cycle is used for engines certifying to the SET standard.</FP>
                        <FP SOURCE="FP-2">Volume = (projected or actual) production volume of the engine family</FP>
                        <FP SOURCE="FP-2">UL = useful life of the engine (miles)</FP>
                        <FP SOURCE="FP-2">
                            10
                            <SU>2</SU>
                             = conversion to gallons
                        </FP>
                    </EXTRACT>
                    <P>
                        To calculate credits or deficits, manufacturers will determine an FCL for each engine family they have designated for the ABT program. The agencies have defined engine families in 40 CFR 1036.230 and 49 CFR 535.4 and manufacturers may designate how to group their engines for certification and compliance purposes. The FCL may be above or below its respective subcategory standard and is used to establish the CO
                        <E T="52">2</E>
                         credits earned in Equation IV-1 or the fuel consumption credits earned in Equation IV-2. The final CO
                        <E T="52">2</E>
                         and fuel consumption standards are associated with specific regulatory subcategories as described in Sections II.B and II.D (gasoline, light heavy-duty diesel, medium heavy-duty diesel, and heavy heavy-duty diesel). In the ABT program, engines certified with an FCL below the standard generate positive credits and an FCL above the standard generates negative credits. As discussed in Section II.B and II.D, engine averaging sets that include engine families for which a manufacture elects to use the alternative standard of a percent reduction from the engine family's 2011 MY baseline are ineligible to either generate or use credits. Credit deficits accumulated in an averaging set where engine families have used the alternate standard can carry that deficit forward for three years following the model year for which that deficit was generated at which time the deficit must be reconciled with surplus credits.
                    </P>
                    <P>
                        The volume used in Equations IV-1 and IV-2 refers to the total number of eligible engines sold per family participating in the ABT program during that model year. The useful life values in Equation IV-1 and IV-2 are the same as the regulatory classifications previously used for the engine subcategories. Thus, for LHD diesel engines and gasoline engines, the useful life values are 110,000 miles; for MHD 
                        <PRTPAGE P="57242"/>
                        diesel engines, 185,000 miles; and for HHD diesel engines, 435,000 miles.
                    </P>
                    <P>
                        As described in Section II.E above, for purposes of EPA's standards, an engine manufacturer may choose to comply with the N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                         cap standards using CO
                        <E T="52">2</E>
                         credits.
                        <SU>298</SU>
                        <FTREF/>
                         A manufacturer choosing this option would convert its N
                        <E T="52">2</E>
                        O or CH
                        <E T="52">4</E>
                         test results into CO
                        <E T="52">2</E>
                        eq to determine the amount of CO
                        <E T="52">2</E>
                         credits required. This approach recognizes the correlation of these elements in impacting global climate change. To account for the different global warming potential of these GHGs, manufacturers will determine the amount of CO
                        <E T="52">2</E>
                         credits required by multiplying the shortfall by the GWP. For example, a manufacturer would use 25 kg of positive CO
                        <E T="52">2</E>
                         credits to offset 1 kg of negative CH
                        <E T="52">4</E>
                         credits. Or a manufacturer would use 298 kg of positive CO
                        <E T="52">2</E>
                         credits to offset 1 kg of negative N
                        <E T="52">2</E>
                        O credits. In general the agencies do not expect manufacturers to use this provision, but are providing it as an alternative in the event an engine manufacturer has trouble meeting the CH
                        <E T="52">4</E>
                         and/or N
                        <E T="52">2</E>
                        O emission caps. There are no ABT credits for performance that falls below the CH
                        <E T="52">4</E>
                         cap. As described below, EPA is adopting a provision applicable in MYs 2014 through 2016 to allow the creation of CO
                        <E T="52">2</E>
                         credits by demonstrating N
                        <E T="52">2</E>
                        O below the current average baseline performance, a value that is well below the final N
                        <E T="52">2</E>
                        O cap standard.
                    </P>
                    <FTNT>
                        <P>
                            <SU>298</SU>
                             This option does not apply to the NHTSA fuel consumption program, since NHTSA is not regulating N
                            <E T="52">2</E>
                            O or CH
                            <E T="52">4</E>
                             emissions, since they are irrelevant to fuel consumption reductions.
                        </P>
                    </FTNT>
                    <P>Manufacturers of engines that generate a credit deficit at the end of the model year for any of its averaging sets can carry that deficit forward for three years following the model year for which that deficit was generated at which time the deficit must be reconciled with surplus credits. Manufacturers must use credits once those credits have been generated to offset a shortfall before those credits can be banked or traded for additional model years. This restriction reduces the chance of an engine manufacturer passing forward deficits before reconciling their shortfalls and exhausting those credits before reconciling past deficits. Deficits will need to be reconciled at the reporting dates for model year three. Surplus credits earned in the engine categories will expire after five model years. As noted above, the agencies may reconsider 5 year credit life during the next phase of rulemaking.</P>
                    <P>Under the EPA and NHTSA programs, engine manufacturers are provided flexibilities in complying with compression ignition (CI) engine standards. These flexibilities are provided in order to: (1) Synchronize the implementation schedules for the upcoming EPA OBD regulatory changes with the GHG and fuel consumption regulatory requirements; (2) aid manufacturers that produce legacy engines in the early years of the HD program; and (3) provide an opportunity for manufacturers to earn early credits as mentioned in sections II.B.(2)(b), II.D.(1)(b)(i) and IV.B.(1) of this document. The flexibilities provide manufacturers of CI engines with four different and distinct paths that can be followed to meet the EPA and NHTSA emission and fuel consumption standards. Manufacturers do not have these flexibility mechanisms for gasoline engines, since the standards for gasoline engines go into effect after the flexibility mechanisms have expired. As a general guideline applicable for each of these four compliance paths, if a manufacturer chooses to opt into the NHTSA program prior to MY 2017, which is the year the NHTSA compression ignition engine standards become mandatory, the path chosen must be the same path chosen to meet the EPA emission standards. Each of the four paths is discussed below.</P>
                    <P>The first path is for a manufacturer to meet the regular or “primary” standards that become mandatory in MY 2014 under the EPA regulations. These standards are voluntary in 2014, 2015, and 2016 under the NHTSA program, and become mandatory in 2017 in the NHTSA program. The primary path standards become more stringent in model year 2017 in both the EPA and NHTSA regulations. For the NHTSA program, an engine manufacturer may choose to voluntarily opt into the program early, in any of the MYs 2014, 2015 or 2016 allowing that manufacturer to earn credits for those model years. In the NHTSA program however, once the manufacturer has made the decision to opt into the program early it must remain in the program during the subsequent model years.</P>
                    <P>Path two allows manufacturers to earn early credits as part of the “primary” MY 2014 emission standard path. Early credits can be earned in MY 2013, as discussed in section IV.B.(1). Under the NHTSA fuel consumption program, an engine manufacturer may also choose to opt into the primary standards program beginning in MY 2013 to obtain early credits, but once the decision has been made to opt into the program in MY 2013 the manufacturer must remain in the program in the subsequent model years. If a manufacturer chooses to opt into the NHTSA program prior to the mandatory 2017 model year it must follow that same path chosen to meet the EPA emission standards.</P>
                    <P>If a manufacturer produces “legacy” engines, which typically have 2011 baseline emissions that are significantly higher than the 2010 baseline for this regulation, the manufacturer may choose path three. This path allows a manufacturer to meet alternate CI engine standards in MYs 2014 through 2016 for specific engine families. More details about this path are provided in section II.B.(2)(b) and II.D.(1)(b)(i). This path can only be taken if all other credit opportunities have been exhausted and the manufacturer still cannot meet the primary standards under the first path. Again, if a manufacturer chooses this path to meet the EPA emission standards in MY 2014-2016, and wants to opt into the NHTSA fuel consumption program in these same MYs it must follow the exact path followed under the EPA program.</P>
                    <P>
                        The fourth path that a CI engine manufacturer can take is referred to as the alternative “OBD phase-in” path. Manufacturers that wish to “bundle” or combine design changes needed for the 2013 and 2016 heavy-duty OBD requirements with design changes needed for the GHG and fuel consumption requirements may choose this path. The EPA standards in this path become mandatory in MY 2013 instead of 2014. In addition, in this path emission and fuel consumption standards increase in stringency in 2016 rather than in 2017. While the OBD phase-in schedule requires engines built in MYs 2013 and 2016 to achieve greater reductions than those engines built in the model years under the primary program (path one above), it requires lower reductions for engines built in 2014 and 2015. Under the NHTSA program, an engine manufacturer may choose to opt into the “OBD phase-in” path only if this is the same path chosen under the EPA program and only if the manufacturer is opting into the program in MY 2013 and staying in the program through MY 2016. If a manufacturer chooses the OBD phase-in path to meet the EPA emission standards and decides to opt into the NHTSA program prior to the mandatory MY 2017 requirement, the manufacturer must follow the same path under both the EPA and NHTSA programs. Under this path the early credit MY 2013 flexibility as discussed in path two above is not available. While it does not involve credits, the agencies consider the alternative “OBD phase-in” path to be an additional flexibility.
                        <PRTPAGE P="57243"/>
                    </P>
                    <P>Additional flexibilities for engines, discussed later in Section IV.B, provide manufacturers the opportunity to generate early, advanced and innovative technology credits.</P>
                    <HD SOURCE="HD3">(2) Heavy-Duty Vocational Vehicles and Tractors</HD>
                    <P>In addition to the engine ABT program described above, the agencies also proposed a heavy-duty vehicle ABT program to facilitate reductions in GHG emissions and fuel consumption based on heavy-duty vocational vehicle and tractor design changes and improvements. EPA and NHTSA had proposed averaging sets which aligned with the proposed twelve regulatory subcategories; however in response to the comments described, which requested that averaging sets be expanded across subcategories within similar weight classes, (analogous to the principle on which ABT is structured under EPA's heavy-duty diesel engine program for criteria pollutants), the agencies are finalizing only three averaging sets—LHD, MHD, and HHD based upon the three weight classes. In other words, all HHD (Class 8) tractors, HHD vocational tractors, and HHD vocational vehicles will be treated as a single averaging set. Similarly, all MHD (Class 7) tractors, MHD vocational tractors, and MHD (Class 6-7) vocational vehicles will be treated as a single averaging set, and LHD vocational vehicles (Class 2b-5) will be treated as a single averaging set. For this category, the structure of the final ABT program should create incentives for vehicle manufacturers to advance new, clean technologies, or existing technologies earlier than they otherwise would. ABT provides manufacturers the flexibility to deal with unforeseen shifts in the marketplace that affect sales volumes. At the same time, restricting trading to within these segments gives the agencies confidence that the reductions are truly offsetting given the similarity in products engaged in trading. This structure also allows for a straightforward compliance program for each sector, with aspects that are independently quantifiable and verifiable.</P>
                    <P>
                        Credit calculation for the final HD Vocational Vehicle and Tractor CO
                        <E T="52">2</E>
                         and fuel consumption credits, either positive or negative, will be generated according to Equation IV-3 and Equation IV-4:
                    </P>
                    <HD SOURCE="HD1">
                        Equation IV-3: The Final HD Vocational Vehicle and Tractor CO
                        <E T="52">2</E>
                         credit (deficit)
                    </HD>
                    <FP SOURCE="FP-2">
                        HD Vocational Vehicle and Tractor CO
                        <E T="52">2</E>
                         credit (deficit)(metric tons) = (Std − FEL) × (Payload Tons) × (Volume) × (UL) × (10
                        <E T="51">-6</E>
                        )
                    </FP>
                    <EXTRACT>
                        <FP SOURCE="FP-2">Where:</FP>
                        <FP SOURCE="FP-2">Std = the standard associated with the specific regulatory subcategory (g/ton-mile)</FP>
                        <FP SOURCE="FP-2">Payload tons = the prescribed payload for each class in tons (12.5 tons for Class 7 tractors, 19 tons for Class 8 tractors, 2.85 tons for LHD vocational, 5.6 tons for MHD vocational, and 7.5 tons for HHD vocational vehicles)</FP>
                        <FP SOURCE="FP-2">FEL = Family Emission Limit for the vehicle family which is equal to the output from GEM (g/ton-mile)</FP>
                        <FP SOURCE="FP-2">Volume = (projected or actual) production volume of the vehicle family</FP>
                        <FP SOURCE="FP-2">UL = useful life of the vehicle (435,000 miles for HHD, 185,000 miles for MHD, and 110,000 miles for LHD)</FP>
                        <FP SOURCE="FP-2">
                            10
                            <E T="51">-6</E>
                             converts the grams of CO
                            <E T="52">2</E>
                             to metric tons
                        </FP>
                    </EXTRACT>
                    <HD SOURCE="HD1">Equation IV-4: Final HD Vocational Vehicle and Tractor Fuel Consumption credit (deficit) in gallons</HD>
                    <FP SOURCE="FP-2">
                        HD Vocational Vehicle and Tractor Fuel Consumption Credit (deficit) (gallons) = (Std − FEL) × (Payload Tons) × (Volume) × (UL) × 10
                        <SU>3</SU>
                    </FP>
                    <EXTRACT>
                        <FP SOURCE="FP-2">Where:</FP>
                        <FP SOURCE="FP-2">Std = the standard associated with the specific regulatory subcategory (gallons/1,000 ton-mile)</FP>
                        <FP SOURCE="FP-2">Payload tons = the prescribed payload for each class in tons (12.5 tons for Class 7 tractors, 19 tons for Class 8 tractors, 2.85 tons for LHD vocational, 5.6 tons for MHD vocational, and 7.5 tons for HHD vocational vehicles)</FP>
                        <FP SOURCE="FP-2">FEL = Family Emission Limit for the vehicle family (gallons/1,000 ton-mile)</FP>
                        <FP SOURCE="FP-2">Volume = (projected or actual) production volume of the vehicle family</FP>
                        <FP SOURCE="FP-2">UL = useful life of the vehicle (435,000 miles for HHD, 185,000 miles for MHD, and 110,000 miles for LHD)</FP>
                        <FP SOURCE="FP-2">
                            10
                            <SU>3</SU>
                             = conversion to gallons
                        </FP>
                    </EXTRACT>
                    <P>Manufacturers of vocational vehicles and tractors that generate a credit deficit at the end of the model year for any of its averaging sets can carry that deficit forward for three years following the model year for which that deficit was generated at which time the deficit must be reconciled with surplus credits. Manufacturers must use credits once those credits have been generated to offset a shortfall before those credits can be banked or traded for additional model years. This restriction reduces the chance of a vehicle manufacturer passing forward deficits before reconciling their shortfalls and exhausting those credits before reconciling past deficits. Deficits will need to be reconciled at the reporting dates for model year three. Surplus credits earned in the vehicle categories will have a five year expiration date. The agencies may reconsider the 5 year credit life during the next phase of the rulemaking.</P>
                    <P>Additional flexibilities for HD vocational vehicles and tractors, discussed later in Section IV.B, provide manufacturers the opportunity to generate early, advanced, and innovative technology credits.</P>
                    <HD SOURCE="HD3">(3) Heavy-Duty Pickup Truck and Van Flexibility Provisions</HD>
                    <P>
                        The NPRM included specific flexibility provisions for manufacturers of HD pickups and vans, similar to provisions adopted in the recent rulemaking for light-duty car and truck GHGs and fuel economy. The agencies are finalizing the flexibilities as proposed. In the heavy-duty pickup and van category a manufacturer's credit or debit balance will be determined by calculating their fleet average performance and comparing it to the manufacturer's CO
                        <E T="52">2</E>
                         and fuel consumption standards, as determined by their fleet mix, for a given model year. A target standard is determined for each vehicle. These targets, weighted by their associated production volumes, are summed at the end of the model year to derive the production volume-weighted manufacturer annual fleet average standard. A manufacturer will generate credits if its fleet average CO
                        <E T="52">2</E>
                         or fuel consumption level is lower than its standard and will generate debits if its fleet average CO
                        <E T="52">2</E>
                         or fuel consumption level is above that standard. To receive the benefit of the advanced technology provisions, if the manufacturer's fleet includes conventional and advanced technology vehicles, the manufacturer will divide this fleet of vehicles into two separate fleets for calculation of fleet average credits. The end-of-year reports will provide the appropriate data to reconcile pre-compliance estimates with final model year figures (see 40 CFR 1037.730 and 49 CFR 535.8).
                    </P>
                    <P>The EPA credit calculation is expressed in metric tons and considers production volumes, the fleet standards and performance, and a factor for the vehicle useful life, as in the light-duty GHG program. The NHTSA credit calculation uses the fleet standard and performance levels in fuel consumption units (gallons per 100 miles), as opposed to fuel economy units (mpg) as done in the light-duty program, along with the vehicle useful life, in miles, allowing the expression of credits in gallons. The total model year fleet credit (debit) calculations will use the following equations:</P>
                    <FP SOURCE="FP-2">
                        CO
                        <E T="52">2</E>
                         Credits (Mg) = [(CO
                        <E T="52">2</E>
                         Std − CO
                        <E T="52">2</E>
                         Act) × Volume × UL] ÷ 1,000,000
                    </FP>
                    <PRTPAGE P="57244"/>
                    <FP SOURCE="FP-2">Fuel Consumption Credits (gallons) = (FC Std − FC Act) × Volume × UL × 100</FP>
                    <EXTRACT>
                        <FP SOURCE="FP-2">Where:</FP>
                        <FP SOURCE="FP-2">
                            CO
                            <E T="52">2</E>
                             Std = Fleet average CO
                            <E T="52">2</E>
                             standard (g/mi)
                        </FP>
                        <FP SOURCE="FP-2">FC Std = Fleet average fuel consumption standard (gal/100 mile)</FP>
                        <FP SOURCE="FP-2">
                            CO
                            <E T="52">2</E>
                             Act = Fleet average actual CO
                            <E T="52">2</E>
                             value (g/mi)
                        </FP>
                        <FP SOURCE="FP-2">FC Act = Fleet average actual fuel consumption value (gal/100 mile)</FP>
                        <FP SOURCE="FP-2">Volume = the total production of vehicles in the regulatory category</FP>
                        <FP SOURCE="FP-2">UL = the useful life for the regulatory category (miles)</FP>
                    </EXTRACT>
                    <P>As described above, HD pickup and van manufacturers will be able to carry forward deficits from their fleet-wide average for three years before reconciling the shortfall. Manufacturers will be required to provide a plan in their pre-model year reports showing how they will resolve projected credit deficits. However, just as in the engine category, manufacturers will need to use credits earned once those credits have been generated to offset a shortfall before those credits can be banked or traded for additional model years. This restriction reduces the chance of vehicle manufacturers passing forward deficits before reconciling their shortfalls and exhausting those credits before reconciling past deficits. Deficits will need to be reconciled at the reporting dates for model year three. Surplus credits earned in the HD pickup and van categories (like surplus credits for all the other subcategories) will have a five year expiration date. The agencies may reconsider the 5 year credit life during the next phase of the rulemaking.</P>
                    <P>Additional flexibilities for heavy-duty pickup and van category are discussed below in Section IV.B which provides manufacturers the opportunity to generate early, advanced and innovative technology credits.</P>
                    <HD SOURCE="HD2">B. Additional Flexibility Provisions</HD>
                    <P>The agencies proposed additional provisions to facilitate reductions in GHG emissions and fuel consumption beginning in the 2014 model year. While EPA and NHTSA believed the ABT and flexibility structure would be sufficient to encourage reduction efforts by heavy-duty highway engine and vehicle manufacturers, the agencies understood that other efforts could create additional opportunities for manufacturers to reduce their GHG emissions and fuel consumption. These provisions would provide additional incentives for manufacturers to innovate and to develop new strategies and cleaner technologies. The agencies requested comment on these provisions, as described below.</P>
                    <HD SOURCE="HD3">(1) Early Credit Option</HD>
                    <P>
                        The agencies proposed that manufacturers of HD engines, HD pickup trucks and vans, combination tractors, and vocational vehicles be eligible to generate early credits if they demonstrate improvements in excess of the standards prior to the model year the standards become effective. As an example, if a manufacturer's MY 2013 subcategory of tractors exceeds the EPA mandatory MY 2014 standard for those same vehicles, then that manufacturer could claim MY 2013 credits or “early credits” to utilize in its ABT program starting in the MY 2014. As noted in the NPRM, the start dates for EPA's GHG standards and NHTSA's fuel consumption standards vary by regulatory category (see Section II for the model years when the standards become effective), meaning that the early credits provision, if selected by a manufacturer, could begin during different model years. The NPRM stated that manufacturers would need to certify their engines or vehicles to the standards at least six months before the start of the first model year of the mandatory standards and that limitations on the use of credits in the ABT programs—
                        <E T="03">i.e.,</E>
                         limiting averaging to within each vehicle or engine averaging set—would apply for the early credits as well. In the NPRM, NHTSA and EPA requested comment on whether a credit multiplier, specifically a multiplier of 1.5, would be appropriate to apply to early credits from HD engines, combination tractors, and vocational vehicles (but not to early credits from HD pickups and vans), as a greater incentive for early compliance. See 75 FR at 74255.
                    </P>
                    <P>The agencies received comments from Cummins, DTNA, EMA/TMA, Navistar, Eaton, Bosch, CBD and CALSTART relating to these early credit provisions. All of these commenters supported the early credit provision for the most part, but many requested that the agencies eliminate some of the restrictions relating to this provision. EMA/TMA argued that MY 2012 should also be considered for early credits and that the requirement to certify six months before the start of the first model year would unnecessarily restrict manufacturers from earning credits for technology introduced within six months of the respective model year. In addition, EMA/TMA stated that requiring certification of the entire averaging set instead of individual vehicle configurations would not allow for early introduction of new technologies. Cummins stated that the six month lead time requirement should be removed and that manufacturers be allowed to earn early credits for individual engine families rather than only for the entire averaging set, stating that removal of these restrictions would further benefit the environment. CBD stated that early credits should only be granted if the emission and fuel consumption benefits are in addition to or above the existing performance levels and are quantifiable and verifiable.</P>
                    <P>EPA and NHTSA have reviewed these comments and decided to clarify the proposed early credit provisions to account for the above concerns. Early credits are intended to be an incentive to manufacturers to introduce more efficient engines and vehicles earlier than they otherwise would be. However, the agencies do not want to provide a windfall of credits to manufacturers that may already have one or more products that meet the standards. Therefore, the final rules include the option for a manufacturer to obtain early credits for products if they certify their entire subcategory at GHG emissions and fuel consumption levels below the standards. See 75 FR at 74255. Thus, for example, early credits could be generated for all HHD engines installed in combination tractors. The agencies are making a clarification in this action that the manufacturers must certify their entire subcategory, not necessarily their entire averaging set, because the averaging sets are broadened under the final rulemaking from the categories proposed in the NPRM. In addition, the agencies are providing the flexibility for combination tractor manufacturers to obtain early credits for their additional sales, as compared to their 2012 model year sales, of SmartWay designated combination tractors (which includes high roof sleeper cabs only) in 2013 model year. The agencies view this subcategory of vehicles as the only segment of vehicles or engines where the true additional reductions due to the early credits can be quantified outside of certifying an entire subcategory, because the benefit is tied directly to the increase in the SmartWay vehicles manufactured in MY 2013 in excess of those manufactured in MY 2012.</P>
                    <P>
                        A manufacturer may opt to apply for early credits from their 2013 model year SmartWay designated combination tractor sales by first calculating the difference between the number of SmartWay designated combination tractors sold in 2012 MY versus 2013 model year. The increment in sales determines the number of 2013 model year SmartWay designated tractors which can be used to certify for early credits, at the manufacturer's choice of which vehicles to consider. The 
                        <PRTPAGE P="57245"/>
                        manufacturer would then determine each tractor configuration's performance by modeling in GEM, using each vehicle configuration's appropriate inputs for coefficient of drag, tire rolling resistance, idle reduction, weight reduction, and vehicle speed limiter. Next, the difference between a specific tractor configuration's performance and the 2014 MY standard for the appropriate regulatory subcategory (
                        <E T="03">e.g.,</E>
                         Class 8 sleeper cab high roof tractors) would be calculated. The CO
                        <E T="52">2</E>
                         and fuel consumption credits are calculated using Equation IV-4 and IV-5.
                    </P>
                    <P>As discussed above and in Section II, manufacturers may opt into the NHTSA voluntary program prior to when the program becomes mandatory. Manufacturers that opt in become subject to NHTSA standards for all regulatory categories. This provides manufacturers the option of complying with NHTSA fuel consumption standards equivalent to the EPA emission standards in order to accumulate credits in the ABT program. If a manufacturer opts into the EPA early credit program, it may also opt into an equivalent NHTSA early credit program. In this case, the manufacturer must enter the program concurrently with the EPA program and will be subject to the full MY 2014-2015/2016 NHTSA voluntary program. NHTSA would like to clarify that for the early credit provision, implementation must occur in MY 2013 exactly as implemented under the EPA emission program, and not in the model year immediately before the NHTSA standards become mandatory (since otherwise manufacturers would generate credits under the fuel consumption program as a result of complying with mandatory GHG standards—a windfall). Further, once a manufacturer opts into the NHTSA program it must stay in the program for all the optional MYs and remain standardized with the implementation approach being used to meet the EPA emission program. EPA and NHTSA intend for manufacturers' ABT credit balances to remain equivalent wherever possible.</P>
                    <P>The agencies also received comments from EMA/TMA and Cummins opposing the requirement to certify six months prior to the first model year of the mandatory standards for early credits. The commenters argued and the agencies agree that this restriction could cause some delays in technology rollout and are therefore not adopting this provision. The agencies reviewed the restriction and evaluated the light-duty 2012-2016 MY vehicle early credit program. No such restriction exists for LD vehicles. We therefore believe that this requirement is not necessary for our implementation of the program. In addition, we are adopting a provision which allows manufacturers to generate early credits for certifying less than a full model year early.</P>
                    <P>
                        Several commenters, including DTNA, Edison Electric Institute, Eaton, and Bosch, supported using a 1.5 multiplier for early credits, stating that it would encourage early introduction of technology. Cummins and UCS opposed the multiplier stating that the opportunity to earn credits at their normal value should be sufficient incentive for early compliance. The agencies believe that this incentive will further encourage faster implementation of emission and fuel savings technology and help to reduce the costs manufacturers will incur in efforts to comply with these rules. The agencies have therefore decided to finalize a 1.5 multiplier for early credits earned in MY 2013.
                        <SU>299</SU>
                        <FTREF/>
                         However, the agencies note that manufacturers may not apply an additional 1.5 multiplier for advanced technology credits which are also certified as early credits.
                    </P>
                    <FTNT>
                        <P>
                            <SU>299</SU>
                             There is no multiplier for the early credit provisions in the light-duty vehicle rule. However, the situation there was more complicated, since early credits needed to be correlated with credit opportunities under the California GHG program for light-duty vehicle, and also needed to be integrated with statutory credits under EPCA/EISA for flexible fuel vehicles. 
                            <E T="03">See</E>
                             75 FR at 25440-443. Thus, the light-duty vehicle rule early credit provisions are not analogous to those adopted in this rule for the heavy duty sector.
                        </P>
                    </FTNT>
                    <P>With respect to heavy-duty pickups and vans, the agencies proposed that early credits could be generated on a fleetwide basis by comparison of the manufacturer's 2013 heavy-duty pickup and van fleet with the manufacturer's fleetwide targets, using the target standards equations for the 2014 model year. 75 FR at 74255. The agencies are finalizing these provisions as proposed. Under the structure for the fleet average standards, this credit opportunity entails certifying a manufacturer's entire HD pickup and van fleet in model year 2013. Industry commenters argued that early credits should be calculated against a target curve that is less stringent than the 2014 curve. We disagree. Because it is the first year of a 5-year phase-in, the 2014 model year has quite modest emissions and fuel consumption reductions targets of only 15 percent of the 2018 model year standards stringency. Targeting even less significant improvements over the baseline would unduly increase the prospect for windfall credits by individual manufacturers who may have better than average baseline fleets. On the other hand, we are confident that the early credit program, based as it is on full fleet compliance with the MY 2014 targets, will not result in windfall credits as it represents, in effect, a complete bringing forward of the program start date by one model year for manufacturers who choose to pursue it. Again, the agencies consider the availability of early credits to be a valuable complement to the overall program to the extent that they encourage early implementation of effective technologies.</P>
                    <HD SOURCE="HD3">(2) Advanced Technology Credits</HD>
                    <P>The NPRM proposed targeted provisions that were expected to promote the implementation of advanced technologies. Specifically, manufacturers that incorporate these technologies would be eligible for special credits that could be applied to other heavy-duty vehicles or engines, including those in other heavy-duty categories. The credits are thus `special' in that they can be applied across the entire heavy-duty sector, unlike the ABT and early credits discussed above and the innovative technology credits discussed in the following subsection. The eligible technologies were:</P>
                    <P>• Hybrid powertrain designs that include energy storage systems.</P>
                    <P>
                        • Rankine cycle engines.
                        <SU>300</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>300</SU>
                             Although as noted in Section III above and in Chapter 2 of the RIA, this technology is still under development and so is not presently available.
                        </P>
                    </FTNT>
                    <P>• All-electric vehicles.</P>
                    <P>• Fuel cell vehicles.</P>
                    <P>NHTSA and EPA requested comment on the list of technologies identified as advanced technologies and whether additional technologies should be added to the list. In addition to the increased fungibility of advanced technology credits, NHTSA and EPA requested comment on whether a credit multiplier, specifically a multiplier of 1.5, would be appropriate to apply to advanced technology credits, as a greater incentive for the technologies' introduction. See 75 FR at 74255.</P>
                    <P>
                        MEMA asked that the agencies expand the list of technologies that are eligible for Advanced Technology Credits to include advanced transmission and drivetrain technologies, tire and wheel accessories, and advanced engine accessories technologies (such as electronic air control systems and clutched turbocharged air compressor). Bendix requested that weight reduction approaches, improved transmission and drivetrains, driver management and coaching, and tire and wheel improvements be allowed to receive 
                        <PRTPAGE P="57246"/>
                        credit through the Advanced Technology Credit Program.
                    </P>
                    <P>The advanced technology credit program is intended to encourage development of technologies that are not yet commercially available. In order to provide incentives for the research and development needed to introduce these technologies, Advanced Technology Credits can be applied to any heavy-duty vehicle or engine and are not limited to the vehicle or engine categories generating the credit. Because of this flexibility in the application of these credits, it is important that the list of eligible technologies only include technologies that are not yet available in the market. In addition, the technologies must lend themselves to straight forward methodologies for quantifying emissions and fuel consumption reductions. For some of the technologies that MEMA and Bendix asked be included in the program, such as electrified accessories and improved tires, the agencies have already established a mechanism for quantifying reductions associated with these approaches. For example, the agencies assumed in the regulatory impact analysis that some electrified accessories will be used to comply with the regulations. Specifically, improved water and oil pumps are assumed to be used for 2014 LHD, MHD, and HHD FTP and SET diesel engines to comply with standards and if used, their performance would be assessed in the engine certification process. (See RIA Chapter 2.4). Any reductions in engine load and resulting emissions and fuel consumption resulting from accessory electrification thus will be accounted for in engine dynamometer testing. However, other electrified accessories, such as air conditioning do not impact engine operation over the FTP and SET cycles. As such, we are allowing credit for tailpipe AC emissions (as opposed to AC leakage) to be established through the Innovative Technology Credit Program described in section IV.B(3) below. With regard to tire rolling resistance improvements, light weight wheels, and weight reduction associated with the use of super single tires, these are already part of the technology basis for the standard for combination tractors and are accounted for in the GEM, and are also part of the technology basis for the standards for heavy-duty pickups and vans (See RIA Chapter 2.3). Some improved transmissions—such as automatic manuals—have been available commercially for ten years and as such, does not meet the criteria to be included on the list of advanced technologies. However, as described in Section IV.B.(3), advanced transmissions and drivetrains could be eligible for credits in the Innovative Technology Credit Program, and the agencies acknowledge the importance of including advanced transmissions and drivetrains in the program. With regard to weight reduction, the agencies are allowing additional weight reduction approaches to be used for tractors through modeling using GEM and through the innovative technology program. And finally, for driver management and coaching—while we recognize that there could be significant benefits to this, the difficulty in establishing a baseline condition for driver behavior limits the agencies' ability to establish a reduction for this approach at this time.</P>
                    <P>The agencies have decided not to change the proposed list of technologies evaluated as advanced technologies, but are providing additional clarity in the advanced technology list. The agencies proposed that Rankine cycle engines be included, but the agencies are adopting the wording of Rankine cycle waste heat recovery system attached to an engine.</P>
                    <P>The agencies received comments from Bendix, Bosch, MEMA, Navistar, Odyne, Green Truck Association, Eaton, ArvinMeritor and Calstart, which supported the 1.5 multiplier for advanced technology credits. MEMA argued that these added flexibilities are absolutely necessary to help advanced technologies penetrate the marketplace and are the primary impetus to integrate these technologies onto vehicles. The agencies also received comments from several stakeholders, including ACEEE and Cummins opposing the 1.5 multiplier for advanced technology credits. ACEEE argued that multipliers should be avoided because they lessen the total emission reductions by allowing a greater increase in the emissions of other vehicles than they offset. After reviewing these comments, the agencies have determined that the relatively low volumes expected in this time frame are likely to mitigate any potential dilution of environmental benefits and be outweighed by the benefits of introduction of advanced technology into the heavy-duty sector. Further, the credit multiplier will provide enough added benefit to the nascent heavy-duty hybrid community to help reduce barriers to market entry for new technologies. Therefore, the final rules include a multiplier of 1.5 for advanced technology credits. However, the agencies are also capping the amount of advanced credits that can be brought into any averaging set into any model year at 60,000 Mg to prevent market distortions.</P>
                    <HD SOURCE="HD3">(a) HD Pickup Truck and Van Hybrids and all Electric Vehicles</HD>
                    <P>For HD pickup and van hybrids, the agencies proposed that testing would be done using adjustments to the test procedures developed for light-duty hybrids. See 75 FR at 74255. NHTSA and EPA also proposed that all-electric and other zero tailpipe emission vehicles produced in model years before 2014 be able to earn credits for use in the 2014 and later HD pickup and van compliance program, provided the vehicles are covered by an EPA certificate of conformity for criteria pollutants. These credits would be calculated based on the 2014 diesel standard targets corresponding to the vehicle's work factor, and treated as though they were earned in 2014 for purposes of credit life. Manufacturers would not have to early-certify their entire HD pickup and van fleet in a model year as for other early-complying vehicles.</P>
                    <P>
                        NHTSA and EPA also proposed that model year 2014 and later EVs and other zero tailpipe emission vehicles be factored into the fleet average GHG and fuel consumption calculations based on the diesel standards targets for their model year and work factor. A manufacturer also has the option to subtract these vehicles out of its fleet and determine their performance as advanced technology credits that can be used for all other HD vehicle categories, but these credits would, of course, not then be reflected in the manufacturer's pickup and van category credit balance. Commenters generally supported the introduction of hybrid and zero tailpipe emission vehicles, but did not comment on the specific provisions discussed above. The agencies also proposed in determining advanced technology credits for electric and zero emission vehicles that in the credits equation the actual emissions and fuel consumption performance be set to zero (
                        <E T="03">i.e.</E>
                         that emissions be considered on a tailpipe basis exclusively). We are finalizing these provisions as proposed.
                    </P>
                    <P>
                        The proposal also solicited comment on the accounting of upstream GHG emissions. Some commenters argued that EPA should maintain its traditional focus in mobile source rulemakings on vehicle tailpipe emissions and leave the consideration of GHG emissions from upstream fuel production and distribution-related sources such as refineries and power plants to EPA regulatory programs which could focus specifically on those sources. Others argued that, since EPA accounts for upstream GHG emissions in its benefits assessments, the agency should reflect 
                        <PRTPAGE P="57247"/>
                        upstream GHG emissions impacts in vehicle compliance values as well. After considering these comments, the agencies have decided to base the credit accounting on tailpipe emissions only. The agencies believe that introduction of EV technology into the heavy-duty pickup and van sector in these model years will be limited and that incentives are important to encourage such introduction. Similarly, the agencies believe that use of EV technology for these vehicles in these model years will be infrequent so that there is no need to adopt a cap whereby upstream emissions would be counted after a certain volume of sales. See 75 FR at 25434-438 (adopting such a cap for light-duty vehicles under the 2012-2016 MY GHG standards). We also recognize that the ongoing EPA/NHTSA rulemaking to reduce GHGs and fuel consumption in MY 2017 and later light-duty vehicles is examining this issue, and may yield information and policy direction relevant to the planned follow-on rulemaking for the heavy-duty sector.
                    </P>
                    <HD SOURCE="HD3">(b) Vocational Vehicle and Tractor Hybrids</HD>
                    <P>For vocational vehicles or combination tractors incorporating hybrid powertrains, we proposed two methods for establishing the number of credits generated—chassis dynamometer and engine dynamometer testing—each of which is discussed next. As discussed in the NPRM the agencies are not aware of models that have been adequately peer reviewed with data that can assess this technology without the conclusion of a comparison test of the actual physical product.</P>
                    <HD SOURCE="HD3">(i) Chassis Dynamometer Evaluation</HD>
                    <P>
                        For hybrid certification to generate credits we proposed to use chassis testing as an effective way to compare the CO
                        <E T="52">2</E>
                         emissions and fuel consumption performance of conventional and hybrid vehicles. See 75 FR at 74256. We proposed that heavy-duty hybrid vehicles be certified using “A to B” vehicle chassis dynamometer testing. This concept allows a hybrid vocational vehicle manufacturer to directly quantify the benefit associated with use of its hybrid system on an application-specific basis. The concept would entail testing the conventional vehicle, identified as “A”, using the cycles as defined in Section V. The “B” vehicle would be the hybrid version of vehicle “A”. The “B” vehicle would need to be the same exact vehicle model as the “A” vehicle. As an alternative, if no specific “A” vehicle exists for the hybrid vehicle that is the exact vehicle model, the most similar vehicle model would need to be used for testing. We proposed to define the “most similar vehicle” as a vehicle with the same footprint, same payload, same testing capacity, the same engine power system, the same intended service class, and the same coefficient of drag. We did not receive any adverse comments to this approach and are therefore adopting the same criteria as proposed.
                    </P>
                    <P>
                        To determine the benefit associated with the hybrid system for GHG performance, the weighted CO
                        <E T="52">2</E>
                         emissions results from the chassis test of each vehicle would define the benefit as described below:
                    </P>
                    <P>
                        1. (CO
                        <E T="52">2</E>
                        _A − CO
                        <E T="52">2</E>
                        _B)/(CO
                        <E T="52">2</E>
                        _A) = __ (Improvement Factor)
                    </P>
                    <P>
                        2. Improvement Factor × GEM CO
                        <E T="52">2</E>
                         Result_B = ___ (g/ton mile benefit)
                    </P>
                    <P>Similarly, the benefit associated with the hybrid system for fuel consumption would be determined from the weighted fuel consumption results from the chassis tests of each vehicle as described below:</P>
                    <P>3. (Fuel Consumption_A—Fuel Consumption_B)/(Fuel Consumption_A) = ___ (Improvement Factor)</P>
                    <P>4. Improvement Factor × GEM Fuel Consumption Result_B = ___ (gallon/1,000 ton mile benefit)</P>
                    <P>The credits for the hybrid vehicle would be calculated as described in the ABT program except that the result from Equation 2 and Equation 4 above replaces the (Std-FEL) value.</P>
                    <P>
                        The agencies proposed two sets of duty cycles to evaluate the benefit depending on the vehicle application to assess hybrid vehicle performance—without and with PTO systems. The key difference between these two sets of vehicles is that one set (
                        <E T="03">e.g.,</E>
                         delivery trucks) does not operate a PTO while the other set (
                        <E T="03">e.g.,</E>
                         bucket and refuse trucks) does.
                    </P>
                    <P>The first set of duty cycles would apply to the hybrid powertrains used to improve the motive performance of the vehicles without a PTO system (such as pickup and delivery trucks). The typical operation of these vehicles is very similar to the overall drive cycles final in Section II. Therefore, the agencies are finalizing to use the same vehicle drive cycle weightings for testing these vehicles, as shown in Table IV-1.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table IV-1—Final Drive Cycle Weightings for Hybrid Vehicles Without PTO</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">
                                Transient
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="1">
                                55 mph
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="1">
                                65 mph
                                <LI>(percent)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Vocational Vehicles</ENT>
                            <ENT>75%</ENT>
                            <ENT>9%</ENT>
                            <ENT>16%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Day Cab Tractors</ENT>
                            <ENT>19%</ENT>
                            <ENT>17%</ENT>
                            <ENT>64%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Sleeper Cab Tractors</ENT>
                            <ENT>5%</ENT>
                            <ENT>9%</ENT>
                            <ENT>86%</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        The second set of duty cycles apply to testing hybrid vehicles used in applications such as utility and refuse trucks which tend to have additional benefits associated with use of stored energy, in terms of avoiding main engine operation and related CO
                        <E T="52">2</E>
                         emissions and fuel consumption during PTO operation. To appropriately address benefits, exercising the conventional and hybrid vehicles using their PTO would help to quantify the benefit to GHG emissions and fuel consumption reductions. The duty cycle proposed to quantify the hybrid CO
                        <E T="52">2</E>
                         and fuel consumption impact over this broader set of operation was the three primary drive cycles plus a PTO duty cycle. The PTO duty cycle as proposed took into account the sales impact and population of utility trucks and refuse haulers. As described in RIA Chapter 3, the agencies proposed to add an additional PTO cycle to measure the improvement achieved for this type of hybrid powertrain application. The agencies welcomed comments on the final drive cycle weightings and the final PTO cycle.
                    </P>
                    <P>
                        The agencies received comments from Cummins stating that the proposed weighting of the PTO cycle used a time-based weighting instead of a VMT-based weighting. For the final rules, the agencies derived new PTO cycle weighting by calculating the average speed of a vehicle during the motive portion of its operation, as detailed in RIA Chapter 3.7.1.1. The average speed is used in a conversion factor to convert the emissions from the PTO operation 
                        <PRTPAGE P="57248"/>
                        measured in grams per hour into grams per ton-mile. A number of comments were received on the proposed hybrid chassis testing approach.
                    </P>
                    <P>
                        The agencies received comments from engine manufacturers, hybrid manufacturers, and industry associations, as well as non-governmental organizations related to proper characterization of hybrid performance. To address concerns raised by commenters regarding hybrid testing several updates have been made to clarify a hybrid engine and/or system for pre-transmission, post-transmission, and chassis dynamometer testing. As described in 40 CFR 1036.801, a hybrid engine or hybrid power train means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. A hybrid vehicle is defined in 40 CFR 1037.801 and it means a vehicle that includes energy storage features (other than a conventional battery system or conventional flywheel) in addition to an internal combustion engine or other engine using consumable chemical fuel. The duty cycles used for testing hybrid systems as either the post-transmission or complete chassis configuration will be retained from the proposal, however the weighting factors have been adjusted so that the performance of applications expected to be hybridized in the near term is better reflected. The testing provisions for evaluating the performance including the driver model definition, vehicle model, and overall cycle performance have been enhanced as described in 40 CFR 1036.525 and 40 CFR 1037.525. Additionally, provisions for evaluating power take-off performance improvement have been addressed for charge-sustaining testing. For those hybrid systems which utilize shore power (
                        <E T="03">e.g.</E>
                         plug-in hybrids), an innovative technology approach in which the certifier characterizes the performance associated with the operation of the system in a charge-depleting and charge-sustaining mode is most appropriate given the potential for variability in performance between applications and system designs. To address the issue of parity between methods it should be clarified that the approach taken for hybrid testing is consistent for chassis cycle based testing. This method used for both post-transmission and complete vehicle chassis testing is the development of an improvement factor which is then related to the base system performance. The pre-transmission approach relies on work based assessment of performance as with the current engine standards.
                    </P>
                    <P>Comments were received from EMA/TMA, ACEEE, stating that the hybrid definition and test methodology needs to be more clearly defined. Cummins and EMA/TMA asked that the control volumes for the chassis test procedure be specified. Allison stated that the baseline configuration in A to B testing needs clarification—as an example they said it is not clear if the baseline vehicle needs to be the same model year as the hybrid configuration. They added that it is unclear how to account for hotel or accessory loads.</P>
                    <P>EMA/TMA, Allison, Odyne, and American Trucking Association said that the hybrid drive cycles do not match real world hybrid applications, and as such, will result in an underestimation of benefits resulting from hybrid use. Some or all of these commenters asked that a hybrid drive cycle be developed that consists mainly of transient cycle, increased idle time, low steady state operation, and high acceleration and deceleration rates. EMA/TMA said the proposed cycle—the CARB heavy-heavy duty truck transient mode cycle, was developed as a composite cycle based on a wide range of medium- and heavy-duty vehicles but does not reflect the high acceleration and deceleration of vehicles used in urban applications and which is typical for hybrid vehicles and does not reflect the level of acceleration and deceleration typical of hybrids. Eaton asked that the agencies establish four separate test cycles for hybrids rather than two that more closely match what actual hybrids do in use. Hino said that energy recapture from regenerative braking needs to be built into the test cycle and as currently designed it is not. Hino also urged the agencies to create test cycles that capture variations in different types of hybrids. Cummins said that more representative vehicle test cycles should be developed based on the FTP and SET to ensure that the test cycles are functionally equivalent between vehicles and engines to ensure fair evaluation of the technology. ICCT articulated the same point on the need for parity between engine and vehicle test cycles.</P>
                    <P>EMA/TMA, DTNA, and Cummins asked that manufacturers not be required to conduct coastdown testing for hybrid vehicles to establish road loads for each type of vehicle. Instead, they asked that the agencies define default road load values for manufacturers to use for hybrids. EMA/TMA said that conducting coastdown tests is expensive. They also argued that road load is irrelevant to determining hybrid performance since the chassis dynamometer method requires a comparison of a vehicle that is identical in all respects except those factors directly relating to the hybrid powertrain.</P>
                    <P>Cummins, ICCT, and Center for Clean Air Policy expressed general support for chassis dynamometer testing. Allison said that the lack of dynamometer infrastructure could limit the ability of manufacturers to certify and get hybrids into the market place. BAE said that hybrids should not have to be tested on a chassis dynamometer.</P>
                    <P>
                        Given the options available for certification of hybrid systems, the constraints on available infrastructure for traditional chassis testing and coastdown testing has been mitigated. Should a manufacturer contemplate chassis testing or powerpack testing to assess hybrid vehicle performance, coastdown testing will still be needed for vocational applications to develop the road load values. To address concerns regarding the baseline vehicle definition, the following clarifications are provided. The baseline vehicle must be identical to the hybrid, with the exception being the presence of the hybrid vehicle. Should an identical vehicle not be available as a baseline, the baseline vehicle and hybrid vehicle must have equivalent power or the hybrid vehicle must have greater power. Additionally, the sales volume of the conventional vehicle from the previous model year (the vehicle being displaced by the hybrid), must be substantially such that there can be a reasonable basis to believe the hybrid certification and related improvement factor are authentic. Should no previous year baseline or otherwise existing baseline vehicle exist, the manufacturer shall produce or provide a prototype equivalent test vehicle. For pre-transmission hybrid certification, drivetrain components will not be included in the testing, as is the case for criteria pollutant engine certification today on a brake-specific basis. Manufacturers are expected to submit A to B test results for the hybrid vehicle certification being sought for each vehicle family. Manufacturers may choose the worst case performer as a basis for the entire family. The agencies continue to expect to use existing precedent regarding treatment of accessory loads for purposes of chassis testing. Accessory loads for A to B testing will not need to be accounted for differently for hybrid A to B chassis testing than for criteria pollutant chassis testing. Based on the description of the hybrid engines and vehicles as found in 
                        <PRTPAGE P="57249"/>
                        40 CFR 1036 and 1037.801, the agencies will not restrict hybrid configuration certification. The expectation is that hybrid engines and vehicles certified under the provisions for GHG will use certified engines. As stated previously, based on data provided by commenters and industry associations, the agencies have revised the duty cycles for complete vehicle and post-transmission powerpack testing by revising the weighting factors such that the performance of the hybrid system is more appropriately characterized. The new weighting factors result in a performance assessment that more closely matches performance seen in-use by many of the applications most likely to be hybridized in the near-term. At this time the requirement to conduct coastdown testing remains in place for the vehicle to be chassis tested or for the simulated vehicle in powertrain testing. Absent appropriate coefficients that accurately reflect vehicle performance, making an assumption about vehicle performance could lead to erroneous results and/or errors in the performance assessment. The agencies have provided numerous flexibilities, so the options available to those manufacturers who choose to certify hybrid engines or vehicles are not constrained to a single test method for which limited infrastructure may exist.
                    </P>
                    <HD SOURCE="HD3">(ii) Engine Dynamometer Evaluation</HD>
                    <P>The engine test procedure proposed in the NPRM for hybrid evaluation involved exercising the conventional engine and hybrid-engine system based on an engine testing strategy. The basis for the system control volume, which serves to determine the valid test article, would need to be the most accurate representation of real world functionality. An engine test methodology would be considered valid to the extent the test is performed on a test article that does not mischaracterize criteria pollutant performance or actual system performance. Energy inputs should not be based on simulation data which is not an accurate reflection of actual real world operation. Pre-transmission test protocols will include both the engine and the hybrid system for assessing GHG performance, however EPA is not changing criteria pollutant certification at this time for engines. In effect, the engine will need to be certified for criteria pollutant performance, while the engine and hybrid system in combination may be certified for GHG performance. It is clearly important to be sure credits are generated based on known physical systems. This includes testing using the appropriate recovered vehicle kinetic energy. Additionally, the duty cycle over which this engine-hybrid system would be exercised would need to reflect the use of the application, while not promoting a proliferation of duty cycles which prevent a standardized basis for comparing hybrid system performance. The agencies proposed the use of the Heavy-duty FTP cycle for evaluation of hybrid vehicles, which is the same test cycle final for engines installed in vocational vehicles. For powerpack testing, which includes the engine and hybrid systems in a pre-transmission format, the engine based testing is applicable for determination of brake-specific emissions benefit versus the engine standard. For post-transmission powertrain systems and vehicles, the comparison evaluation based on the Improvement Factor and the GEM result based on a vehicle drive trace in a powertrain test cell or chassis dynamometer test cell seem to accurately reflect the performance improvements associated with these test configurations. It is important that introduction of clean technology be incentivized without compromising the program intent of real world improvements in GHG and fuel consumption performance. In the NPRM the agencies asked for comments on the most appropriate test procedures to accurately reflect the performance improvement associated with hybrid systems tested using these or other protocols. 75 FR at 74257.</P>
                    <P>A number of comments were received on the proposed engine testing approaches. Comments were received from EMA/TMA, Cummins, Allison, Hino, and ICCT, stating that the hybrid test methodology needs to be more clearly defined. EMA/TMA, Cummins, and Allison stated that the agencies have not defined what they will accept as a “complete hybrid system” and a clearer definition for hybrids needs to be developed. For example, Allison stated that the DRIA says that a “complete hybrid system” can exclude the transmission. They added that a hybrid system must include a transmission. EMA/TMA stated that simulated engine dynamometer testing should include hybrid components. EMA/TMA stated that the agencies' proposal that part 1065 may be amended, but did not provide specifics on how it might be amended. They suggested the following changes to part 1065: (1) All engine and hybrid components capable of providing or recovering traction power be included in the control volume; (2) use of hybrid system torque curves rather than engine torque curves; (3) reference to J2711 for management of energy storage devices; (4) adhere to conventional calculation of emissions with only positive work counted; and (5) provide an estimate of maximum available kinetic energy in 1065 to ensure that energy capture is consistent with real world operation of hybrids.</P>
                    <P>Hino said that energy recapture from regenerative braking needs to be built into the test cycle and as currently designed it is not. Regenerative braking provides fuel consumption and GHG reduction benefits. Eaton said that the proposed powerpack testing does not capture true performance of hybrid vehicles. As noted above, ICCT commented on the need for parity between engine and vehicle test cycles. They supported hardware-in-the-loop post-transmission testing, but only if an equivalent cycle is used as for chassis testing.</P>
                    <P>Concerns were raised by hybrid system manufacturers that the potential for a competitive advantage could exist for hybrids using different methods for certification based solely on the test method chosen. For determination of the allowable brake energy that may be used for the test cycle with hybrid engines, it is important to provide consistency between test methods. For that reason EPA is setting a brake energy fraction limit based on the engine FTP duty cycle which would apply to the pre-transmission hybrid and defining that as the limit for the post-transmission maximum available brake energy as well. The brake energy fraction will need to be determined based on the engine performance and the brake energy fraction limit will apply for all powertrain test cell (powerpack) testing. This limit on the brake energy fraction will be ratio of negative work to positive work as a function of engine rated power.</P>
                    <P>
                        The agencies are also finalizing that the proposed duty cycles considered for the proposal will continue to be used with this final action. The agencies proposed a transient duty cycle, a 55-mile-per-hour steady state cruise and a 65-mile-per-hour steady state cruise. The transient duty cycle, which has been corrected to address a concern related to shift events, is essentially the same transient cycle proposed in the NPRM with the exception that it minimizes inappropriate shift events. Additionally, the steady state cycles proposed by the Agencies remain essentially unchanged. The modification being adopted with today's final action is to address the distribution of the emissions impact associated with each duty cycle. However, in response to the concerns detailed above and 
                        <PRTPAGE P="57250"/>
                        raised by engine manufacturers, hybrid system manufacturers, environmental groups, and NGOs regarding the lack of transient operation in the hybrid cycles, the agencies are finalizing a change in the weighting of the hybrid vehicle cycles. The weighting factors will be changed such that a greater emphasis on the type of transient activity seen as more characteristic of hybrid applications will be evident. The new weighting factors between duty cycles for hybrid certification (without PTO) will be 75 percent for the transient, 9 percent for the 55 mph cruise cycle, and 16 percent for the 65 mph cruise cycle. The basis for this change may be seen in the memorandum to OAR Docket EPA-HQ-OAR-2010-0162 which describes the data set used to describe real world vehicle performance. Additionally, provisions for addressing brake energy fraction have been provided in 40 CFR 1036.525 for hybrid engine testing. The control volume for testing hybrid systems for GHG and fuel consumption assessment has included all hybrid power systems and for powertrain testing that is post-transmission, simulated components including tires and regenerative braking impacts. Additionally, provisions for accounting for the hybrid system and engine torque curve are available in the hybrid test procedures of 40 CFR 1036.525.
                    </P>
                    <P>In addition, the final rules allow manufacturers that want to certify a hybrid on a different test cycle than the cycles described above for chassis and engine dynamometer testing instead make a demonstration using the procedures set out in the Innovative Technology Credit provisions. Likewise, a manufacturer seeking to certify a hybrid using an alternative approach, such as simulation modeling, would need to follow the procedure described in the Innovative Technology Credit section. However, manufacturers whose alternative hybrid testing procedure is approved through the Innovative Technology Credit Program would receive credits through the Advanced Technology Credit Program so such credits would be fungible across all vehicle and engine categories and would receive the 1.5 multiplier.</P>
                    <P>EMA/TMA also asked that in addition to the above-described engine, chassis, and powerpack testing, other yet-to-be-defined methods should be allowed so that a novel application of hybrids can be evaluated for credit. They included hydraulic, kinetic, electro-mechanical, and genset hybrids as examples of additional configurations that should be accommodated by additional test cycles. Allison asked how emissions and fuel consumption changes associated with ageing of hybrid systems will be accounted for. ACEEE encouraged the agencies to finalize the three approaches outlined in the NPRM for hybrid testing in the final rules.</P>
                    <P>Cummins supported three proposed options for evaluating hybrids. ICCT supported option 1 and 3, but not 2. ICCT stated that EPA and NHTSA need to ensure that: (1) Each hybrid test method/test cycle combination requires the same amount of total energy to run the cycle (for a specific vehicle weight), (2) each test method/test cycle combination has the same amount of total energy available for capture as regeneration by a hybrid system, and (3) that this available regeneration energy appears in similar increments in each test method/test cycle combination.</P>
                    <P>In allowing for three options for certification of hybrids, two of those options require the use of a baseline vehicle. The post-transmission hybrid certification and the chassis dynamometer certification options are designed to allow for an assessment of the improvement offered by incorporating a hybrid system into the vehicle. Determination of an improvement factor for hybrid vehicle performance is significantly influenced by the selection of the baseline vehicle, test article “A”. The Agencies received comments from engine and hybrid system manufacturers that the options for selection of the baseline should be carefully considered to avoid an unintended consequence of limited real world improvement due to selection of a baseline that was inappropriate. Several concerns regarding an inappropriate baseline were broached including selection of technology that is not actually available in the market, selection of baseline technology that is not representative of the application(s) either by sales volume or use, or selection of a baseline that in other ways provides an advantage to a manufacturer which creates an unfair competitive advantage. To address the concern of improvement factors that have a basis in reality and demonstrate real world improvements, as well as to continue to create incentives for the introduction of new technology the Agencies are addressing the issue of the baseline selection, as well as the determination of a “most similar” vehicle basis in the case where there may not be an existing production vehicle upon which the hybrid vehicle was based.</P>
                    <P>
                        In making the determination of an appropriate baseline, four options were considered by the agencies. These options included a fixed baseline weight and definition by vehicle class, a non-hybrid baseline intended for production vehicle and transmission system, a best in class conventional application, or vehicle based on highest sales volume. Each of these options has benefits and each raises potential concerns. The determination based solely on a single vehicle by class has the advantage of providing a fixed baseline the entire industry may easily target for assessing improvements. It raises concerns regarding the suitability of the vehicle selection for all applications in the weight class, as well as the appropriateness of the selection based on performance across the full range of vehicles and weights in the weight class. The “intended for production” conventional vehicle baseline ensures the baseline and hybrid vehicle pair will represent a real improvement for the specific application. The challenge exists when the conventional vehicle version of the hybrid may not exist. Another issue would exist if the conventional vehicle in the pair had performance characteristics such that the hybrid version does not represent significant improvements beyond other conventional vehicles. The best in class baseline vehicle approach provides some assurance that the improvement factor generated by the hybrid vehicle or system would in fact represent introduction of advanced technology with improvements beyond existing conventional technology. The opportunity for confusion that exists with a best in class determination includes matching all of the appropriate performance metrics with the appropriate applications in a way that is consistent with how the market values those improvements. This can become a moving target which could represent an ever evolving design target and eventually prove difficult for the Agencies to implement in a way that ensured a level playing field. The last option attempts to include the benefits of the previous options, while maintaining the clarity needed for manufacturers to design and build with a clear understanding of design targets. The highest sales volume application by weight class for the previous model year ensures benefits are measured based on how the market values performance. This has the potential to avoid ambiguity regarding which vehicle technology should serve as the baseline and it addresses a concern raised by some commenters regarding the use of a baseline vehicle that clearly is not a class leader. The presumption being that the market will value the conventional technology that provides the best value over the lifetime of the vehicle for its 
                        <PRTPAGE P="57251"/>
                        intended service class and application. This approach is intended to be used in conjunction with the basic premise that the “A” vehicle will be the vehicle most similar to the hybrid “B” vehicle.
                    </P>
                    <P>
                        Should no apparent baseline be available, the vehicle being displaced by the hybrid may be determined based on several characteristics including but not limited to vehicle class, vehicle application, and complete power system rated power (
                        <E T="03">e.g.</E>
                         engine rated power for the base vehicle versus combined rated power for the engine-hybrid system). The agencies will continue to use the primary method of highest sales volume, by application and vehicle weight class in its assessment of the manufacturers selection of a baseline, however should there be a new application introduced with no apparent existing baseline, the closest baseline vehicle may be selected by the manufacturer and will be evaluated by the agencies.
                    </P>
                    <P>The commenters' concerns will continue to be reviewed by the agencies as the program is implemented; however, the approach suggested may not be appropriate across every method. To the extent that the pre-transmission testing is a work based assessment consistent with today's engine testing, we are remaining consistent with current practices in which the engine certification has applicability across applications. With that said we have defined a regenerative brake limit that will align the relative energy (regenerative to tractive) across all three methods. This can be found in 40 CFR 1036.525.</P>
                    <P>Given the use of the same duty cycles for both post-transmission and chassis dynamometer testing, we are capturing the performance of the powertrain by exercising it in the same manner for both methods, so the methods will be equivalent in all three aspects that were mentioned by the commenter.</P>
                    <HD SOURCE="HD3">(3) Innovative Technology Credits</HD>
                    <P>
                        The agencies proposed a credit opportunity intended to apply to new and innovative technologies that reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions, but for which the reduction benefits are not captured over the test procedure, including the GEM, used to determine compliance with the standards (
                        <E T="03">i.e.,</E>
                         the benefits are “off-cycle”). See 75 FR at 74257-58; see also 75 FR 25438-25440 where EPA adopted a similar credit program for MY 2012-2016 light-duty vehicles.
                    </P>
                    <P>
                        The agencies explained in the NPRM that EPA and NHTSA are aware of some emerging and innovative technologies and concepts in various stages of development with CO
                        <E T="52">2</E>
                         emissions and fuel consumption reduction potential that might not be adequately captured on the final certification test cycles or are not inputs to the GEM, and that some of these technologies might merit some additional CO
                        <E T="52">2</E>
                         and fuel consumption credit generating potential for the manufacturer. Eligible innovative technologies are those technologies that are newly introduced in one or more vehicle models or engines, but that are not yet widely implemented in the heavy-duty fleet—and more specifically, not yet widely implemented in the averaging set for which the credit is sought. Examples of such technologies mentioned in the NPRM include predictive cruise control, gear-down protection, active aerodynamic features, and adjustable ride height. Innovative technologies can include known, commercialized technologies if they are not yet widely utilized in a particular heavy-duty sector subcategory. Any credits for these technologies would need to be based on real-world fuel consumption and GHG reductions that can be measured with verifiable test methods using representative driving conditions typical of the engine or vehicle application.
                    </P>
                    <P>
                        In the NPRM, the agencies stated that we would not consider technologies to be eligible for these credits if the technology has a significant impact on CO
                        <E T="52">2</E>
                         emissions and fuel consumption over the primary test cycles, or if it is one of the technologies on whose performance the various vehicle and engine standards are premised. The agencies believe it is appropriate to provide an incentive to encourage the introduction of these types of technologies and that a credit mechanism is an effective way to do so. Further, there needs to be a mechanism to account for the emission reductions and fuel efficiencies resulting when an innovative technology is used. The agencies proposed that this optional credit opportunity would be available through the 2018 model year reflecting that technologies which are now uncommon may be more widely utilized by then, but the agencies sought comment on the need to extend the ability to earn credits beyond the model year 2018. See generally 75 FR at 74257-258.
                    </P>
                    <P>EPA and NHTSA also proposed that credits generated using innovative technologies be restricted within the subcategory averaging set where the credit was generated but requested comments on whether these innovative technology credits should be fungible across vehicle and engine categories.</P>
                    <P>
                        The agencies also proposed that manufacturers quantify CO
                        <E T="52">2</E>
                         and fuel consumption reductions associated with the use of the off-cycle technologies such that the credits could be applied based on the metrics (such as g/mile and gal/100 mile for pickup trucks, g/ton-mile and gal/1,000 ton-mile for tractors and vocational vehicles, and g/bhp-hr and gal/100 bhp-hr for engines). Credits would have to be based on real additional reductions of CO
                        <E T="52">2</E>
                         emissions and fuel consumption and would need to be quantifiable and verifiable with a repeatable methodology. Such data would be submitted to EPA and NHTSA, and would be subject to a public evaluation process in which the public would have opportunity for comment. 
                        <E T="03">See</E>
                         75 FR at 74258. We proposed that the technologies upon which the credits are based would be subject to full useful life compliance provisions, as with other emissions controls. Unless the manufacturer can demonstrate that the technology would not be subject to in-use deterioration over the useful life of the vehicle, the manufacturer would have to account for deterioration in the estimation of the credits in order to ensure that the credits are based on real in-use emissions reductions over the life of the vehicle.
                    </P>
                    <P>
                        In cases where the benefit of a technological approach to reducing CO
                        <E T="52">2</E>
                         emissions and fuel consumption cannot be adequately represented using existing test cycles, it was proposed that EPA and NHTSA would review and approve as appropriate test procedures and analytical approaches to estimate the effectiveness of the technology for the purpose of generating credits. The demonstration program would have to be robust, verifiable, and capable of demonstrating the real-world emissions benefit of the technology with strong statistical significance.
                    </P>
                    <P>
                        Finally, the agencies explained in the NPRM that the CO
                        <E T="52">2</E>
                         and fuel consumption benefit of some technologies may have to be demonstrated with a modeling approach. In other cases manufacturers might have to design on-road test programs that are statistically robust and based on real world driving conditions. As with the similar procedure for alternative off-cycle credits under the light-duty 2012-2016 MY vehicle program, the agencies would include an opportunity for public comment as part of any approval process.
                    </P>
                    <P>
                        The agencies requested comments on the proposed approach for off-cycle innovative technology emissions credits, including comments on how 
                        <PRTPAGE P="57252"/>
                        best to structure the program. EPA and NHTSA particularly requested comments on how the case-by-case approach to assessing off-cycle innovative technology credits could best be designed, including ways to ensure the verification of real-world emissions benefits and to ensure transparency in the process of reviewing manufacturer's proposed test methods.
                    </P>
                    <P>The agencies received numerous comments relating to all aspects of the innovative technology credit flexibility provision. The vast majority of the commenters supported this provision as proposed, but requested that certain aspects be further clarified, so the agencies are adopting the full provision as proposed and providing further discussion that addresses and clarifies the provision in response to comments. We also note generally that many comments asserting that the GEM or certain of the engine standards failed to account for certain types of emission reductions associated with technology improvements did not consider the availability of innovative technologies for such technologies. These comments are addressed specifically in the Response to Comment Document or elsewhere in this preamble.</P>
                    <P>
                        A number of organizations, including DTNA, MEMA, Navistar, Green Truck Association, Eaton, ACEEE, and NESCAUM, commented that technologies such as advanced transmissions, engine cooling strategies, idle reduction, light-weight components (including light-weight engines), and advanced drivelines should be able to receive credit through the innovative technology program. The agencies agree with these commenters. The NPRM did not provide a specific list of technologies that the agencies would consider “innovative” because the agencies intended that an innovative technology could be any technology not in widespread use in the subcategory that can be proven to reduce CO
                        <E T="52">2</E>
                         emissions and fuel consumption but for which the benefits are not captured utilizing the FTP procedures, SET procedures and GEM methodology used to determine compliance with the emission and fuel consumption standards. Any of the suggested technologies could be considered as an innovative technology if the associated emission and fuel consumption benefit has not already been considered to have widespread use in the subcategory, if the associated emission and fuel savings can be measured and validated, and if the technology and measurement methodology have been approved by the agencies. NHTSA and EPA will determine the impact of the technology and each agency in turn will accept the credits either jointly or independently depending upon whether the technology has a direct bearing upon GHG or fuel consumption performance.
                    </P>
                    <P>A number of commenters, including Bendix, Bosch, Cummins, EMA/TMA, Eaton, DTNA, Navistar, Volvo, ArvinMeritor and USC requested that the innovative technology process and procedures be more clearly structured and defined. Bendix requested that the agencies prescribe specific processes and procedures in the final rules by which innovative technologies can be submitted for review and approval. EMA/TMA requested that the agencies provide guidance on the certification process, and suggested that existing fuel consumption test procedures developed jointly by the Society of Automotive Engineers (SAE) and the Technology &amp; Maintenance Council (TMC), specifically that the Type II and Type III procedures be used. Eaton requested that the agencies identify test methods that can be used for certification in order to provide transparency and certainty, and promote early technology introduction. In response to these comments, the agencies have further defined the process in the final action.</P>
                    <P>
                        In cases where the benefit of a technological approach to reducing CO
                        <E T="52">2</E>
                         emissions and fuel consumption cannot be adequately represented using existing test cycles, EPA and NHTSA will review and approve test procedures and analytical approaches as appropriate to estimate the effectiveness of the technology for the purpose of generating credits. The innovative technologies will be evaluated in an A-to-B comparison. The baseline engine and/or vehicle configuration must represent a configuration which is equivalent to the engine and/or vehicle with the innovative technology in terms of the other aspects of the engine and/or vehicle to prevent double counting of emissions reductions or gaming.
                    </P>
                    <P>Since innovative credits will be available for use within the same averaging set as the engine or vehicle which employs the innovative technology (for reasons explained below), the agencies are defining innovative credit approaches by regulatory category.</P>
                    <HD SOURCE="HD3">(a) Heavy-Duty Pickup Truck and Van Innovative Technology Credits</HD>
                    <P>
                        For HD pickups and vans, EPA and NHTSA proposed that they would review and approve manufacturer-provided test procedures and analytical approaches to estimate the effectiveness of a technology for the purpose of generating credits. The proposal also expressed the view that the 5-cycle approach currently used in EPA's fuel economy labeling program for light-duty vehicles may provide a suitable test regime, provided it can be reliably conducted on the dynamometer and can capture the impact of the off-cycle technology (
                        <E T="03">see</E>
                         71 FR 77872, December 27, 2006). EPA established the 5-cycle test methods to better represent real-world factors impacting fuel economy, including higher speeds and more aggressive driving, colder temperature operation, and the use of air conditioning. Because we have not firmly established the suitability of the 5-cycle approach for HD pickups and vans at this time, and we received no comments or data helping to establish it, we are not adopting provisions to specify its use. However, it remains a candidate approach that manufacturers may pursue in making their demonstrations for innovative technology credits, described below.
                    </P>
                    <P>
                        Manufacturer data submitted to the agencies in pursuit of innovative technology credits would be subject to a public evaluation process in which the public would have opportunity for comment.
                        <SU>301</SU>
                        <FTREF/>
                         Whether the approach involves on-road testing, modeling, or some other analytical approach, the manufacturer would be required to present a final methodology to EPA and NHTSA. EPA and NHTSA would approve the methodology and credits only if certain criteria were met. Baseline emissions and fuel consumption 
                        <SU>302</SU>
                        <FTREF/>
                         and control emissions and fuel consumption would need to be clearly demonstrated over a wide range of real world driving conditions and over a sufficient number of vehicles to address issues of uncertainty with the data. Data would need to be on a vehicle model-specific basis unless a manufacturer demonstrated model-specific data was not necessary. The agencies would publish a notice of availability in the 
                        <E T="04">Federal Register</E>
                         notifying the public of a manufacturer's proposed alternative off-cycle credit calculation methodology and provide opportunity for comment. The notice will include details regarding the methodology, but not include any Confidential Business Information.
                    </P>
                    <FTNT>
                        <P>
                            <SU>301</SU>
                             
                            <E T="03">See</E>
                             75 FR 25440.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>302</SU>
                             Fuel consumption is derived from measured CO
                            <E T="52">2</E>
                             emissions using conversion factors of 8,887 g CO
                            <E T="52">2</E>
                            /gallon for gasoline and 10,180 g CO
                            <E T="52">2</E>
                            /gallon for diesel fuel.
                        </P>
                    </FTNT>
                    <P>
                        The agencies did not receive any adverse comments on using the proposed approach for HD pickup trucks and vans. Consistent with the proposal, the agencies are adopting the 
                        <PRTPAGE P="57253"/>
                        proposed innovative technology credit provisions for HD pickup trucks and vans.
                    </P>
                    <HD SOURCE="HD3">(b) Heavy-Duty Engine, Combination Tractor, and Vocational Vehicle Innovative Technology Credits</HD>
                    <P>Innovative technology credits developed in the HD engine, combination tractor, and vocational vehicle categories will need to be applied to the subcategory in which they were generated. The agencies are adopting provisions in § 1037.610 to determine the separation of engine credits and vehicle credits based on the method which is selected by the manufacturer to determine the effectiveness of the innovative technology. For example, improvements to the engine that are demonstrated in either the engine dynamometer test or powerpack test will clearly be engine credits. Improvements that are demonstrated using chassis dynamometer or on-road test will be considered vehicle credits. However, the agencies recognize that there may be exceptions to this approach, and will allow for the manufacturer to request an alternate classification of credits. A change in credit allocation will require approval from the agencies and would be subject to a public evaluation process.</P>
                    <P>
                        Furthermore, to address the concerns of some commenters mentioned above, the agencies are adopting an approach for HD engines and vehicles that provides two paths for approval of the test procedure to measure the CO
                        <E T="52">2</E>
                         emissions and fuel consumption reductions of an innovative off-cycle technology used in the HD engine or vehicle. These alternative approaches are similar to those adopted in the light-duty vehicle rule. The first path will not require a public approval process of the test method. The “pre-approved” test methods for HD engines and vehicles will include the A-to-B chassis testing, powerpack testing, and on-road testing. The agencies are also adopting as proposed a second test method approval path that provides a manufacturer the ability to submit an alternative evaluation approach to EPA and NHTSA, which must be approved by the agencies prior to the demonstration program. As with HD pickup trucks and vans, such submissions of data should be submitted to the agencies and would be subject to a public evaluation process in which the public would have opportunity for comment.
                        <SU>303</SU>
                        <FTREF/>
                         Baseline emissions and control emissions would need to be clearly demonstrated over a wide range of real world driving conditions and over a sufficient number of vehicles to address issues of uncertainty with the data. The agencies will publish a notice of availability in the 
                        <E T="04">Federal Register</E>
                         notifying the public of a manufacturer's proposed alternative off-cycle credit calculation methodology and provide opportunity for comment. The notice will include details regarding the methodology, but not include any Confidential Business Information. Approval of the approach to determining a CO
                        <E T="52">2</E>
                         and fuel consumption benefit would not imply approval of the results of the program or methodology; when the testing, modeling, or analyses are complete the results would likewise be subject to EPA and NHTSA review and approval.
                    </P>
                    <FTNT>
                        <P>
                            <SU>303</SU>
                             
                            <E T="03">See</E>
                             75 FR 25440.
                        </P>
                    </FTNT>
                    <P>The pre-approved test procedures include engine dynamometer, powerpack, chassis dynamometer, and on-road testing. Each of the test procedures require the evaluation of a baseline and control engine or vehicle (A vs. B testing) to quantify the improvement. Manufacturers may use the engine dynamometer test procedures using the HD engine FTP or SET cycle. The chassis testing and powerpack testing would be conducted the same as described above for HD vocational vehicle and tractor hybrid testing in Section IV.B.2.b using the drive cycles and weightings finalized in this action for the primary program. If a manufacturer requires the use of an alternate duty cycle, then it will require prior approval from the agencies.</P>
                    <P>
                        The on-road testing would be tested according to SAE J1321 Joint TMC/SAE Fuel Consumption Test Procedure Type II Reaffirmed 1986-10 or SAE J1526 Joint TMC/SAE Fuel Consumption In-Service Test Procedure Type III Issues 1987-06, with additional constraints to improve the test repeatability. The first constraint requires that the minimum route distance be set at 100 miles. In addition, the route selected must be representative in terms of grade. The agencies will take into account published and relevant research in determining whether the grade is representative.
                        <SU>304</SU>
                        <FTREF/>
                         Similarly, the speed of the route must be representative of the drive cycle weighting adopted for each regulatory subcategory. For example, if the route selected for an evaluation of a combination tractor with a sleeper cab contains only interstate driving, then the improvement factor would only apply to 86 percent of the weighted result. Lastly, the ambient air temperature must be between 5 and 35 °C. The agencies also would allow the use of a Portable Emissions Measurement (PEMS) device for the measurement of CO
                        <E T="52">2</E>
                         emissions during the on-road testing. The agencies are not pre-approving any routes for the on-road testing. Manufacturers will be required to submit the proposed route prior to testing for approval.
                    </P>
                    <FTNT>
                        <P>
                            <SU>304</SU>
                             The agencies would consider information such as the study conducted by Oak Ridge National Lab which found that 72 percent of their data records were driven on flat terrain of less than 1 percent grade to determine the representativeness of the route. 
                            <E T="03">See</E>
                             Capps, G., O. Franzes, B. Knee, M.B. Lascurain, and P. Otaduy. Class 8 Heavy Truck Duty Cycle Project Final Report. ORNL/TM-2008/122, Oak Ridge National Laboratory. Last accessed on April 14, 2011 at page 5-14 of 
                            <E T="03">http://cta.ornl.gov/data/tedb29/Edition29_Chapter05.pdf.</E>
                        </P>
                    </FTNT>
                    <P>The agencies requested comments on whether credits generated using innovative technologies should be fungible across vehicle and engine categories and received comments both supporting and opposing the limited fungibility of these credits. Cummins did not support the fungibility of innovative technology credits across subcategories, arguing that it is not advisable given the large number and variability of different technology types and the uncertainty in this provision. DTNA stated that the credits should be fungible across engine and vehicle classes to be treated the same as advanced technology credits. EPA and NHTSA acknowledge that the HD program is a new program and, though the agencies continue to believe the credit provision is an important flexibility, the agencies are implementing innovative technology credits based on the ability to assign a value for future technologies and test methods that are as yet to be defined. Given the fact that the agencies cannot make a determination at this time of, what innovative technologies will be offered, and thus the impact of increased fungibility to sectors outside the original application of the innovative technology might be, it is premature to allow that credit to be traded without restriction and with additional credit. Until such uncertainty can be understood and quantified, the agencies believe the final rules should continue to include restrictions on the fungibility of innovative technology credits across service classes and categories.</P>
                    <P>
                        The agencies proposed that this credit opportunity be available through the 2018 model year, reflecting that technologies may be common by then, but sought comment on the need to extend beyond model year 2018. The agencies received comments from DTNA, Navistar, Eaton, Cummins and Bosch supporting the extension of this provision beyond model year 2018. Eaton stated that though some 
                        <PRTPAGE P="57254"/>
                        technologies will be more common in 2018, new technologies will evolve facing the same difficulties concerning implementation and would benefit from this provision. Bosch explained that extension of the provision past 2018 is important because at the time of the final rule the GEM will not incorporate any newer technology until it is updated in phase two of the program, and manufacturers will therefore continue to need the innovative technology provision for receiving credits for technologies not accounted for in GEM. The agencies have reviewed these concerns and believe that they are valid. Therefore, the final rule does not state that this provision ends in model year 2018. Any action taken on these credits in a subsequent rulemaking will be addressed by the agencies at that time in that future rulemaking.
                    </P>
                    <HD SOURCE="HD3">
                        (4) N
                        <E T="52">2</E>
                        O Credit
                    </HD>
                    <P>
                        EPA received a comment from an industry stakeholder requesting a provision to allow manufacturers of heavy-duty engines to gain credit for redesigning emission control systems to reduce N
                        <E T="52">2</E>
                        O emissions. The commenter argued that unlike CH
                        <E T="52">4</E>
                        , N
                        <E T="52">2</E>
                        O emissions from some NO
                        <E T="52">X</E>
                         control technologies can vary in inverse proportion to CO
                        <E T="52">2</E>
                         emissions. Given such a tradeoff, it would be appropriate to allow manufacturers to exploit that tradeoff to achieve the lowest overall greenhouse gas emissions possible. Thus, EPA is adopting a provision which allows engine manufacturers to generate CO
                        <E T="52">2</E>
                         credits for very low N
                        <E T="52">2</E>
                        O emissions. Specifically, manufacturers that certify engines with full useful life N
                        <E T="52">2</E>
                        O FEL emissions which are less than 0.04 g/hp-hr could generate 2.98 grams of CO
                        <E T="52">2</E>
                         credit for 0.01 grams of N
                        <E T="52">2</E>
                        O reduced (consistent with the relative global warming potentials of CO
                        <E T="52">2</E>
                         and N
                        <E T="52">2</E>
                        O). For example, where a manufacturer certifies an engine family to have low per-brake horsepower hour N
                        <E T="52">2</E>
                        O emissions of 0.01 g/hp-hr and applies the 0.02 g/hp-hr assigned deterioration factor, it could certify the engine family to a 0.03 g/hp-hr N
                        <E T="52">2</E>
                        O FEL and generate enough CO
                        <E T="52">2</E>
                         credits to offset CO
                        <E T="52">2</E>
                         emissions 2.98 g/hp-hr above the standard. The 0.04 g/hp-hr level is less than the cap standard of 0.10 g/bhp-hr (so credits generated would not be windfalls) and reflects EPA's best estimate of average N
                        <E T="52">2</E>
                        O performance for today's engine technologies. See Table II-22 above. This value has been chosen to ensure the credit reflects improvements beyond today's baseline performance level. EPA is limiting this provision to model years 2014 through 2016, the same years that NHTSA's program is voluntary, to maintain alignment between the CO
                        <E T="52">2</E>
                         emissions and fuel consumption standards. EPA considered allowing the provision to continue beyond 2016 but decided given its relatively small value (we expect this credit to be worth approximately 3 g/bhp-hr on a standard of 460 g/bhp-hr) and the ultimate desirability of alignment of the EPA and NHTSA programs to limit the period of this flexibility to the period of time when the NHTSA program will be voluntary.
                    </P>
                    <HD SOURCE="HD1">V. NHTSA and EPA Compliance, Certification, and Enforcement Provisions</HD>
                    <HD SOURCE="HD2">A. Overview</HD>
                    <HD SOURCE="HD3">(1) Compliance Approach</HD>
                    <P>
                        This section describes EPA's and NHTSA's final program to ensure compliance with EPA's final emission standards for CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O, and CH
                        <E T="52">4</E>
                         and NHTSA's final fuel consumption standards, as described in Section II. To achieve the goals projected in the proposal, it is important for the agencies to have an effective and coordinated compliance program for our respective standards. As is the case with the light-duty vehicle rule, the final compliance program for heavy-duty vehicles and engines has two central priorities: (1) To address the agencies' respective statutory requirements; and (2) to streamline the compliance process for both manufacturers and the agencies by building on existing practice wherever possible, and by structuring the program such that manufacturers can use a single data set to satisfy the requirements of both agencies. It is also important to consider the provisions of EPA's existing criteria pollutant program and NHTSA's existing LD program in the development of the approach used for heavy-duty certification and compliance. The existing EPA heavy-duty highway engine emissions program has an established infrastructure and methodology that will allow for an effective integration with this final GHG and fuel consumption program, without needing to create new unique processes in many instances. The HD compliance program will address the importance of the impact of new control methods for heavy-duty vehicles as well as other control systems and strategies that may extend beyond the traditional purview of the criteria pollutant program.
                    </P>
                    <P>Section 202(b)(3)(A) of the Clean Air Act (CAA) defines “model year” to mean “* * * the manufacturer's annual production period (as determined by the Administrator) which includes January 1 of such calendar year” or to mean calendar year if the manufacturer has no annual production period. Section 32901(a)(16) of EISA defines “model year” with almost identical language. Section 202(b)(3)(A) of the CAA also allows the EPA Administrator to define model year differently to assure “ * * * that vehicles and engines manufactured before the beginning of a model year were not manufactured for purposes of circumventing the effective date of a standard * * *.” Consistent with this statutory language, the NPRM proposed regulatory text to define “model year,” in 40 CFR 1036.801, 40 CFR 1037.801 and 49 CFR 535.4. All three codified the primary CAA and EISA definition, but differed with respect to language intended to prevent circumvention of the standards. The proposed definition for engines was in the proposed rule published November 30, 2010, 75 FR 74377, which stated that “model year” means the manufacturer's annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers may not adjust model years to circumvent or delay compliance with emission or standards or to avoid the obligation to certify annually.</P>
                    <P>The proposed definition for vehicles was in the proposed rule published November 30, 2010, 75 FR 74401, which stated that “model year” means the manufacturer's annual new model production period, except as restricted under this definition and 40 CFR part 85, subpart X. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Use the date on which a vehicle is shipped from the factory in which you finish your assembly process as the date of manufacture for determining your model year. For example, where a certificate holder sells a cab-complete vehicle to a secondary vehicle manufacturer, the model year is based on the date the vehicle leaves the factory as a cab-complete vehicle.</P>
                    <P>
                        EPA's and NHTSA's vehicle model year definitions differed slightly in wording but were essentially the same for §§ 1037.801 and 535.4. In creating the model year definition for vehicles, the agencies were mindful of the confusion chassis manufacturers may face in determining their model years in a given period of production, for example, due to manufacturing and 
                        <PRTPAGE P="57255"/>
                        shipping products at different levels of completion and involving multiple manufacturers. The agencies included the term “ship date” in order to provide chassis manufacturers a clear reference date (“in which you finish your assembly process”), as well as to decrease the risk of gaming that might occur if no reference date was specified and there were therefore no parameters on the choice of model year. The engine definition was chosen based on consistency with prior EPA definitions for other mobile source programs.
                    </P>
                    <P>The agencies received comments on the definitions from EMA/TMA and Navistar expressing concern over the potential for unintended consequences. The commenters argued that the use of “ship date” for vehicles could create difficulty and uncertainty for manufacturers for whom the ship date can be delayed for reasons outside of their control, such as late-arriving components. They also argued that the differences between the vehicle and engine definitions would increase the likelihood that a single vehicle would be subject to different fuel efficiency requirements during certain years of transition in the standards, as it would not be unlikely that a vehicle would be a later model year than an engine. For example, during the 2016-2017 period, an engine may be model year 2016 while the vehicle is model year 2017.</P>
                    <P>NHTSA and EPA have considered further whether there are benefits to maintaining separate definitions for “model year” for the engine and vehicle standards based on these comments. We continue to believe that differences in manufacturing practices for engines and vehicles support the use of separate definitions. However, for this final action, we have decided to modify the definitions to account for the above concerns, address circumstances of multiple manufacturers, and provide increased consistency and clarity. Thus, instead of “ship date,” the vehicle definition for model year will refer to the date when the certifying manufacturer's “manufacturing operations were completed,” within the specified year. The final definition also specifies that each vehicle must be assigned a model year before introduction into U.S. commerce, but allow a manufacturer to redesignate a later model year if it does not complete its manufacturing operations for the vehicle within the initial model year.</P>
                    <P>To further standardize with EPA definitions, NHTSA will add the EPA engine model year definition to its corresponding regulation 49 CFR 535.4. We believe that this will address the concerns raised by commenters because it will provide standardization, more specificity and account for current manufacturer practices.</P>
                    <P>The agencies are aware that the designation of a model year on a chassis for the purposes of this heavy-duty truck emission and fuel consumption program may result in a complete vehicle that has one model year associated with its chassis for emission/fuel consumption purposes and another model year designation in its vehicle identification number (VIN) for a motor vehicle's certification to Federal motor vehicle safety standards. However, as the chassis model year designation would only be used on the certificate of conformity by the responsible manufacturer for the purpose of complying with these rules, it would not contradict other purposes for which a VIN model year may be used.</P>
                    <P>EMA/TMA also argued that the proposed dates used to specify the model year would shorten the lead time provided for manufacturers, because production for HD vehicles often begins in the early months of the year preceding the model year. We are addressing these concerns by finalizing January 1, 2014 as the date certain when manufacturers are required to comply. Prior to this date, certification of the vehicle would be optional. Thus, a manufacturer could produce uncertified model year 2014 vehicles through December 31, 2013. The heavy-duty compliance program uses a variety of mechanisms to conduct compliance assessments, including preproduction certification and postproduction testing and in-use monitoring once vehicles enter customer service. Specifically, the agencies are establishing a compliance program that utilizes existing EPA testing protocols and certification procedures. Under the provisions of this program, manufacturers will have significant opportunity to exercise implementation flexibility, based on the program schedule and design, as well as the credit provisions in the program for advanced technologies. This program includes a process to foster the use of innovative technologies, not yet contemplated in the current certification process. EPA and NHTSA will conduct compliance preview meetings which provide the agencies an opportunity to review a manufacturer's new product plans and ABT projections. Given the nature of the final compliance program that involves both engine and vehicle compliance for some categories, it is necessary for manufacturers to begin pre-certification meetings with the agencies early enough to address issues of certification and compliance for both integrated and non-integrated product offerings.</P>
                    <P>Based on feedback EPA and NHTSA received during the light-duty GHG comment period, both agencies are seeking to ensure transparency in the compliance process of this program. In addition to providing information in published reports annually regarding the status of credit balances and compliance on an industry basis, EPA and NHTSA sought comments in the NPRM on additional strategies for providing information useful to the public regarding industry's progress toward reducing GHG emissions and fuel consumption from this sector while protecting sensitive business information. In response, commenters (Sierra Club and UCS) also had strong interests for the agencies to ensure that any collected data is made available to the public with an interest especially for providing details on the credit balances for each manufacturer and for data on specific vehicle configuration information data to better understand the market and help with the development of future programs. Additional requests (ALA and EDF) were also made for the agencies to expand consumer education and outreach for medium- and heavy-duty vehicles thereby empowering fleet purchasers to make better informed choices. Another commenter (ACEEE) specifically requested that the agencies publish a heavy-duty truck trend report describing vehicles and engines sold, including fuel efficiency and GHG performance and the use of advanced technology. It was further recommended (by ALA and EDF) that the agencies should create consumer education and outreach programs for medium and heavy-duty vehicles such as fuel consumption and GHG emissions information for all vehicles and engines covered by the rules, in buyers guide similar to the fuel economy guides that EPA and NHTSA provide for the light-duty CAFE program. ICCT and UCS also requested having a consumer based label for heavy-duty pickup trucks and vans providing fuel economy and emission information like in the light-duty CAFE program.</P>
                    <P>The agencies agree that there is a need for sharing heavy-duty emissions and fuel consumption information and therefore will make information publically available under this program.</P>
                    <HD SOURCE="HD3">(a) Heavy-Duty Pickup Trucks and Vans</HD>
                    <P>
                        The final compliance regulations (for certification, testing, reporting, and associated compliance activities) for heavy-duty pickup trucks and vans closely track both current practices and 
                        <PRTPAGE P="57256"/>
                        the recently adopted greenhouse gas regulations for light-duty vehicles and trucks. Thus they are familiar to manufacturers. EPA already oversees testing, collects and processes test data, and performs calculations to determine compliance with both CAFE and CAA standards for Light-Duty. For Heavy-Duty products that closely parallel light-duty pickups and vans, under a coordinated approach, the compliance mechanisms for both programs for NHTSA and EPA would be consistent and non-duplicative for GHG pollutant standards and fuel consumption requirements. Vehicle emission standards established under the CAA apply throughout a vehicle's full useful life.
                    </P>
                    <P>
                        Under EPA's existing criteria pollutant emission standard program for heavy-duty pickup trucks and vans, vehicle manufacturers certify a group of vehicles called a test group. A test group typically includes multiple vehicle lines and model types that share critical emissions-related features. The manufacturer generally selects and tests a single vehicle, typically considered “worst case” for criteria pollutant emissions, which is allowed to represent the entire test group for certification purposes. The test vehicle is the one expected to be the worst case for the emission standard at issue. Emissions from the test vehicle are assigned as the value for the entire test group. However, the compliance program in the recent GHG regulations for light-duty vehicles, which is essentially the well-established CAFE compliance program, allows and may require manufacturers to perform additional testing at finer levels of vehicle models and configurations in order to get more precise model-level fuel economy and CO
                        <E T="52">2</E>
                         emission levels. The agencies are adopting this same approach for heavy-duty pickups and vans. Additionally, like the light-duty program's use of analytically derived fuel economy (ADFE) data, we will allow manufacturers to predict CO
                        <E T="52">2</E>
                         levels (and corresponding fuel consumption) of some vehicles in lieu of testing, using a methodology deemed appropriate by the agencies. Based on manufacturer input, a method for calculating analytically derived carbon dioxide (ADCO
                        <E T="52">2</E>
                        ) is specified in § 1037.104 of this rule.
                        <SU>305</SU>
                        <FTREF/>
                         At a manufacturer's request, EPA may approve analytical methods alternate to the method described in this rule if said alternate methods are deemed to be more accurate than the analytical method described in this rule.
                    </P>
                    <FTNT>
                        <P>
                            <SU>305</SU>
                             Memorandum from Don Kopinski, U.S. EPA to docket EPA-HQ-OAR-2010-0162, July 7, 2011.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(b) Heavy-Duty Engines</HD>
                    <P>Heavy-duty engine certification and compliance for traditional criteria pollutants has been established by EPA in its current general form since 1985. In developing a program to address GHG pollutants, it is important to build upon the infrastructure for certification and compliance that exists today. At the same time, it is necessary to develop additional tools to address compliance with GHG emissions requirements, since the final standard reflect control strategies that extend beyond those of traditional criteria pollutants. In so doing, the agencies are finalizing use of EPA's current engine test based strategy—currently used for criteria pollutant compliance—to also measure compliance for GHG emissions. The agencies are also finalizing to add new strategies to address vehicle specific designs and hardware which impact GHG emissions. The traditional engine approach would largely match the existing criteria pollutant control strategy. This would allow the basic tools for certification and compliance, which have already been developed and implemented, to be expanded for carbon dioxide, methane, and nitrous oxide. Engines with similar emissions control technology may be certified in engine families, as with criteria pollutants.</P>
                    <P>For EPA, the final approach for certification will follow the current process, which requires manufacturer submission of certification applications, approval of the application, and receipt of the certificate of conformity prior to introduction into commerce of any engines. EPA proposed the certificate of conformity be a single document that would be applicable for both criteria pollutants and greenhouse gas pollutants. For NHTSA, a manufacturer must submit certification applications with equivalent fuel consumption information. NHTSA will assess compliance with its fuel consumption standards based on the results of the EPA GHG emissions compliance process for each engine family.</P>
                    <HD SOURCE="HD3">(c) Class 7 and 8 Combination Tractors and Class 2b-8 Vocational Vehicles</HD>
                    <P>Currently, except for HD pickups and vans, EPA does not directly regulate exhaust emissions from heavy-duty vehicles as a complete entity. Instead, a compliance assessment of the engine is undertaken as described above. Vehicle manufacturers installing certified engines are required to do so in a manner that maintains all functionality of the emission control system. While no process exists for certifying these heavy-duty vehicles, the agencies believe that a process similar to the one we proposed to use for heavy-duty engines can be applied to the vehicles.</P>
                    <P>
                        The agencies are finalizing related certification programs for heavy-duty vehicles. Manufacturers will divide their vehicles into families and submit applications to each agency for certification for each family. However, the demonstration of compliance will not require emission testing of the complete vehicle, but will instead involve a computer simulation model, GEM. This modeling tool uses a combination of manufacturer-specified and agency-defined vehicle parameters to estimate vehicle emissions and fuel consumption. This model is then exercised over certain drive cycles. EPA and NHTSA are finalizing the duty cycles over which Class 7 and 8 combination tractors would be exercised to be: 65 mile per hour steady state cruise cycle, the 55 mile per hour steady state cruise cycle, and the California ARB transient cycle. Additional details regarding these duty cycles will be addressed in Section V.D(1)(b) below. Over each duty cycle, the simulation tool will return the expected CO
                        <E T="52">2</E>
                         emissions, in g/ton-mile, and fuel consumption, gal/1,000 ton-mile, which would then be compared to the standards.
                    </P>
                    <HD SOURCE="HD2">B. Heavy-Duty Pickup Trucks and Vans</HD>
                    <HD SOURCE="HD3"> (i) Compliance Approach</HD>
                    <P>EPA and NHTSA are finalizing, largely as proposed, new emission standards to control greenhouse gases (GHGs) and reduce fuel consumption from heavy-duty vehicles with gross vehicle weight rating between 8,500 and 14,000 pounds that are not already covered under the MY 2012-2016 medium-duty passenger vehicle standards. In this section “trucks” refers to heavy-duty pickup trucks and vans between 8,500 and 14,000 pounds not already covered under the light-duty rule.</P>
                    <P>
                        First, EPA is finalizing fleet average emission standards for CO
                        <E T="52">2</E>
                         on a gram per mile (g/mile) basis and NHTSA is finalizing fuel consumption standards on a gal/100 mile basis that would apply to a manufacturer's fleet of heavy-duty trucks and vans with a GVWR from 8,500 pounds to14,000 pounds (Class 2b and 3). CO
                        <E T="52">2</E>
                         is the primary pollutant resulting from the combustion of vehicular fuels, and the amount of CO
                        <E T="52">2</E>
                         emitted is highly correlated to the amount of fuel consumed. In addition, the EPA is finalizing separate emissions standards for three other GHG 
                        <PRTPAGE P="57257"/>
                        pollutants: CH
                        <E T="52">4</E>
                        , N
                        <E T="52">2</E>
                        O, and HFC. CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O emissions relate closely to the design and efficient use of emission control hardware (
                        <E T="03">i.e.,</E>
                         catalytic converters). The standards for CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O would be set as caps that would limit emissions increases and prevent backsliding from current emission levels. In lieu of meeting the caps, EPA is allowing manufacturers the option of offsetting any N
                        <E T="52">2</E>
                        O emissions or any CH
                        <E T="52">4</E>
                         emissions above the cap by taking steps to further reduce CO
                        <E T="52">2</E>
                        . Separately, EPA is finalizing to set standards to control the leakage of HFCs from air conditioning systems.
                    </P>
                    <P>
                        Previously, complete vehicles with a Gross Vehicle Weight Rating of 8,500-14,000 pounds could be certified according to 40 CFR part 86, subpart S. These heavy-duty chassis certified vehicles were required to pass emissions on both the Light-duty FTP and HFET (California requirement).
                        <SU>306</SU>
                        <FTREF/>
                         These rules will use the same testing procedures already required for heavy-duty chassis certification, namely the Light-duty FTP and the HFET. Using the data from these two tests, EPA and NHTSA will compare the CO
                        <E T="52">2</E>
                         emissions and fuel consumption results against the attribute-based target. The attribute upon which the CO
                        <E T="52">2</E>
                         standard is based is a function of vehicle payload, vehicle towing capacity and two-wheel versus four-wheel drive configuration. The attribute-based standard targets will be used to determine a manufacturer fleet standard. As discussed in section IV above, manufacturers may use the ABT program and other flexibilities in achieving and demonstrating compliance.
                    </P>
                    <FTNT>
                        <P>
                            <SU>306</SU>
                             Diesel engines are engine-certified with the option to chassis certification Federally and for California.
                        </P>
                    </FTNT>
                    <P>
                        These rules will generally require complete HD pickups and vans to have CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O values assigned to them, either from actual chassis dynamometer testing or from the results of a representative vehicle in the test group with appropriate adjustments made for differences. Manufacturers will be allowed to exclude vehicles they sell to secondary manufacturers as incomplete vehicles, unless these vehicles are chassis-certified for criteria (non-GHG) pollutants. To the extent manufacturers are allowed to engine- or chassis-certify for criteria pollutant requirements today, they will be allowed to continue to do so under the final regulations. See subsection V.B(1)(e) for discussion of special provisions for chassis-certification to GHG and fuel consumption standards.
                    </P>
                    <P>Because this program for heavy-duty pickup trucks and vans is so similar to the program recently adopted for light-duty trucks and codified in 40 CFR part 86, subpart S, EPA will apply most of those subpart S regulatory provisions to heavy-duty pickup trucks and vans and not recodify them in the new part 1037. Most of the new part 1037 thus would not apply for heavy-duty pickup trucks and vans. How 40 CFR part 86 applies, and which provisions of the new 40 CFR part 1037 apply for heavy-duty pickup trucks and vans is described in § 1037.104. Similarly NHTSA's requirements for these vehicles in § 535.6(a) are based on 40 CFR part 86.</P>
                    <HD SOURCE="HD3">(a) Certification Process</HD>
                    <P>
                        CAA section 203(a)(1) prohibits manufacturers from introducing a new motor vehicle into commerce unless the vehicle is covered by an EPA-issued certificate of conformity. Section 206(a)(1) of the CAA describes the requirements for EPA issuance of a certificate of conformity, based on a demonstration of compliance with the emission standards established by EPA under section 202 of the Act. The certification demonstration requires emission testing, and certification is required for each model year.
                        <SU>307</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>307</SU>
                             CAA Section 206(a)(1).
                        </P>
                    </FTNT>
                    <P>
                        Under existing heavy-duty chassis certification and other EPA emission standard programs, vehicle manufacturers certify a group of vehicles called a test group. A test group typically includes multiple vehicle car lines and model types that share critical emissions-related features.
                        <SU>308</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>308</SU>
                             The specific test group criteria are described in 40 CFR 86.1827-01, car lines and model types have the meaning given in 40 CFR 86.1803-01.
                        </P>
                    </FTNT>
                    <P>EPA requires the manufacturer to make a good faith demonstration in the certification application that vehicles in the test group will both (1) comply throughout their useful life within the emissions bin assigned, and (2) contribute to fleetwide compliance with the applicable emissions standards when the year is over. EPA issues a certificate for the vehicles included in the test group based on this demonstration, and includes a condition in the certificate that if the manufacturer does not comply with the fleet average, then production vehicles from that test group will be treated as not covered by the certificate to the extent needed to bring the manufacturer's fleet average into compliance with the applicable standards.</P>
                    <P>The certification process often occurs several months prior to production and manufacturer testing may occur months before the certificate is issued. The certification process for the existing heavy-duty chassis program is an efficient way for manufacturers to conduct the needed testing well in advance of certification, and to receive certificates in a time frame which allows for the orderly production of vehicles. The use of conditions on the certificate has been an effective way to ensure that manufacturers comply throughout their useful life and meet fleet standards when the model year is complete and the accounting for the individual model sales is performed. EPA has also adopted this approach as part of its light-duty vehicle GHG compliance program.</P>
                    <P>
                        These rules will similarly condition each certificate of conformity for the GHG program upon a manufacturer's good faith demonstration of compliance with the manufacturer's fleetwide average CO
                        <E T="52">2</E>
                         standard. The following discussion explains how the agencies will integrate this new vehicle certification program into the existing certification program.
                    </P>
                    <P>An integrated approach with NHTSA has been undertaken to allow manufacturers a single point of entry to address certification and compliance. Vehicle manufacturers will initiate the formal certification process with their submission of application for a certificate of conformity to EPA, similar to the light-duty program.</P>
                    <HD SOURCE="HD3">(b) Certification Test Groups and Test Vehicle Selection</HD>
                    <P>
                        For heavy-duty chassis certification to the criteria emission standards, manufacturers currently, as mentioned above, divide their fleet into “test groups” for certification purposes. The test group is EPA's unit of certification; one certificate is issued per test group/evaporative family combination. These groupings cover vehicles with similar emission control system designs expected to have similar emissions performance (
                        <E T="03">see</E>
                         40 CFR 86.1827-01). The factors considered for determining test groups include Gross Vehicle Weight, combustion cycle, engine type, engine displacement, number of cylinders and cylinder arrangement, fuel type, fuel metering system, catalyst construction and precious metal composition, among others. Vehicles having these features in common are generally placed in the same test group.
                        <SU>309</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>309</SU>
                             EPA provides for other groupings in certain circumstances, and can establish its own test groups in cases where the criteria do not apply. 
                            <E T="03">See</E>
                             40 CFR 86.1827-01(b), (c) and (d).
                        </P>
                    </FTNT>
                    <P>
                        This program will retain the current test group structure for heavy-duty 
                        <PRTPAGE P="57258"/>
                        pickups and vans in the certification requirements for CO
                        <E T="52">2</E>
                         and fuel consumption. At the time of certification, manufacturers will use the CO
                        <E T="52">2</E>
                         emission level from the Emission Data Vehicle as a surrogate to represent all of the models in the test group. However, following certification further testing will generally be allowed for compliance with the fleet average CO
                        <E T="52">2</E>
                         and fuel consumption standards as described below. EPA's issuance of a certificate will be conditioned upon the manufacturer's subsequent model level testing and attainment of the actual fleet average, much like light-duty CAFE and GHG compliance requires. Under the current program, complete heavy-duty Otto-cycle vehicles under 14,000 pounds Gross Vehicle Weight Rating are required to chassis certify (
                        <E T="03">see</E>
                        <E T="03"/>
                         40 CFR 86.1801-01(a)). The current program allows complete heavy-duty diesel vehicles under 14,000 pounds GVWR to optionally chassis certify (
                        <E T="03">see</E>
                         40 CFR 86.1863-07(a)). The new regulations we are adopting will not change these existing EPA certification options for complete (or incomplete) HD vehicles. EPA recognizes that the existing heavy-duty chassis test group criteria do not necessarily relate to CO
                        <E T="52">2</E>
                         emission levels. 
                        <E T="03">See</E>
                         75 FR 25472 (addressing the same issue for light-duty vehicles). For instance, while some of the criteria, such as combustion cycle, engine type and displacement, and fuel metering, may have a relationship to CO
                        <E T="52">2</E>
                         emissions, others, such as those pertaining to the some exhaust aftertreatment features, may not. In fact, there are many vehicle design factors that impact CO
                        <E T="52">2</E>
                         generation and emissions but are not major factors included in EPA's test group criteria.
                        <SU>310</SU>
                        <FTREF/>
                         Most important among these may be vehicle weight, horsepower, aerodynamics, vehicle size, and performance features. To remedy this, EPA will allow manufacturers provisions that are similar to the light-duty vehicle rule that would yield more accurate CO
                        <E T="52">2</E>
                         estimates than only using the test group emission data vehicle CO
                        <E T="52">2</E>
                         emissions.
                    </P>
                    <FTNT>
                        <P>
                            <SU>310</SU>
                             EPA noted this potential lack of connection between fuel economy testing and testing for emissions standard purposes when it first adopted fuel economy test procedures. 
                            <E T="03">See</E>
                             41 FR 38677, Sept. 10, 1976.
                        </P>
                    </FTNT>
                    <P>
                        EPA believes that the current test group concept is appropriate for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         because the technologies that would be employed to control N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions may generally be the same as those used to control the criteria pollutants. However, manufacturers will determine if this approach is adequate method for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions compliance or if testing on additional vehicles is required to ensure their entire fleet meets applicable standards.
                    </P>
                    <P>
                        As just discussed, the “worst case” vehicle a manufacturer selects as the Emissions Data Vehicle to represent a test group under the existing regulations (40 CFR 86.1828-01) may not have the highest levels of CO
                        <E T="52">2</E>
                         in that group. For instance, there may be a heavier, more powerful configuration that would have higher CO
                        <E T="52">2</E>
                        , but may, due to the way the catalytic converter has been matched to the engine, actually have lower NO
                        <E T="52">X</E>
                        , CO, PM or HC emissions. Therefore, EPA is allowing the use of a single Emission Data Vehicle to represent the test group for both criteria pollutant and CO
                        <E T="52">2</E>
                         certification. The manufacturer will be allowed to initially apply the Emission Data Vehicle's CO
                        <E T="52">2</E>
                         emissions value to all models in the test group, even if other models in the test group are expected to have higher CO
                        <E T="52">2</E>
                         emissions. However, as a condition of the certificate, this surrogate CO
                        <E T="52">2</E>
                         emissions value will generally be replaced with actual, model-level CO
                        <E T="52">2</E>
                         values based on results from additional testing that occurs later in the model year much like the light-duty CAFE program, or through the use of approved methods for analytically derived fuel economy. This model level data will become the official certification test results (as per the conditioned certificate) and will be used to determine compliance with the fleet average. If the test vehicle is in fact the worst case CO
                        <E T="52">2</E>
                         vehicle for the test group, the manufacturer may elect to apply the Emission Data Vehicle emission levels to all models in the test group for purposes of calculating fleet average emissions. Manufacturers may be unlikely to make this choice, because doing so would ignore the emissions performance of vehicle models in their fleet with lower CO
                        <E T="52">2</E>
                         emissions and would unnecessarily inflate their CO
                        <E T="52">2</E>
                         fleet average. Testing at the model level, in order to better represent the improved performance of vehicles within a test group other than the Emission Data Vehicle, will necessarily increase testing burden beyond the minimum EDV testing.
                    </P>
                    <P>As explained in earlier Sections, there are two standards that the manufacturer will be subject to, the fleet average standard and the in-use standard for the useful life of the vehicle. Compliance with the fleet average standard is based on production weighted averaging of the test data that applies for each model. To address commenter concerns regarding test variability due to facility and build variation for each model, the in-use and SEA standards are set at 10 percent higher than the level used for that model in calculating the fleet average. The certificate covers both of the fleet and in-use standards, and the manufacturer has to demonstrate compliance with both of these standards for purposes of receiving a certificate of conformity. The certification process for the in-use standard is discussed above.</P>
                    <HD SOURCE="HD3">(c) Demonstrating Compliance</HD>
                    <HD SOURCE="HD2">
                        (i) CO
                        <E T="52">2</E>
                         and Fuel Consumption Fleet Standards
                    </HD>
                    <P>
                        As noted, attribute-based CO
                        <E T="52">2</E>
                         and fuel consumption standards result in each manufacturer having fleet average CO
                        <E T="52">2</E>
                         and fuel consumption standards unique to its heavy-duty truck fleet of GVWR between 8,500-14,000 pounds and that standard will be separate from the standard for passenger cars, light-trucks, and other heavy-duty trucks. The standards depend on those attributes corresponding to the relative capability, or “work factor”, of the vehicle models produced by that manufacturer. The final attributes used to determine the stringency of the CO
                        <E T="52">2</E>
                         and fuel consumption standards are payload and towing capacity as described in Section II. Generally, fleets with a mix of vehicles with increased payloads or greater towing capacity (or utilizing four wheel drive configurations) will face numerically less stringent standards (
                        <E T="03">i.e.,</E>
                         higher CO
                        <E T="52">2</E>
                         grams/mile standards or fuel consumption gallons/100 miles standards) than fleets consisting of less powerful vehicles. (However, the standards will be expected to be equally challenging and achieve similar percent reductions.) Although a manufacturer's fleet average standard could be estimated throughout the model year based on projected production volume of its vehicle fleet, the final compliance values will be based on the final model year production figures. A manufacturer's calculation of fleet average emissions and fuel consumption at the end of the model year will be based on the production-weighted average emissions and fuel consumption of each model in its fleet. The payload and towing capacity inputs used to determine manufacturer compliance will be the advertised values.
                    </P>
                    <P>
                        The agencies will use the same general vehicle category definitions that are used in the current EPA HD chassis certification (
                        <E T="03">See</E>
                         40 CFR 86.1816-05). The new vehicle category definitions differ slightly from the EPA definitions for Heavy-duty Vehicle definitions for the existing program, as well as other EPA vehicle programs. Mainly, 
                        <PRTPAGE P="57259"/>
                        manufacturers will be able to test, and possibly model, more configurations of vehicles than were historically possible. The existing criteria pollutant program requires the worst case configuration be tested for emissions certification. For HD chassis certification, this usually meant only testing the vehicle with the highest ALVW, road-load, and engine displacement within a given test group. This worst case configuration may only represent a small fraction of the test group production volume. By testing the worst case, albeit possibly small volume, vehicle configuration, the EPA had a reasonable expectation that all represented vehicles would pass the given emissions standards. Since CO
                        <E T="52">2</E>
                         standards are a fleet standard based on a combination of sales volume and work factor (
                        <E T="03">i.e.,</E>
                         payload and towing capability), it may be in a manufacturer's best interest to test multiple configurations within a given test group to more accurately estimate the fleet average CO
                        <E T="52">2</E>
                         emission levels and not accept the worst case vehicle test results as representative of all models. Additionally, vehicle models for which a manufacturer desires to use analytically derived fuel economy (ADFE) to estimate CO
                        <E T="52">2</E>
                         emission levels may need additional actual test data for vehicle models of similar but not identical configurations. The agencies are allowing the use of ADFE similar to that allowed for light-duty vehicles in 40 CFR 600.006-08(e). Some commenters, including the American Automotive Policy Council, were concerned that adopting the light-duty ADFE program with its current minimum test requirements would unduly increase testing burden. In addition to concerns over implementing the light-duty ADFE program for heavy-duty GHG compliance, commenters noted the need to develop a new HD ADFE methodology that addressed unique HD concerns. EPA and NHTSA have continued to work with stakeholders to address the above concerns with using a modified LD ADFE program. To address these concerns, the agencies will expand the allowed use of ADFE beyond that which is allowed in the LD program. Since ADFE equations are not final at the time of this action, updates to the HD ADFE program will be made through guidance or future rulemaking. The GHG and fuel economy rulemaking for light-duty vehicles adopted a carbon balance methodology used historically to determine fuel consumption for the light-duty labeling and CAFE programs, whereby the carbon-related combustion products HC and CO are included on an adjusted basis in the compliance calculations, along with CO
                        <E T="52">2</E>
                        . The resulting carbon-related exhaust emissions (CREE) of each test vehicle are calculated and it is this value, rather than simply CO
                        <E T="52">2</E>
                         emissions, that is used in compliance determinations. The difference between the CREE and CO
                        <E T="52">2</E>
                         is typically very small. 
                        <E T="03">See</E>
                         generally 75 FR at 25472.
                    </P>
                    <P>
                        NHTSA and EPA are not adopting the CREE methodology for HD pickups and vans, and so will not adjust CO
                        <E T="52">2</E>
                         emissions to further account for additional HC and CO. The basis of the CREE methodology in historical labeling and CAFE programs is not relevant to HD pickups and vans, because these historical programs do not exist for HD vehicles. Furthermore, test data used in this rulemaking for standards-setting has not been adjusted for this effect, and so it would create an inconsistency, albeit a small one, to apply it for compliance with the numerical standards we are finalizing. Finally, it would add complexity to the program with little real world benefit.
                    </P>
                    <HD SOURCE="HD3">
                        (ii) CO
                        <E T="52">2</E>
                         In-Use Standards and Testing
                    </HD>
                    <P>Section 202(a)(1) of the CAA requires emission standards to apply to vehicles throughout their statutory useful life. Section II discusses in-use standards.</P>
                    <P>
                        Currently, EPA regulations require manufacturers to conduct in-use testing as a condition of certification for heavy-duty trucks between 8,500 and 14,000 gross vehicle weight that are chassis certified. The vehicles are tested to determine the in-use levels of criteria pollutants when they are in their first and third years of service. This testing is referred to as the In-Use Verification Program, which was first implemented as part of EPA's CAP 2000 certification program (
                        <E T="03">see</E>
                         64 FR 23906, May 4, 1999).
                    </P>
                    <P>
                        An in-use program was already set forth in the light-duty 2012-2016 MY vehicle rule similar to the heavy-duty pickups and vans. The In-Use Verification Program for heavy-duty pickups and vans will follow the same general provisions of the light-duty program in regard to testing, vehicle selection, and reporting. 
                        <E T="03">See</E>
                         75 FR 25474-25476.
                    </P>
                    <HD SOURCE="HD3">(d) Special Provisions for Chassis Certification</HD>
                    <P>
                        We proposed to include most cab-chassis Class 2b and 3 vehicles (vehicles sold as incomplete vehicles with the cab substantially in place but without the primary load-carrying enclosure) in the complete HD pickup and van program. Because their numbers are relatively small, and to reduce the testing and compliance tracking burden to manufacturers, we proposed to treat these vehicles as equivalent to the complete van or truck product from which they are derived. The manufacturer would determine which complete vehicle configuration it produces most closely matches the cab-chassis product leaving its facility, and would include each of these cab-chassis vehicles in the fleet averaging calculations as though it were identical to the corresponding complete “sister” vehicle. 
                        <E T="03">See</E>
                         75 FR at 74263.
                    </P>
                    <P>Commenters opposed this proposed requirement for a number of reasons: (1) It would have the unintended consequence of dual certification for some of these vehicles—engine certification for criteria pollutants and vehicle certification for GHGs, and vice-versa for some other vehicles, (2) it would be of modest benefit because most of these cab-chassis vehicles would receive the desired aerodynamic and other non-engine improvements even without chassis certification, in virtue of their derivation from complete vehicles, and (3) a readily-identifiable sister vehicle may not exist in every case. Based on the comments, the agencies have re-evaluated the proposed approach for cab-chassis certification and are restructuring our compliance approach to provide significantly more flexibility while still ensuring comparable or better GHG and fuel consumption performance overall.</P>
                    <P>We are not requiring that cab-chassis vehicles be chassis-certified, but are retaining chassis-certification for them as an option using the proposed sister vehicle concept. We are instead requiring that vehicles that are chassis-certified for criteria pollutants be chassis-certified for GHGs and fuel consumption, and likewise that vehicles with engines certified for criteria pollutants (which in this case would be engines installed in vocational vehicles exclusively) be certified to the vocational vehicle standards for GHGs and fuel consumption, with minor exceptions detailed below. We believe that this approach involving consistent chassis- and engine-certification for criteria pollutants and GHGs is the most sensible way to structure a program to minimize both the testing burden and the potential for gaming.</P>
                    <P>
                        We are allowing use of the sister vehicle concept for incomplete vehicle certification to include the selection of sister vehicles not actually produced for sale by the certifying manufacturer. For the great majority of vehicles this will not be an issue because the sister vehicle will obviously be the complete pickup truck or van from which the cab-chassis vehicle is derived. However if 
                        <PRTPAGE P="57260"/>
                        the complete sister vehicle ceases production but the corresponding incomplete vehicle does not, a manufacturer may continue to use the sister vehicle emissions data through the carryover process that is already practiced today. If carryover is not appropriate because of, for example, an emissions-impacting recalibration of the engine, the manufacturer may conduct new emissions testing using the coastdown data collected on the original sister vehicle. This would still save substantial effort without sacrificing data quality because coastdowns are rather resource-intensive but are not much affected by engine changes. Another potentially inappropriate situation would exist where no sister vehicle exists because the manufacturer does not sell a related complete vehicle. In this case, the manufacturer may coastdown a mocked-up vehicle made from its incomplete vehicle and an added open or closed cargo box that simulates a complete van or pickup truck, or may coastdown one of its customers' completed vehicles.
                    </P>
                    <P>EPA and NHTSA requested comment on whether Class 4 vehicles that are very similar to complete Class 3 pickup truck models should be chassis-certified and regulated as part of the HD pickup and van category, instead of as vocational vehicles. Commenters argued convincingly that there are a number of important differences between the Class 4 and Class 3 trucks that make such regulation inappropriate as a general matter. As a result, we are keeping Class 4 trucks in the vocational vehicle category. However, we are adding an optional provision that allows manufacturers to certify Class 4 or 5 (14,001 to 19,500 lb GVWR) complete or incomplete vehicles to GHG and fuel consumption standards, in the same way as Class 2b and 3 vehicles, and thus be included within the Class 2b/3 fleet average. The engines in these vehicles will continue to be engine-certified for criteria pollutants, but the manufacturers could include the vehicles in their fleet average standard and annual compliance calculations, using the same certification and compliance provisions as for the smaller vehicles, including the equations for determining work factors and target standards, in-use requirements, reporting requirements, credit generation and use, and sister vehicle provisions for incomplete vehicles. Such vehicles would not be required to meet the vocational vehicle standards. Because sales volumes of Class 4 and 5 trucks are relatively small, and because we expect these Class 4 and 5 and Class 2b and 3 trucks to generally use the same technologies and face roughly the same technology challenge in meeting their standards targets, we do not believe that this provision will dilute the stringency of the fleet average standards.</P>
                    <P>
                        Any in-use testing of vehicles that are chassis-certified using the sister vehicle provisions would involve loading of the tested vehicle to a total weight equal to the ALVW of the corresponding complete vehicle configuration. If the secondary manufacturer had altered or replaced any vehicle components in a way that would substantially affect CO
                        <E T="52">2</E>
                         emissions from the tested vehicle (
                        <E T="03">e.g.,</E>
                         axle ratio has been changed for a special purpose vehicle), the vehicle manufacturer could request that EPA not test the vehicle or invalidate a test result. Secondary (finisher) manufacturers who finish incomplete vehicles certified using the sister vehicle provisions would not be subject to requirements under these regulations, other than to comply with anti-tampering regulations. However, if they modify vehicle components in such a way that GHG emissions and fuel consumption are substantially affected, they become manufacturers subject to the standards we are establishing in these rules.
                    </P>
                    <P>Finally, we are adopting a related special provision involving chassis-certification aimed at simplifying compliance for manufacturers of complete HD pickups and vans that also sell a relatively small number of engines that are designed for other manufacturers' heavy-duty vehicles—normally referred to as `loose' engines. Today these loose engines must be engine-certified for criteria pollutants, even though most of the vehicles that use the engines are chassis-certified. Our new provision does not change this, but it does provide manufacturers with an option to focus their energy on improving the GHG and fuel consumption performance of their complete vehicle products (including, most likely, significant engine improvements), rather than on concurrently calibrating for both vehicle and engine test compliance.</P>
                    <P>These loose engines would not be certified to engine-based GHG and fuel consumption standards, but instead would be treated as though they were additional sales of the manufacturer's complete pickup and van products, on a one-for-one basis. The pickup/van vehicle so chosen must be the vehicle with the highest ETW that uses the engine (as this vehicle is likely to have the highest GHG emissions and fuel consumption). However, if this vehicle is a credit-generator under the HD pickup and van fleet averaging program, no credits would be generated by these engine-as-vehicle contributors to the fleet average; they would be treated as just achieving the target standard. If, on the other hand, the vehicle is a credit-user, the appropriate number of additional credits would be needed to offset the engine-as-vehicle contributors. The purchaser of the engine would treat it as any other certified engine, and would still need to meet applicable vocational vehicle standards for the vehicles in which the engine is installed.</P>
                    <P>Because it is our intent that this loose engine provision simplifies compliance for HD pickup/van manufacturers who sell a relatively small number of engines for other manufacturers' applications, we are limiting its use to 10 percent of the total engines (15,000 maximum) of the same design that a manufacturer produces in each model year for U.S.-directed heavy-duty application—including complete vehicles, incomplete vehicles, and the loose engines themselves. We are further limiting both this provision and the above-described provision for chassis certification of Class 4/5 vehicles to spark-ignition (gasoline) engines, because we believe that the HD diesel engine business is more focused on designing for and marketing into a wide variety of vehicles products, instead of into the engine manufacturer's own chassis-certified vehicle products with a small loose engine business on the side, as is common for HD gasoline engines. This dynamic is also reflected in the existing provision for criteria pollutants allowing complete HD vehicles to use certified diesel engines but not certified gasoline engines.</P>
                    <P>Together these provisions provide a robust approach to regulating these vehicles and engines. Although these certification options are not as straightforward as the certification provisions for complete Class 2b/3 pickups and vans, they are technically appropriate (for the reasons explained above) and should accomplish more improvement in GHG and fuel consumption performance than simply applying the vocational vehicle and engine standards.</P>
                    <HD SOURCE="HD3">(2) Labeling Provisions</HD>
                    <P>
                        HD pickups and vans currently have vehicle emission control information labels showing compliance with criteria pollutant standards, similar to emission control information labels for engines. As with engines, we believe this label is sufficient.
                        <PRTPAGE P="57261"/>
                    </P>
                    <HD SOURCE="HD3">(3) Other Certification Issues</HD>
                    <HD SOURCE="HD3">(a) Carryover Certification Test Data</HD>
                    <P>
                        EPA's final certification program for vehicles allows manufacturers to carry certification test data over from one model year to the next, when no significant changes to models are made. EPA will also apply this policy to CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         certification test data.
                    </P>
                    <HD SOURCE="HD3">(b) Compliance Fees</HD>
                    <P>The CAA allows EPA to collect fees to cover the costs of issuing certificates of conformity for the classes of vehicles and engines covered by this rulemaking. On May 11, 2004, EPA updated its fees regulation based on a study of the costs associated with its motor vehicle and engine compliance program (69 FR 51402). At the time that cost study was conducted the current rulemaking was not considered.</P>
                    <P>At this time the extent of any added costs to EPA as a result of this rulemaking is not known. EPA will assess its compliance testing and other activities associated with the program and may amend its fees regulations in the future to include any justifiable new costs.</P>
                    <HD SOURCE="HD3">(4) Compliance Reports</HD>
                    <HD SOURCE="HD3">(a) Pre-Model Year Report</HD>
                    <P>In the NPRM, EPA and NHTSA proposed that manufacturers must submit early model year compliance reports demonstrating how their entire fleets of heavy-duty pickup trucks and vans would comply with GHG emissions and fuel consumption standards. The agencies understood that early model year reports would contain estimates that may change over the course of a model year and that compliance information manufactures submit prior to the beginning of a new model year may not represent the final compliance outcome. The agencies viewed the necessity for requiring early model reports as a manufacturer's good faith projection for demonstrating compliance with emission and fuel consumption standards. The preamble language indicated that the compliance reports would be submitted prior to the beginning of the model year and prior to the certification of any test group. Preferably, a manufacturer would submit its reports during its annual certification preview meeting. Precertification preview meetings are typically held with a manufacturer before the earliest date that the model year can begin which is January 2nd of the calendar year prior to the model year. Manufacturers voluntarily choose to participate in precertification compliance meetings but meetings are not required by EPA and NHTSA regulations. Manufacturers opt to participate in precertification meetings because of the advantage it gives to exploring with the agencies any possible compliance problems that may arise prior to seeking approval for certificates of conformity. The NPRM preamble text did not specify an exact date for manufacturers to submit early compliance reports to the agency. NHTSA attempted to adopt requirements in its regulatory text for manufactures to submit their early compliance reports no later than the end of December two years prior to the model year. NHTSA also proposed for manufacturers to provide compliance information for the current model year and to the extent possible two years into the future. NHTSA chose its submission deadline and model years for reporting based upon the same dates required by EPA in its CAFE provisions for light-duty pickups and vans beginning in model year 2012.</P>
                    <P>
                        The NPRM included requirements for manufacturers to submit early model year compliance reports separately to each agency based upon limitations existing in the statutory authorities prescribed under EISA and CAA and the long-standing precedent set in the LD CAFE programs for receiving reports. The EPA report, called the pre-model year report, and NHTSA report, called the pre-certification compliance report, were proposed to include an estimate of the manufacturer's attribute-based standards, along with a demonstration of compliance with the standards based on projected model-level and fleet CO
                        <E T="52">2</E>
                         emissions and fuel consumption results, and were to include an estimate of the manufacturer's production volumes. The NPRM also included a proposal for submitting a credit plan for manufacturers seeking to take advantage of credit flexibilities and a credit deficit plan for manufacturers planning to accrue deficits during the model years. Additionally, NHTSA attempted to reduce the burden on manufacturers by allowing them to submit copies of EPA's proposed pre-model year reports or applications for certifications of conformity, as a substitute to its own compliance report, so long as EPA's reports were submitted with equivalent fuel consumption information. In either case, NHTSA reserved the right to ask manufacturers to provide additional information if necessary to verify its fuel consumption requirements under this program. EPA and NHTSA also proposed to review the compliance reports for technical viability and to conduct a certification preview discussion with the manufacturer. It was further proposed that the EPA Administrator would have to approve a manufacturer's pre-model year report before it would consider issuing any certificate of compliance for the manufacturer.
                    </P>
                    <P>Comments were received to the NPRM from EMA and TMA strongly opposing providing separate reports to EPA and NHTSA and requested that the agencies implement a single uniform reporting template that could be submitted to both agencies simultaneously. DTNA requested that NHTSA eliminate its pre-certification compliance report, arguing that report was overly burdensome.</P>
                    <P>
                        For the final rules, the agencies have decided to require manufacturers to submit a single report, hereafter referenced as the pre-model year report, to satisfy both agencies requirements for receiving compliance reports in advance of the model year. The agencies considered the commenters' requests and determined that the benefit gained by receiving separate or distinct compliance reports would not outweigh the burden placed on manufacturers in reporting. Therefore, the final rules establish a harmonized approach by which manufacturers will submit a single report through the EPA database system as the single point of entry for all information required for this national program and both agencies will have access to the information. If by model year 2012, the agencies are not prepared to receive information through the EPA database system, manufacturers are expected to submit written reports to the agencies. EPA and NHTSA have determined that requiring manufacturers to submit a joint pre-model year report for their combined fleet of heavy-duty pickup trucks containing both emissions and equivalent fuel consumption information falls within each agencies' statutory authority. The final rules require a manufacturer to submit the joint pre-model year report as early as the date of the manufacturer's annual certification preview meeting, or prior to the manufacturer submitting its first application for a certificate for the given model year. Consequently, a manufacturer choosing to comply in model year 2014 could submit its pre-model year report during its precertification meeting, which could occur before January 2, 2013. Alternately, the manufacturer could provide its pre-model year report any time prior to submitting its first application. In either case, a manufacturer would not be able to certify any of its test groups until the 
                        <PRTPAGE P="57262"/>
                        EPA Administrator approves its pre-model year report. NHTSA will use the pre-model year report as preliminary model year data.
                    </P>
                    <P>The agencies are adopting similar requirements for the pre-model year reports as proposed. As mentioned, the agencies proposed that reports would include an estimate of the manufacturer's attribute-based standards, expected testing results and estimated production volumes. The agencies agree that this information is essential for tracking compliance of manufacturers and is therefore adopted for the final rules. The final rules require manufacturers to identify any vehicle exclusions and other flexibilities afforded for heavy-duty pickups and vans. The summary of the required information for each pre-model year report is as follows:</P>
                    <P>• A list of each unique vehicle configuration included in the manufacturer's fleet describing the make and model designations, attribute based-values (GVWR, GCWR, Curb Weight and drive configurations) and standards.</P>
                    <P>• The emission and fuel consumption fleet average standard derived from the unique vehicle configurations;</P>
                    <P>• The estimated vehicle configuration, test group and fleet production volumes;</P>
                    <P>• The expected emissions and fuel consumption test group results and fleet average performance;</P>
                    <P>• A statement declaring whether the manufacturer chooses to comply early in MY 2013 for EPA and NHTSA. The manufacturers must acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years;</P>
                    <P>• A statement declaring whether the manufacturer will use fixed or increasing standards; acknowledging that once selected, the decision cannot be reversed and the manufacturer must continue to comply with the same alternative for subsequent model years;</P>
                    <P>• A statement declaring whether the manufacturer chooses to comply voluntarily with NHTSA's fuel consumption standards for model years 2014 through 2015. The manufacturers must acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years;</P>
                    <P>• The list of Class 2b-3 cab-complete vehicles and the method use to certify, as vocational vehicles and engines, or as complete pickups and vans identifying the most similar complete vehicles used to derive the target standards and performance test results;</P>
                    <P>• The list of Class 2b-3 incomplete vehicles and the method use to certify, as vocational vehicles and engines, or as complete pickups and vans identifying the most similar complete vehicles used to derive the target standards and performance test results;</P>
                    <P>• The list of Class 4 and 5 incomplete and complete vehicles and the method use to certify, as vocational vehicles and engines, or as complete pickups and vans identifying the most similar complete vehicles used to derive the target standards and performance test results;</P>
                    <P>• List of loose engines included in the heavy-duty pickup and van category and the list of vehicles used to derive target standards.</P>
                    <P>• Copy of any notices a vehicle manufacturer sends to the engine manufacturer to notify the engine manufacturers that their engines are subject to emissions and fuel consumption standards and that it intends to use their engines in excluded vehicles; and</P>
                    <P>
                        • A credit plan identifying the manufacturers estimated credit balances, planned credit flexibilities (
                        <E T="03">i.e.,</E>
                         credit balances, planned credit trading, innovative, advanced and early credits and 
                        <E T="03">etc.</E>
                        ) and if needed a credit deficit plan demonstrating how it plans to resolve any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred.
                    </P>
                    <HD SOURCE="HD3">(b) Final Reports</HD>
                    <P>
                        The NPRM proposed for manufacturers participating in the ABT program to provide two types of year end reports; end-of-the-year (EOY) reports and final reports. The EOY reports for the ABT program were required to be submitted by manufacturers no later than 90 days after the calendar year and final report no later than 270 days after the calendar year.
                        <SU>311</SU>
                        <FTREF/>
                         Manufacturers not participating in the ABT program were required to provide an EOY report within 45 days after the calendar year but no final reports were required. The submission deadline of the final ABT report was established to coincide with EPA's existing criteria pollutant report for heavy-duty engines. The EOY report is used by the agencies to review a manufacturer's preliminary final estimates and to identify manufacturers that might have a credit deficit for the given model year. Manufacturers with a credit surplus at the end of each model year could submit a request to the agencies to receive a waiver from providing EOY reports. As proposed, the remaining manufacturers were required to submit reports to EPA and send copies of those reports to NHTSA with equivalent fuel consumption values. Manufacturers requesting to exempt vehicles in accordance with the agencies' off-road vehicle exemption were required to a submit EOY reports to the agencies identifying the vehicle applicable to each report within 90 days after the model year ended.
                    </P>
                    <FTNT>
                        <P>
                            <SU>311</SU>
                             Corresponding to the compliance model year
                        </P>
                    </FTNT>
                    <P>Comments in response to the NPRM did not oppose providing EOY reports to the agencies but instead requested that they be allowed to consolidate the various EOY reports into one single submission to the agencies.</P>
                    <P>Upon consideration of commenters' requests, the agencies agree that only one consolidated EOY report should be submitted in place of the separate reports proposed in the NPRM. The consolidated EOY report should include the combination of all the required information that is applicable to a manufacturer's fleet. The agencies also agree to allow manufacturers to no longer provide separate EOY reports to each agency independently but rather to submit the single report through the EPA database system as the single point of entry for all information required for this national program. The consolidated EOY report is required to contain both GHG emissions and fuel consumption information. EPA will provide access to the information for both agencies. Likewise, manufacturers will be required to electronically provide one single final report through the EPA database system. If by model year 2012, the agencies are not prepared to receive information through the EPA database system, manufacturers are expected to submit written reports to the agencies. The required information for EOY and final reports that manufacturers must submit is as follows: A finalized list of each unique vehicle configuration included in the manufacturers fleet describing the designations, attribute based-values (GVWR, GCWR, Curb Weight and drive configurations) and standards.</P>
                    <P>• The final emission and fuel consumption fleet average standard derived from the unique vehicle configurations;</P>
                    <P>• The final vehicle configuration, test group and fleet production volumes;</P>
                    <P>• The final emissions and fuel consumption test group results and fleet average performance;</P>
                    <P>
                        • The final list of cab-complete vehicles and the method use to certify, as vocational vehicles and engine, or as 
                        <PRTPAGE P="57263"/>
                        complete pickups and vans identifying the most similar complete vehicles used to derive the target standards and performance test results;
                    </P>
                    <P>
                        • A final credit plan identifying the manufacturers estimated credit balances, planned credit flexibilities (
                        <E T="03">i.e.,</E>
                         credit balances, planned credit trading, innovative, advanced and early credits, and 
                        <E T="03">etc.</E>
                        ) and if needed a credit deficit plan demonstrating how it plans to resolve any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred;
                    </P>
                    <P>• A plan describing the vehicles that were exempted such as for off-road or small business purposes; and</P>
                    <P>• A plan describing any alternative fueled vehicles that were produced for the model year identifying the approaches used to determine compliance and the production volumes.</P>
                    <HD SOURCE="HD2">C. Heavy-Duty Engines</HD>
                    <HD SOURCE="HD3">(i) Compliance Approach</HD>
                    <P>
                        Section 203 of the CAA requires that all motor vehicles and engines sold in the United States carry a certificate of conformity issued by the U.S. EPA. For heavy-duty engines, the certificate specifies that the engine meets all requirements as set forth in the regulations (40 CFR part 86, subpart N, for criteria pollutants) including the requirement that the engine be compliant with emission standards. This demonstration is completed through emission testing as well as durability testing to determine the level of emissions deterioration throughout the useful life of the engine. In addition to comply with emission standards, manufacturers are also required to warrant their products against emission defects, and demonstrate that a service network is in place to correct any such conditions. The engine manufacturer also bears responsibility in the event that an emission-related recall is necessary. Finally, the engine manufacturer is responsible for tracking and ensuring correct installation of any emission related components installed by a second party (
                        <E T="03">i.e.,</E>
                         vehicle manufacturer). EPA and NHTSA believe this compliance structure is also valid for administering the final GHG regulations for heavy-duty engines.
                    </P>
                    <HD SOURCE="HD3">(a) Certification Process</HD>
                    <P>In order to obtain a certificate of conformity, engine manufacturers must complete a compliance demonstration, normally consisting of test data from relatively new (low-hour) engines as well as supporting documentation, showing that their product meets emission standards and other regulatory requirements. To account for aging effects, low-hour test results are coupled with testing-based deterioration factors (DFs), which provide a ratio (or offset) of end-of-life emissions to low-hour emissions for each pollutant being measured. These factors are then applied to all subsequent low-hour test data points to predict the emissions behavior at the end of the useful life.</P>
                    <P>For purposes of this compliance demonstration and certification, engines with similar engine hardware and emission characteristics throughout their useful life may be grouped together in engine families, consistent with current criteria-pollutant certification procedures. Examples of such engine characteristics that are normally used to combine emissions families include similar combustion cycle, aspiration methods, and aftertreatment systems. Under this system, the worst-case engine (“parent rating”) is selected based on having the highest fuel feed per engine stroke, and all emissions testing is completed on this model. All other models within the family (“child ratings”) are expected to have emissions at or below the parent model and therefore in compliance with emission standards. Any engine within the family can be subject to selective enforcement audits, in-use, confirmatory, or other compliance testing.</P>
                    <P>
                        We are continuing the use of this approach for the selection of the worst-case engine (“parent rating”) for fuel consumption and GHG emissions as well. As at proposal, we believe this is appropriate because this worst case engine configuration would be expected to have the highest in-use fuel consumption and GHG emissions within the family. See 75 FR at 72264 for further information. We note that lower engine ratings contained within this family would be expected to have a higher fuel consumption rate when measured over the Federal Test Procedures as expressed in terms of fuel consumption per brake horsepower hour. However, this higher fuel consumption rate is misleading in the context of comparing engines within a single engine family. This apparent contradiction can be most easily understood in terms of an example. For a typical engine family a top rating could be 500 horsepower with a number of lower engine ratings down to 400 horsepower or lower included within the family. When installed in identical trucks the 400 and 500 horsepower engines would be expected to operate identically when the demanded power from the engines is 400 horsepower or less. So in the case where in-use driving never included acceleration rates leading to horsepower demand greater than 400 horsepower, the two trucks with the 400 and 500 horsepower engines would give identical fuel consumption and GHG performance. When the desired vehicle acceleration rates were high enough to require more than 400 horsepower, the 500 horsepower truck would accelerate faster than the 400 horsepower truck resulting in higher average speeds and higher fuel consumption and GHG emissions measured on a per mile or per ton-mile basis. Hence, the higher rated engine family would be expected to have the highest in-use fuel consumption and CO
                        <E T="52">2</E>
                         emissions consistent with our current approach requiring manufacturers to certify the worst case configuration.
                    </P>
                    <P>
                        As explained at proposal, the reason that the lower engine ratings appear to have worse fuel consumption relates to our use of a brake specific work metric. The brake specific metric measures power produced from the engine and delivered to the vehicle ignoring the parasitic work internal to the engine to overcome friction and air pumping work within the engine. The fuel consumed and GHG emissions produced to overcome this internal work and to produce useful (brake) work are both measured in the test cycle but only the brake work is reflected in the calculation of the fuel consumption rate. This is desirable in the context of reducing fuel consumption as this approach rewards engine designs that minimize this internal work through better engine designs. The less work that is needed internal to the engine, the lower the fuel consumption will be. If we included the parasitic work in the calculation of the rate, we would provide no incentive to reduce internal friction and pumping losses. However, when comparing two engines within the very same family with identical internal work characteristics, this approach gives a misleading comparison between two engines as described above. This is the case because both engines have an identical fuel consumption rate to overcome internal work but different rates of brake work with the higher horsepower rating having more brake work because the test cycle is normalized to 100 percent of the engine's rated power. The fuel consumed for internal work can be thought of as a fixed offset identical between both engines. When this fixed offset is added to the fuel consumed for useful (brake) work over the cycle, it increases the overall fuel consumption 
                        <PRTPAGE P="57264"/>
                        (the numerator in the rate) without adding any work to the denominator. This fixed offset identical between the two engines has a bigger impact on the lower engine rating. In the extreme this can be seen easily. As the engine ratings decrease and approach zero, the brake work approaches zero and the calculated brake specific fuel consumption approaches infinity. For these reasons, we are finalizing that the same selection criteria, as outlined in 40 CFR part 86, subpart N, be used to define a single engine family designation for both criteria pollutant and GHG emissions. Further, we are finalizing that for fuel consumption and CO
                        <E T="52">2</E>
                         emissions only any selective enforcement audits, in-use, confirmatory, or other compliance testing would be limited to the parent rating for the family. Consistent with the current regulations, manufacturers may electively subdivide a grouping of engines which would otherwise meet the criteria for a single family if they have evidence that the emissions are different over the useful life. The agencies received comments from engine and truck manufacturers which indicated the useful life provisions applicable to criteria pollutants seemed appropriate for GHG emissions. For that reason, the agencies are retaining many of the same provisions for GHG certification for family useful life provisions as developed for criteria pollutants.
                    </P>
                    <P>EPA utilizes a 12-digit naming convention for all mobile-source engine families (and test groups for light-duty vehicles). This convention is also shared by the California Air Resources Board which allows manufacturers to potentially use a single family name for both EPA and California ARB certification. Of the 12 digits, 9 are EPA-defined and provide identifying characteristics of the engine family. The first digit represents the model year, through use of a predefined code. For example, the code “A” corresponds to the 2010 model year and “B” corresponds to the 2011 model year. The 5th position corresponds to the industry sector code, which includes such examples as light-duty vehicle (V) and heavy-duty diesel engines (H). The next three digits are a unique alphanumeric code assigned to each manufacturer by EPA. The next four digits describe the displacement of the engine; the units of which are dependent on the industry segment and a decimal may be used when the displacement is in liters. For engine families with multiple displacements, the largest displacement is used for the family name. For on-highway vehicles and engines, the tenth character is reserved for use by California ARB. The final characters (including the 10th character in absence of California ARB guidance) left to the manufacturer to determine, such that the family name forms a unique identifying characteristic of the engine family.</P>
                    <P>This convention is well understood by the regulated industries, provides sufficient detail, and is flexible enough to be used across a wide spectrum of vehicle and engine categories. In addition, the current harmonization with other regulatory bodies reduces complications for affected manufacturers. For these reasons, we are not finalizing any major changes to this naming convention for this rulemaking. There may be additional categories defined for the 5th character to address heavy-duty vehicle families, however that will be discussed later.</P>
                    <P>As with criteria pollutant standards, the heavy-duty diesel regulatory category is subdivided into three regulatory subcategories, depending on the GVW of the vehicle in which the engine will be used. These regulatory subcategories are defined as light-heavy-duty (LHD) diesel, medium heavy-duty (MHD) diesel, and heavy heavy-duty (HHD) diesel engines. All heavy-duty gasoline engines are grouped into a single subcategory. Each of these regulatory subcategories are expected to be in service for varying amounts of time, so they each carry different regulatory useful lives. For this reason, expectations for demonstrating useful life compliance differ by subcategory, particularly as related to deterioration factors.</P>
                    <P>
                        Light heavy-duty diesel engines (and all gasoline heavy-duty engines) have the same regulatory useful life as a light-duty vehicle (110,000 miles), which is significantly shorter than the other heavy-duty regulatory subcategories. Therefore, we believe it is appropriate to maintain commonality with the light-duty vehicle rule. During the light-duty vehicle rulemaking, the conclusion was reached that no significant deterioration would occur over the useful life. Therefore, EPA is recommending that manufacturers use assigned DFs for CO
                        <E T="52">2</E>
                        . For this final action, we believe appropriate values are zero (for additive DFs) and one (for multiplicative DFs). EPA will continue to collect data regarding deterioration of CO
                        <E T="52">2</E>
                         emissions and may revisit these assigned values if necessary.
                    </P>
                    <P>
                        For the medium heavy-duty and heavy heavy-duty diesel engine segments, the regulatory useful lives are significantly longer (185,000 and 435,000 miles, respectively). For this reason, the EPA cannot rule out the possibility that engine/aftertreatment wear will have a negative impact on GHG emissions. To address useful life compliance for MHD and HHD diesel engines certified to GHG standards, EPA therefore believes that the criteria pollutant approach for developing DFs is appropriate. Using CO
                        <E T="52">2</E>
                         as an example, many types of engine deterioration will affect CO
                        <E T="52">2</E>
                         emissions. Reduced compression, as a result of wear, will cause higher fuel consumption and increase CO
                        <E T="52">2</E>
                         production. In addition, as aftertreatment devices age (primarily particulate traps), regeneration events may become more frequent and take longer to complete. Since regeneration commonly requires an increase in fuel rate, CO
                        <E T="52">2</E>
                         emissions would likely increase as well. Finally, any changes in EGR levels will affect heat release rates, peak combustion temperatures, and completeness of combustion. Since these factors could reasonably be expected to change fuel consumption, CO
                        <E T="52">2</E>
                         emissions would be expected to change accordingly. However, we expect engine manufacturers to consider performance degradation in the design of engine and aftertreatment systems given the market incentive to reduce fuel consumption and related CO
                        <E T="52">2</E>
                         emissions. For these reasons, EPA is not eliminating the DF from this program, but will allow for an assigned DF of zero.
                    </P>
                    <P>
                        HHD diesel engines may also require some degree of aftertreatment maintenance throughout their useful life. For example, one major heavy-duty engine manufacturer specifies that their diesel particulate filters be removed and cleaned at intervals between 200,000 and 400,000 miles, depending on the severity of service. Another major engine manufacturer requires servicing diesel particulate filters at 300,000 miles. This maintenance or lack thereof if service is neglected, could have serious negative implications to CO
                        <E T="52">2</E>
                         emissions. In addition, there may be emissions-related warranty implications for manufacturers to ensure that if rebuilding or specific emissions related maintenance is necessary, it will occur at the prescribed intervals. Therefore, it is imperative that manufacturers provide detailed maintenance instructions. Lean-NO
                        <E T="52">X</E>
                         aftertreatment devices may also facilitate GHG reductions by allowing engines to run with higher engine-out NO
                        <E T="52">X</E>
                         levels in exchange for more efficient calibrations. In most cases, these aftertreatment devices require a consumable reductant, 
                        <PRTPAGE P="57265"/>
                        such as diesel exhaust fluid, which requires periodic maintenance by the vehicle operator. Without such maintenance, the emission control system may be compromised and compliance with emission standards may be jeopardized. Such maintenance is considered to be critical emission related maintenance and manufacturers must therefore demonstrate that it is likely to be completed at the required intervals. One example of such a demonstration is an engine power de-rating strategy that will limit engine power or vehicle speed in absence of this required maintenance.
                    </P>
                    <P>If the manufacturer determines that maintenance is necessary on critical emission-related components within the useful life period, it must have a reasonable basis for ensuring that this maintenance will be completed as scheduled. This includes any adjustment, cleaning, repair, or replacement of critical emission-related components. Typically, EPA has only allowed manufacturers to schedule such maintenance if the manufacturer can demonstrate that the maintenance is reasonably likely to be done at the recommended intervals. This demonstration may be in the form of survey data showing at least 80 percent of in-use engines get the prescribed maintenance at the correct intervals. Another possibility is to provide the maintenance free of charge. We see no reason to depart from this approach for GHG-related critical emission-related components. For reasons stated previously regarding the useful life provisions, EPA is retaining many of the same provisions for GHG certification for family useful life provisions as developed for criteria pollutants.</P>
                    <HD SOURCE="HD3">(b) Demonstrating Compliance with the Standards</HD>
                    <HD SOURCE="HD3">
                        (i) CO
                        <E T="52">2</E>
                         Standards
                    </HD>
                    <P>The final test results (adjusted for deterioration, if applicable) form the basis for the Family Certification Limit (FCL), which the manufacturer must specify to be at or above the certification test results. This FCL becomes the emission standard for the family and any certification or confirmatory testing must show compliance with this limit. In addition, manufacturers may choose an FCL at any level above their certified emission level to provide a larger compliance margin. If subsequent certification or confirmatory testing reveals emissions above the FCL, the new, higher result becomes the FCL.</P>
                    <P>
                        As proposed, the FCL is also used to determine the Family Emission Limit (FEL), which serves as the emission limit for any subsequent field testing conducted after the time of certification. This would primarily include selective enforcement audits, but also may include in-use testing for GHGs. The FEL differs from the FCL in that it includes an EPA-defined compliance margin; which has been defined at 3 percent for the final rule. Our proposal included a two percent margin based on round-robin testing of the same engine at several laboratories. Since that time, additional confidential data provided by manufacturers has indicated that it may be more appropriate to use a three percent margin to also account for production variability between engines.
                        <SU>312</SU>
                        <FTREF/>
                         Under this final action, the FEL will always be three percent higher than the FCL.
                    </P>
                    <FTNT>
                        <P>
                            <SU>312</SU>
                             
                            <E T="03">See</E>
                             discussion in RIA 3.1.2.3.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">Engine Emission Testing</HD>
                    <P>
                        Under current non-GHG engine emissions regulations, manufacturers are required to demonstrate compliance using two test methods: the heavy-duty transient cycle and the heavy-duty steady state test. Each test is an engine speed versus engine torque schedule intended to be run on an engine dynamometer. Over each test, emissions are sampled using the equipment and procedures outlined in 40 CFR part 1065, which includes provisions for measuring CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O, and CH
                        <E T="52">4</E>
                        . Emissions may be sampled continuously or in a batch configuration (commonly known as “bag sampling”) and the total mass of emissions over each cycle are normalized by the engine power required to complete the cycle. Following each test, a validation check is made comparing actual engine speed and torque over the cycle to the commanded values. If these values do not align well, the test is deemed invalid.
                    </P>
                    <P>The transient Heavy-duty FTP cycle is characteristic of typical urban stop-and-go driving. Also included is a period of more steady state operation that would be typical of short cruise intervals at 45 to 55 miles per hour. Each transient test consists of two 20 minute tests separated by a “soak” period of 20 minutes. The first test is run with the engine in a “cold” state, which involves letting the engine cool to ambient conditions either by sitting overnight or by forced cooling provisions outlined in § 86.1335-90 (or 40 CFR part 1036). This portion of the test is meant to assess the ability of the engine to control emissions during the period prior to reaching normal operating temperature. This is commonly a challenging area in criteria pollutant emission control, as cold combustion chamber surfaces tend to inhibit mixing and vaporization of fuel and aftertreatment devices do not tend to function well at low temperatures.</P>
                    <P>
                        Following the first test, the engine is shut off for a period of 20 minutes, during which emission analyzer checks are performed and preparations are made for the second test (also known as the “hot” test). After completion of the second test, the results from the cold and hot tests are weighted and a single composite result is calculated for each pollutant. Based on typical in-use duty cycles, the cold test results are given a 
                        <FR>1/7</FR>
                         weighting and the hot test results are given a 
                        <FR>6/7</FR>
                         weighting. Deterioration factors are applied to the final weighted results and the results are then compared to the emission standards.
                    </P>
                    <P>Prior to 2007, compliance only needed to be demonstrated over the Heavy-duty FTP. However, a number of events brought to light the fact that this transient cycle may not be as well suited for engines which spend much of their duty cycle at steady cruise conditions, such as those used in line-haul semi-trucks. As a result, the steady-state SET procedure was added, consisting of 13 steady-state modes. During each mode, emissions were sampled for a period of five minutes. Weighting factors were then applied to each mode and the final weighted results were compared to the emission standards (including deterioration factors). In addition, emissions at each mode could not exceed the NTE emission limits. Alternatively, manufacturers could run the test as a ramped-modal cycle. In this case, the cycle still consists of the same speed/torque modes, however linear progressions between points are added and instead of weighting factors, each mode is sampled for various amounts of time. The result is a continuous cycle lasting approximately 40 minutes. With the implementation of part 1065 test procedures in 2010, manufacturers are now required to run the modal test as a ramped-modal cycle. In addition, the order of the speed/torque modes in the ramped-modal cycle have changed for 2010 and later engines.</P>
                    <P>
                        It is well known that fuel consumption, and therefore CO
                        <E T="52">2</E>
                         emissions, are highly dependent on the drive cycle over which they are measured. Steady cruise conditions, such as highway driving, tend to be more efficient, having lower fuel consumption and CO
                        <E T="52">2</E>
                         emissions. In contrast, highly transient operation, such as city driving, tends to lead to lower efficiency and therefore higher fuel consumption and CO
                        <E T="52">2</E>
                         emissions. One example of this is the difference 
                        <PRTPAGE P="57266"/>
                        between EPA-measured city and highway fuel economy ratings assigned to all new light-duty passenger vehicles.
                    </P>
                    <P>
                        For this heavy-duty engine and vehicle rule, we believe it is important to assess CO
                        <E T="52">2</E>
                         emissions and fuel consumption over both transient and steady state test cycles, as all vehicles will operate in conditions typical of each cycle at some point in their useful life. However, due to the drive cycle dependence of CO
                        <E T="52">2</E>
                         emissions, we do not believe it is reasonable to have a single CO
                        <E T="52">2</E>
                         standard which must be met for both cycles. As we discussed at proposal, a single CO
                        <E T="52">2</E>
                         standard would likely prove to be too lax for steady-state conditions while being too strict for transient conditions. Therefore, the agencies are finalizing that all heavy-duty engines be tested over both transient and steady-state tests. However, only the results from either the transient or steady-state test cycles will be used to assess compliance with GHG standards, depending on the type of vehicle in which the engine will be used. Engines that will be used in Class 7 and 8 combination tractors will use the ramped-modal cycle for GHG certification, and engines used in vocational vehicles will use the Heavy-duty FTP cycle. In both cases, results from the other test cycle will be reported but not used for a compliance decision. Engines will continue to be required to show criteria pollutant compliance over both cycles, in addition to NTE requirements.
                    </P>
                    <P>
                        The agencies proposed that manufacturers submit both data sets from the transient test at the time of certification. This includes providing both cold start and hot start transient heavy-duty FTP emissions results, as well as the composite emissions at the time of certification. The proposed rules also required that manufacturers submit modal data from the ramped-modal cycle test. This was proposed in an effort to improve the accuracy of the simulation model being used for assessing CO
                        <E T="52">2</E>
                         and fuel consumption performance and overall engine emissions performance.
                    </P>
                    <P>However several commenters were concerned that modal data was non-discernable when batch sampling was used for certification testing. Thus, an additional certification test (or tests) would need to be done using either continuous analyzers or batch sampling at each mode; each option raising the cost and complexity of certification testing. The agencies agree that (at this time) this raises practical issues for certification testing, however we also believe that manufacturers have significant data from these modal points which could be used to satisfy our model refinement goals.</P>
                    <P>
                        The agencies also recognize that even minor variations in test fuel properties can have an impact on measured CO
                        <E T="52">2</E>
                         emissions. Therefore, measured CO
                        <E T="52">2</E>
                         results are to be corrected using a reference energy content, which is defined in the regulations. This correction must be performed for each test and each batch of test fuel. However, manufacturers may develop robust testing procedures that reduce the variation in test fuel properties to within the level of measurement uncertainty of the fuel properties themselves. If this is the case, an annual review is still necessary to confirm the validity of this constant value.
                    </P>
                    <P>
                        As explained above in Section II, the agencies are finalizing an alternative standard whereby manufacturers may elect that certain of their engine families meet an alternative percent reduction standard, measured from the engine family's 2011 baseline, instead of the main 2014 MY standard. As part of the certification process, manufacturers electing this standard would not only have to notify the agency of the election but also demonstrate the derivation of the 2011 baseline CO
                        <E T="52">2</E>
                         emission level for the engine family. Manufacturers would also have to demonstrate that they have exhausted all credit opportunities.
                    </P>
                    <HD SOURCE="HD3">Durability testing</HD>
                    <P>Another element of the current certification process is the requirement to complete durability testing to establish DFs. As previously mentioned, manufacturers are required to demonstrate that their engines comply with emission standards throughout the regulatory compliance period of the engine. This demonstration is commonly made through the combination of low-hour test results and testing based deterioration factors.</P>
                    <P>For engines without aftertreatment devices, deterioration factors primarily account for engine wear as service is accumulated. This commonly includes wear of valves, valve seats, and piston rings, all of which reduce in-cylinder pressure. Oil control seals and gaskets also deteriorate with age, leading to higher lubricating oil consumption. Additionally, flow properties of EGR systems may change as deposits accumulate and therefore alter the mass of EGR inducted into the combustion chamber. These factors, amongst others, may serve to reduce power, increase fuel consumption, and change combustion properties; all of which affect pollutant emissions.</P>
                    <P>For engines equipped with aftertreatment devices, DFs take into account engine deterioration, as described above, in addition to aging affects on the aftertreatment devices. Oxidation catalysts and other catalytic devices rely on active precious metals to effectively convert and reduce harmful pollutants. These metals may become less active with age and therefore pollutant conversion efficiencies may decrease. Particulate filters may also experience reduced trapping efficiency with age due to ash accumulation and/or degradation of the filter substrate, which may lead to higher tailpipe PM measurements and/or increased regeneration frequency. If a pollutant is predominantly controlled by aftertreatment, deterioration of emission control depends on the continued operation of the aftertreatment device much more so than on consistent engine-out emissions.</P>
                    <P>
                        At this time, we anticipate that most engine component wear will not have a significant negative impact on CO
                        <E T="52">2</E>
                         emissions. However, wear and aging of aftertreatment devices may or may not have a significant negative impact on CO
                        <E T="52">2</E>
                         emissions. In addition, future engine or aftertreatment technologies may experience significant deterioration in CO
                        <E T="52">2</E>
                         emissions performance over the useful life of the engine. For these reasons, we believe that the use of DFs for CO
                        <E T="52">2</E>
                         emissions is both appropriate and necessary. As with criteria pollutant emissions, these DFs are preferably developed through testing the engine over a representative duty cycle for an extended period of time. This is typically either half or full useful life, depending on the regulatory category. The DFs are then calculated by comparing the high-hour to low-hour emission levels, either by division or subtraction (for multiplicative &amp; additive DFs, respectively).
                    </P>
                    <P>
                        This testing process may be a significant cost to an engine manufacturer, mainly due to the amount of time and resources required to run the engine out to half or full useful life. For this reason, durability testing for the determination of DFs is not commonly repeated from model year to model year. In addition, some DFs may be allowed to carry over between families sharing a common architecture and aftertreatment system. EPA prefers to have manufacturers develop testing-based DFs for their products. However, we do understand that for the reasons stated above, it may be impractical to expect manufacturers to have testing-based deterioration factors available for these final rules. Therefore, we are allowing manufacturers to use EPA-assigned DFs for CO
                        <E T="52">2</E>
                        . However, we also understand that CO
                        <E T="52">2</E>
                         is traditionally measured as 
                        <PRTPAGE P="57267"/>
                        part of normal engine dynamometer testing. Therefore, we are requiring that manufacturers include CO
                        <E T="52">2</E>
                         data over their criteria pollutant durability demonstrations (if available), which will aid the agency in developing more accurate assigned DFs. This action is being taken in the context of engine manufacturers' concerns regarding the impact of deterioration of emissions components relative to the GHG standards. Engine manufacturers commented that there would be no deterioration of components used to reduce GHG emissions in Phase 1. As part of the Clean Air Act responsibility to demonstrate compliance throughout the useful life, manufacturer will need to provide data already collected during traditional criteria pollutant testing for full useful life performance.
                    </P>
                    <HD SOURCE="HD3">
                        IRAFs/Regeneration Impacts on CO
                        <E T="52">2</E>
                    </HD>
                    <P>Heavy-duty engines may be equipped with exhaust aftertreatment devices which require periodic “regeneration” to return the device to a nominal state. A common example is a diesel particulate filter, which accumulates PM as the engine is operated. When the PM accumulation reaches a threshold such that exhaust backpressure is significantly increased, exhaust temperature is actively increased to oxidize the stored PM. The increase in exhaust temperature is commonly facilitated through late combustion phasing and/or raw fuel injection into the exhaust system upstream of the filter. Both methods impact emissions and therefore must be accounted for at the time of certification. In accordance with § 86.004-28(i), this type of event would be considered infrequent because in most cases they only occur once every 30 to 50 hours of engine operation (rather than once per transient test cycle), and therefore adjustment factors must be applied at certification to account for these effects.</P>
                    <P>Similar to DFs, these adjustment factors are based off of manufacturer testing; however this testing is far less time consuming. Emission results are measured from two test cycles: With and without regeneration occurring. The differences in emission results are used, along with the frequency at which regeneration is expected to occur, to develop upward and downward adjustment factors. Upward adjustment factors are added to all emission results derived from a test cycle in which regeneration did not occur. Similarly, downward adjustment factors are subtracted from results based on a cycle which did experience a regeneration event. Each pollutant will have a unique set of adjustment factors and additionally, separate factors are commonly developed for transient and steady-state test cycles.</P>
                    <P>
                        The impact of regeneration events on criteria pollutants varies by pollutant and the aftertreatment device(s) used. In general, the adjustment factor can have a very significant impact on compliance with the NO
                        <E T="52">X</E>
                         standard. For this reason, heavy-duty vehicle and engine manufacturers are already very well motivated to extend the regeneration frequency to as long an interval as possible and to reduce the duration of the regeneration as much as possible. Both of these actions significantly reduce the impact of regeneration on CO
                        <E T="52">2</E>
                         emissions and fuel consumption. We do not believe that adding an adjustment factor for infrequent regeneration to the CO
                        <E T="52">2</E>
                         or fuel efficiency standards would provide a significant additional motivation for manufacturers to reduce regenerations. Moreover, doing so would add significant and unnecessary uncertainty to our projections of CO
                        <E T="52">2</E>
                         and fuel consumption performance in 2014 and beyond. In addressing that uncertainty, the agencies would have to set less stringent fuel efficiency and CO
                        <E T="52">2</E>
                         standards for heavy-duty trucks and engines. Therefore, we are not requiring the use of infrequent regeneration adjustment factors for CO
                        <E T="52">2</E>
                         or fuel efficiency in this program. This is consistent with comments received from engine manufacturers.
                    </P>
                    <HD SOURCE="HD3">Auxiliary Emission Control Devices</HD>
                    <P>
                        As part of the engine control strategy, there may be devices or algorithms which reduce the effectiveness of emission control systems under certain limited circumstances. These strategies are referred to as Auxiliary Emission Control Devices (AECDs). One example would be the reduced use of EGR during cold engine operation. In this case, low coolant temperatures may cause the electronic control unit to reduce EGR flow to improve combustion stability. Once the engine warms up, normal EGR rates are resumed and full NO
                        <E T="52">X</E>
                         control is achieved.
                    </P>
                    <P>At the time of certification, manufacturers are required to disclose all AECDs and provide a full explanation of when the AECD is active, which sensor inputs effect AECD activation, and what aspect of the emission control system is affected by the AECD. Manufacturers are further required to attest that their AECDs are not “defeat-devices,” which are intentionally targeted at reducing emission control effectiveness.</P>
                    <P>
                        Several common AECDs disclosed for criteria pollutant certification will have a similarly negative influence on GHG emissions as well. One such example is cold-start enrichment, which provides additional fueling to stabilize combustion shortly after initially starting the engine. From a criteria pollutant perspective, HC emissions can reasonably be expected to increase as a result. From a GHG perspective, the extra fuel does not result in a similar increase in power output and therefore the efficiency of the engine is reduced, which has a negative impact on CO
                        <E T="52">2</E>
                         emissions. In addition, there may be AECDs that uniquely reduce GHG emission control effectiveness. Therefore, consistent with today's certification procedures, we are finalizing that a comprehensive list of AECDs covering both criteria pollutant, as well as GHG emissions is required at the time of certification.
                    </P>
                    <HD SOURCE="HD3">
                        (ii) EPA's N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         Standards
                    </HD>
                    <P>
                        In 2009, EPA issued rules requiring manufacturers of mobile-source engines to report the emissions of CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O, and CH
                        <E T="52">4</E>
                         (74 FR 56260, October 30, 2009). Although CO
                        <E T="52">2</E>
                         is commonly measured during certification testing, CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O are not. CH
                        <E T="52">4</E>
                         has traditionally not been included in criteria pollutant regulations because it is a relatively stable molecule and does not contribute significantly to ground-level ozone formation. In addition, N
                        <E T="52">2</E>
                        O is commonly a byproduct of lean-NO
                        <E T="52">X</E>
                         aftertreatment systems. Until recently, these types of systems were not widely used on heavy-duty engines and therefore N
                        <E T="52">2</E>
                        O emissions were insignificant. As noted in section II above, both species, while emitted in small quantities relative to CO
                        <E T="52">2</E>
                        , have much higher global warming potential than CO
                        <E T="52">2</E>
                         and therefore must be considered as part of a comprehensive GHG regulation.
                    </P>
                    <P>
                        EPA is requiring that CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O be reported at the time of certification, however we will allow manufacturers to submit a compliance statement based on good engineering judgment for the first year of the program in lieu of direct measurement of N
                        <E T="52">2</E>
                        O. However, beginning in the 2015 model year, the agency is requiring the direct measurement of N
                        <E T="52">2</E>
                        O for certification. The intent of the CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O standards are more focused on prevention of future increases in these compounds, rather than forcing technologies that reduce these pollutants. As one example, we envision manufacturers satisfying this requirement by continuing to use catalyst designs and formulations that appropriately control N
                        <E T="52">2</E>
                        O emissions rather than pursuing a catalyst that may 
                        <PRTPAGE P="57268"/>
                        increase N
                        <E T="52">2</E>
                        O. In many ways this becomes a design-based criterion in that the decision of one catalyst over another will effectively determine compliance with N
                        <E T="52">2</E>
                        O standards over the useful life of the engine. As discussed above, in cases where N
                        <E T="52">2</E>
                        O emissions directly tradeoff with CO
                        <E T="52">2</E>
                         emissions, EPA is allowing manufacturers to exploit this relationship to produce engines with the lowest overall GHG emissions. Direct measurement of N
                        <E T="52">2</E>
                        O emissions is required in the case of engines utilizing this temporary credit program.
                    </P>
                    <P>
                        Since catalytic activity generally changes with age and service accumulation, it is not unreasonable to expect changes in N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         emissions over the useful life of the engine. We also believe that low-hour test results coupled with deterioration factors provides an adequate representation of end-of-life emission levels for these pollutants. However, the requirement to measure N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         during testing is relatively new and we do not expect that manufacturers have consistent durability data to formulate deterioration factors for today's action. We also do not believe it is appropriate to require all new durability testing to satisfy this requirement, as this would result in a nontrivial burden to engine manufacturers. Instead we will be assigning deterioration factors for N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         for this action. If the use of assigned deterioration factors jeopardizes compliance with the emission standards, we will also allow manufacturers to propose unique testing-based deterioration factors for these pollutants. In response to comments received from engine manufacturers regarding the timing needed to generate deterioration factors the agencies are taking this approach.
                    </P>
                    <P>
                        Concerns had also been raised by engine manufacturers regarding measurement techniques for quantifying N
                        <E T="52">2</E>
                        O emissions. In an effort to expand testing options, we are adding an allowance to use laser infrared analyzers for N
                        <E T="52">2</E>
                        O measurement in 40 CFR part 1065.275. This is to reflect the recent development of this technology for N
                        <E T="52">2</E>
                        O measurement. We would also like to serve notice that in an upcoming rulemaking, we will be tightening the interference tolerance (both positive and negative) for engines and vehicles that are required to certify to an N
                        <E T="52">2</E>
                        O standard. This will consist of an interference limit based on interference as a percentage of the flow weighted mean concentration of N
                        <E T="52">2</E>
                        O expected at the standard. For example we may set the interference limit at ±10 percent of the flow weighted mean concentration of N
                        <E T="52">2</E>
                        O expected at the standard and strongly recommend a lower interference that is within ±5 percent.
                    </P>
                    <HD SOURCE="HD3">(c) Additional Compliance Provisions</HD>
                    <HD SOURCE="HD3">(i) Warranty &amp; Defect Reporting</HD>
                    <P>Under section 207 of the CAA, engine manufacturers are required to warrant that their product is free from defects that would cause the engine to not comply with emission standards. This warranty must be applicable from when the engine is introduced into commerce through a period generally defined as half of the regulatory useful life (specified in hours and years, whichever comes first). The exact time of this warranty is dependent on the regulatory category of the engine. In addition, components that are considered “high cost” are required to have an extended warranty. Examples of such components would be exhaust aftertreatment devices and electronic control units.</P>
                    <P>Current warranty provisions in 40 CFR part 86 define the warranty periods and covered components for heavy-duty engines. The current list of components is comprised of any device or system whose failure would result in an increase in criteria pollutant emissions. We remain convinced that this list is adequate for addressing GHG emissions as well, based on comments received from the proposed rules. The following list identifies items commonly defined as critical emission-related components:</P>
                    <FP SOURCE="FP-1">• Electronic control units.</FP>
                    <FP SOURCE="FP-1">• Aftertreatment devices.</FP>
                    <FP SOURCE="FP-1">• Fuel metering components.</FP>
                    <FP SOURCE="FP-1">• EGR-System components.</FP>
                    <FP SOURCE="FP-1">• Crankcase-ventilation valves.</FP>
                    <FP SOURCE="FP-1">• All components related to charge-air compression and cooling.</FP>
                    <FP SOURCE="FP-1">All sensors and actuators associated with any of these components.</FP>
                    <P>When a manufacturer experiences an elevated rate of failure of an emission control device, they are required to submit defect reports to the EPA. These reports will generally have an explanation of what is failing, the rate of failure, and any possible corrections taken by the manufacturer. Based on how successful EPA believes the manufacturer to be in addressing these failures, the manufacturer may need to conduct a product recall. In such an instance, the manufacturer is responsible for contacting all customers with affected units and repairing the defect at no cost to them. We believe this structure for the reporting of criteria pollutant defects, and recalls, is appropriate for components related to complying with GHG emissions as well.</P>
                    <HD SOURCE="HD3">(ii) Maintenance</HD>
                    <P>Engine manufacturers are required to outline maintenance schedules that ensure their product will remain in compliance with emission standards throughout the useful life of the engine. This schedule is required to be submitted as part of the application for certification. Maintenance that is deemed to be critical to ensuring compliance with emission standards is classified as “critical emission-related maintenance.” Generally, manufacturers are discouraged from specifying that critical emission-related maintenance is needed within the regulatory useful life of the engine. However, if such maintenance is unavoidable, manufacturers must have a reasonable basis for ensuring it is performed at the correct time. This may be demonstrated through several methods including survey data indicating that at least 80 percent of engines receive the required maintenance in-use or manufacturers may provide the maintenance at no charge to the user. During durability testing of the engine, manufacturers are required to follow their specified maintenance schedule.</P>
                    <P>Maintenance relating to components relating to reduction of GHG emissions is not expected to present unique challenges. Therefore, we are not finalizing any changes to the provisions for the specification of emission-related maintenance as outlined in 40 CFR part 86.</P>
                    <HD SOURCE="HD3">(2) Enforcement Provisions</HD>
                    <HD SOURCE="HD3">(a) Emission Control Information Labels</HD>
                    <P>Current provisions for engine certification require manufacturers to equip their product with permanent emission control information labels. These labels list important characteristics, parameters, and specifications related to the emissions performance of the engine. These include, but are not limited to, the manufacturer, model, displacement, emission control systems, and tune-up specifications. In addition, this label also provides a means for identifying the engine family name, which can then be referenced back to certification documents. This label provides essential information for field inspectors to determine that an engine is in fact in the certified configuration.</P>
                    <P>
                        We do not anticipate any major changes needing to be made to emission control information labels as a result of new GHG standards and a single label is appropriate for both criteria pollutant and GHG emissions purposes. Perhaps the most significant addition will be the inclusion of Family Certification Levels or Family Emission Limits for GHG pollutants, if the manufacturer is participating in averaging, banking, and 
                        <PRTPAGE P="57269"/>
                        trading. In addition, the label will need to indicate whether the engine is certified for use in vocational vehicles, tractors, or both. Finally, if an engine family is uniquely certified for use in hybrid powertrain applications, a compliance statement indicating this will need to be included on the emission control label.
                    </P>
                    <P>In response to comments from engine and truck manufacturers that tractors should be allowed to obtain engines certified for vocational use and likewise a limited number of engines certified for tractor use should be available for the appropriate vocational applications, the agencies are allowing limited use of engines certified in other categories. To address compliance needs and to discourage abuse of the provisions, proper labeling of the engines is essential.</P>
                    <HD SOURCE="HD3">(b) In-Use Standards</HD>
                    <P>In-use testing of engines provides a number of benefits for ensuring useful life compliance. In addition to verifying compliance with emission standards at any given point in the useful life, it can be used along with manufacturer defect reporting, to indentify components failing at a higher than normal rate. In this case, a product recall or other service campaign can be initiated and the problem can be rectified. Another key benefit of in-use testing is the discouragement of control strategies catered to the certification test cycles. In the past, engine manufacturers were found to be producing engines that performed acceptably over the certification test cycle, while changing to alternate operating strategies “off-cycle” which caused increases in criteria pollutant emissions. While these strategies are clearly considered defeat devices, in-use testing provides a meaningful way of ensuring that such strategies are not active under normal engine operation.</P>
                    <P>Currently, manufacturers of certified heavy-duty engines are required to conduct in-use testing programs. The intent of these programs is to ensure that their products are continuing to meet criteria pollutant emission standards at various points within the useful life of the engine. Since initial certification is based on engine dynamometer testing, and removing in-use engines from their respective vehicles is often impractical, a unique testing procedure was developed. This includes using portable emission measurement systems (PEMS) and testing the engine over typical in-situ drive routes rather than a prescribed test cycle. To assess compliance, emission results from a well defined area of the speed/torque map of the engine, known as the NTE zone, are compared to the emission standards. To account for potential increases in measurement and operational variability, certain allowances are applied to the standard which results in the standard for NTE measurements (NTE limit) to be at or above the duty cycle emission standards.</P>
                    <P>In addition, EPA conducts an annual in-use testing program of heavy-duty engines. Testing procured vehicles with specific engines over well-defined drive routes using a constant trailer load allows for a consistent comparison of in-use emissions performance. If potential problems are identified in-situ, the engine may be removed from the vehicle and tested using an engine dynamometer over the certification test cycles. If deficiencies are confirmed the agency will either work with the manufacturer to take corrective action, possibly involving a product recall, or proceed with enforcement action against the manufacturer.</P>
                    <P>
                        The GHG reporting rule requires manufacturers to submit CO
                        <E T="52">2</E>
                         data from all engine testing (beginning in the 2011 model year), which we believe is equally applicable to in-use measurements. Methods of CO
                        <E T="52">2</E>
                         in-situ measurement are well established and most, if not all, PEMS devices measure and record CO
                        <E T="52">2</E>
                         along with criteria pollutants. CH
                        <E T="52">4</E>
                         and N
                        <E T="52">2</E>
                        O present in-situ measurement challenges that may be impractical to overcome for this testing, and therefore they are not included in in-use testing requirements at this time. While measurement of CO
                        <E T="52">2</E>
                         may be practical and important, implementing an NTE emission standard for CO
                        <E T="52">2</E>
                         is challenging. As previously discussed, CO
                        <E T="52">2</E>
                         emissions are highly dependent on the drive cycle of the vehicle, which does not lend itself well to the NTE-based test procedure. Therefore, we proposed and are adopting that manufacturers be required to submit CO
                        <E T="52">2</E>
                         data from in-situ testing, in both g/bhp-hr and g/ton-mile, but these data will be used for reference purposes only (there would be no NTE limit/standard for CO
                        <E T="52">2</E>
                        ). For the purposes of calculating the g/ton-mile metric, we prefer that manufacturers use the measured vehicle weight. However it has been brought to our attention that this may not always be available, in which case an estimated vehicle weight can be used along with a written justification for the basis of the estimation. For engine-based (dynamometer) in-use testing, compliance with CO
                        <E T="52">2</E>
                         emission standards will be judged off of the FCL of the engine family.
                    </P>
                    <HD SOURCE="HD3">(3) Other Certification Provisions</HD>
                    <HD SOURCE="HD3">(a) Carryover/Carry Across Certification Test Data</HD>
                    <P>
                        EPA's current certification program for heavy-duty engines allows manufacturers to carry certification test data over and across certification testing from one model year to the next, when no significant changes to models are made. EPA will also apply this policy to CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         certification test data.
                    </P>
                    <HD SOURCE="HD3">(b) Certification Fees</HD>
                    <P>The CAA allows EPA to collect fees to cover the costs of issuing certificates of conformity for the classes of engines covered by this rulemaking. On May 11, 2004, EPA updated its fees regulation based on a study of the costs associated with its motor vehicle and engine compliance program (69 FR 51402). At the time that cost study was conducted, the current rulemaking was not considered. At this time the extent of any added costs to EPA as a result of this program is not known. EPA will assess its compliance testing and other activities associated with the rules and may amend its fees regulations in the future to include any justifiable new costs.</P>
                    <HD SOURCE="HD3">(c) Onboard Diagnostics</HD>
                    <HD SOURCE="HD3">(a) Onboard Diagnostics</HD>
                    <P>
                        Beginning with the 2010 model year, manufacturers have been phasing in on-board diagnostic (OBD) systems on heavy-duty engines pursuant to the heavy-duty OBD rulemaking finalized by the EPA in 2009.
                        <SU>313</SU>
                        <FTREF/>
                         These systems monitor the activity of the emission control system and issue alerts when faults are detected. These diagnostic systems are currently being developed based around components and systems that influence criteria pollutant emissions. Consistent with the light-duty 2012-2016 MY vehicle rulemaking, we believe that monitoring of these components and systems for criteria pollutant emissions will have an equally beneficial effect on CO
                        <E T="52">2</E>
                         emissions.
                        <SU>314</SU>
                        <FTREF/>
                         Therefore, we have not finalized any additional unique onboard diagnostic provisions for heavy-duty GHG emissions. In the NPRM, EPA did 
                        <PRTPAGE P="57270"/>
                        not propose new or different diagnostic requirements from those finalized in the 2009 heavy-duty OBD rule.
                    </P>
                    <FTNT>
                        <P>
                            <SU>313</SU>
                             U.S. EPA, “Control of Air Pollution from New Motor Vehicles and New Motor Vehicles Engines; Final Rule Regulations Requiring Onboard Diagnostic Systems on 2010 and Later Heavy-Duty Engines Used in Highway Applications Over 14,000 Pounds; Revisions to Onboard Diagnostic Requirements for Diesel Highway Heavy-Duty Vehicles Under 14,000 Pounds,” published February 24, 2009. Available here: 
                            <E T="03">http://www.epa.gov/otaq/regs/im/obd/regtech/hd-obd-frm-02-24-09-notice-74-fr-8310.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>314</SU>
                             
                            <E T="03">See</E>
                             the Light-Duty 2012-2016 Vehicle Rule, Note 5, above.
                        </P>
                    </FTNT>
                    <P>
                        The agencies received comments from engine manufacturers, hybrid system manufacturers, and related trade groups which broached concerns regarding the feasibility of applying on-board diagnostics to hybrid applications starting in 2013. The commenters stated that engine manufacturers would need several years to adapt their engine OBD systems to hybrids, and therefore requested a delay of OBD requirements for hybrid applications until 2020 with a phase-in of enforcement liability starting that same year. Details, which the agencies believe have merit, are set out below. In response, EPA is taking an approach that is consistent with certain provisions of the existing final action for heavy-duty OBD, finalized in 2009. To that end, manufacturers who certify hybrid systems will continue to have the responsibility of implementing compliant diagnostic systems, however, we are extending the OBD phase-in for engines with hybrid systems to allow time for manufacturers to be able to address communication protocol development concerns (
                        <E T="03">e.g.</E>
                         SAE J1939, communication with diagnostic scantools), component development concerns (
                        <E T="03">e.g.</E>
                         hardware and software), and to address the availability of heavy-duty OBD compliant engines with sufficient lead-time for additional hybrid diagnostic system development given resource constraints as engine manufacturers are focused on meeting the 2013 requirements for conventional products at this time.
                    </P>
                    <P>
                        Since publication of the NPRM, the EPA has undertaken extensive outreach to hybrid manufacturers, engine manufacturers, and related industry groups to further understand the technical issues involved with the implementation of full OBD on engine-hybrid systems.
                        <SU>315</SU>
                        <FTREF/>
                         Hybrid manufacturers have indicated that the interaction between hybrid systems and OBD compliant engines is not well understood at this time, for example, if the system shuts down the vehicle at idle (as is common), the OBD idle diagnostics cannot run. In addition, there are many different hybrid systems being developed which make much of this technology both immature and low volume, and engine manufacturers are concerned that this will result in high costs due to frequent design changes that could occur as this technology develops and have asked for flexibility for unique hybrid applications. Consistent with the goal to incentivize the development of hybrid designs (systems designed to capture wasted energy and reduce fuel consumption) the EPA is allowing hybrid manufacturers time to develop their systems while simultaneously developing the capability to meet HD OBD requirements.
                    </P>
                    <FTNT>
                        <P>
                            <SU>315</SU>
                             
                            <E T="03">See</E>
                             EPA Docket EPA-HQ-OAR-2010-0162 for memos describing meetings held as a part of this outreach.
                        </P>
                    </FTNT>
                    <P>
                        Communication protocol development is an integral part of developing hybrid OBD capability for the heavy-duty industry which is not vertically integrated. There are different protocols required to be used for OBD communication in a vehicle depending on the type of engine (gasoline or diesel). These protocols are developed in part to standardize the transmission of electronic signals and control information among vehicle components. The J1939 communication protocol is developed by committee through SAE and is required for use with diesel engines. J1939 defines communications messages, diagnostic messages for communications between a module and diagnostic scantool, and fault codes. Messages sent through a J1939 network contain a series of information (
                        <E T="03">e.g.</E>
                         an identifier, message priority, data, 
                        <E T="03">etc.</E>
                        ) and these parameters must be agreed upon through the SAE committee and tailored to work for all manufacturers. The development of this communication protocol includes developing criteria for the messages, and determining a single set of fault codes that can work for all manufacturers and all hybrid system configurations; this is expected to take a substantial amount of time and collaboration. OBD cannot exist without fault codes to report, therefore development of this protocol is critical. Hybrid manufacturers have stated that until such time as a `plug and play scheme' is available, hybrid volumes will not be able to increase significantly. At this time, there are only a few such messages that have been developed for use in hybrid systems, and there is much additional development that needs to take place. The type of messages needed must first be identified once 2013 HD OBD compliant engines are available for use in HD hybrid OBD system development. After needed messages are identified, the content of each message must be developed and agreed upon through a ballot process. Manufacturers have stated that this will be an iterative process and will likely take at least two years to develop the protocol for use with different variations of hybrid systems and architectures, different types of energy storage systems, and for systems used in the wide variety of applications in the heavy-duty market, and we agree with this assessment. While a level of communication exists today between engines and transmissions for this industry, the level of control and impact on engine system operation becomes much more significant once hybrid technology is introduced. The purpose of the hybrid energy system is to supplement overall vehicle power demands. As such, the methods used for integrating the energy from the hybrid system into overall vehicle operation vary from allowing additional internal combustion engine lower power operation to potentially decreasing the amount of engine “on” time. This range of performance impacts will serve to reduce GHG emissions by reducing demands on the engine. Conventional transmission systems and other powertrain components do not exercise the level of control the hybrid will need to exercise to effectively reduce GHG emissions and improve fuel consumption performance for internal combustion engines; therefore, hybrid OBD systems can reasonably be expected to be more complicated as well.
                    </P>
                    <P>
                        Component development concerns raised by hybrid manufacturers include both changes that may be required to software and/or hardware systems on both existing hybrid products and on hybrid systems currently under development. Software systems in existing products have been developed that provide proprietary diagnostic capability (as no standardized system such as J1939 had been developed for these systems), however, these software systems are not OBD compliant. These products will likely require entirely new software systems developed for them which may result in hardware changes as well. Manufacturers have stated that a complete software system can take up to 2 years to develop and validate. Hardware may also need to be changed to accommodate OBD on hybrid systems. In particular, hardware changes would affect current production systems which may not have controllers that can support full OBD. The low volume sales and high cost of a controller program (which can reach into the millions of dollars) means that most companies cannot justify the cost of a hardware change for hybrids alone, rather, existing hybrid systems will have to wait until such a hardware upgrade is planned for other reasons. In addition, new hardware programs, such as developing a new Electronic Control Unit, can take 3-4 years to complete. 
                        <PRTPAGE P="57271"/>
                        While it is possible for some of this work to be done concurrently, how much can be done this way is dependent on the configuration of each individual system. Finally, manufacturers may have contractual agreements with hardware and software suppliers that will have to be reconfigured to address a complete OBD program.
                    </P>
                    <P>Hybrid manufacturers have stated that they will be unable to produce hybrid systems that will be OBD compliant in 2013. Given the concerns discussed above and the general lack of availability of OBD compliant engines until the completion of the HD OBD phase-in, to require manufacturers of systems that depend on the availability of those OBD complaint engines to then be able to immediately implement additional requirements may be impractical or infeasible in many instances. Given the phase-in of HD OBD requirements that already exists however, we do not believe a delay to 2019 or 2020 is warranted. While not all of the engines that would potentially have hybrid systems incorporated into their design are available in their final OBD configuration at the time of this action, it is clear that some engine systems will be available. Additionally, there is an expectation that engine manufacturers, their suppliers and customers will have to continue to work cooperatively to deliver products for the market. This cooperation must include a level of concurrent engineering prior to products being brought to market. At this time we believe a delay to 2016 for the phase-in of OBD for heavy-duty engines equipped with hybrid systems should provide the requisite lead time from the date of this action to the date of implementation for development of components and protocols necessary for successful integration of complete OBD systems for engines equipped with hybrid systems.</P>
                    <P>Manufacturers will be required to implement feasible controls for these hybrid systems that do not adversely impact emissions performance in 2013 and by 2016-17, all systems must be fully compliant with OBD requirements. The phase in period takes into account that current production systems are likely to be smaller in terms of sales volumes than newly developed systems, and may require more hardware and software development as some of these systems have been in production for nearly a decade and have developed a proprietary system diagnostic capability that does not meet OBD requirements. Therefore, this extended phase-in provides them an additional year of time to comply with the heavy-duty OBD regulations. Hybrid systems put into production after January 1, 2013 will be required to meet the 2009 heavy-duty OBD requirements in 2016 consistent with the next phase-in date for heavy-duty OBD, while those hybrid systems released prior to January 1, 2013 have until 2017 to be compliant with these OBD requirements.</P>
                    <P>If a manufacturer certifies an engine-hybrid system with CARB OBD in California prior to the required phase-in date (2016 or 2017), and its diagnostics meet or exceed the requirements for full 2013 OBD, the manufacturer must either use the CARB certified package for Federal release or phase in the package and certify it with full EPA OBD.</P>
                    <P>
                        In the interim, engine system diagnostics must show that they meet or exceed CARB's Engine Manufacturer Diagnostic Systems Requirements (EMD) including system monitoring requirements for NO
                        <E T="52">X</E>
                         aftertreatment, fuel systems, exhaust gas recirculation, particulate matter traps, and emission-related electronic components.
                        <SU>316</SU>
                        <FTREF/>
                         Specific EMD requirements will be considered met if they are redundant due to the installed engine's fully functioning OBD content. Most manufacturers have already certified their engines with EMD for the 2011 model year, and full OBD as required in 2013 exceeds EMD requirements, therefore no new cost burden is expected as a result of this provision. In addition, new engines may be introduced in 2013 for hybrid-only use and, in lieu of meeting full OBD, meeting EMD would result in cost savings because of the flexibility in scan-tool reporting and diagnostic content.
                    </P>
                    <FTNT>
                        <P>
                            <SU>316</SU>
                             California Air Resources Board, Final Regulation Order for EMD, Section 1971 of Title 13, California Code of Regulations, effective December 30, 2004. Available here; 
                            <E T="03">http://www.arb.ca.gov/regact/emd2004/fro.pdf.</E>
                        </P>
                    </FTNT>
                    <P>
                        In addition, the engine-hybrid system must maintain existing OBD capability for engines where the same or equivalent engine (
                        <E T="03">e.g.</E>
                         displacement) has been OBD certified. An equivalent engine is one produced by the same engine manufacturer with the same fundamental design, but that may have no more than minor hardware or calibration differences, such as slightly different displacement, rated power, or fuel system. Though the OBD capability must be maintained, it does not have to meet detection thresholds and in-use performance frequency requirements; for example, a manufacturer may modify detection thresholds to prevent false detection.
                    </P>
                    <P>As stated earlier, existing hybrid systems sold today have proprietary diagnostic capability that is non-OBD compliant, but nonetheless will notify the driver of potential problems with the system. Hybrid manufacturers must also continue to maintain this existing diagnostic capability to ensure proper function consistent with the performance for which the hybrid system is certified as well as, safe operation of the hybrid system.</P>
                    <P>Finally, during the interim part of the phase-in, manufacturers that are not fully-OBD compliant must also submit an annual pre-compliance report to the EPA for model years 2013 and later. The engine manufacturers must submit this report with their engine certification information. Hybrid manufacturers that are not certifying the engine-hybrid systems must also submit an annual pre-compliance report to the EPA. The report must include a description of the engine-hybrid system being certified and related product plans, information as to activities undertaken and progress made by the manufacturer in achieving full OBD certification including monitoring, diagnostics, and standardization; and deviations from an originally certified full-OBD package with engineering justification.</P>
                    <HD SOURCE="HD3">(d) Applicability of Current High Altitude Provisions to Greenhouse Gases</HD>
                    <P>
                        EPA is requiring that engines covered by this program must meet CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O and CH
                        <E T="52">4</E>
                         standards at elevated altitudes. The CAA requires emission standards under section 202 for heavy-duty engines to apply at all altitudes. EPA does not expect engine CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , or N
                        <E T="52">2</E>
                        O emissions to be significantly different at high altitudes based on engine calibrations commonly used at all altitudes. Therefore, EPA will retain its current high altitude regulations so manufacturers will not normally be required to submit engine CO
                        <E T="52">2</E>
                         test data for high altitude. Instead, they will be required to submit an engineering evaluation indicating that common calibration approaches will be utilized at high altitude. Any deviation in emission control practices employed only at altitude will need to be included in the AECD descriptions submitted by manufacturers at certification. In addition, any AECD specific to high altitude will be required to include emissions data to allow EPA to evaluate and quantify any emission impact and validity of the AECD.
                    </P>
                    <HD SOURCE="HD3">(e) Emission-Related Installation Instructions</HD>
                    <P>
                        Engine manufacturers are currently required to provide detailed installation instructions to vehicle manufacturers. 
                        <PRTPAGE P="57272"/>
                        These instructions outline how to properly install the engine, aftertreatment, and other supporting systems, such that the engine will operate in its certified configuration. At the time of certification, manufacturers may be required to submit these instructions to EPA to verify that sufficient detail has been provided to the vehicle manufacturer.
                    </P>
                    <P>We do not anticipate any major changes to this documentation as a result of regulating GHG emissions. The most significant impact will be the addition of language prohibiting vehicle manufacturers from installing engines into vehicle categories in which they are not certified for. An example would be a tractor manufacturer installing an engine certified for only vocational vehicle use. Explicit instructions on behalf of the engine manufacturer that such acts are prohibited will serve as sufficient notice to the vehicle manufacturers and failure to follow such instructions will result in the vehicle manufacturer being in non-compliance.</P>
                    <HD SOURCE="HD3">
                        (f) Alternate CO
                        <E T="52">2</E>
                         Emission and Fuel Consumption Standards
                    </HD>
                    <P>
                        Under the final rules, engine manufacturers have the option of certifying to alternate CO
                        <E T="52">2</E>
                         emission and fuel consumption standards for model years 2014 through 2016. These alternate standards are defined as a certain percentage below a baseline value established from their corresponding 2011 model-year products. For instance, the alternate emission standard for light and medium heavy duty FTP-certified (vocational) engines is equal to 0.975 times the baseline value. If a manufacturer elects to participate in this program it must indicate this on its certification application. In addition, sufficient details must be submitted regarding the baseline engine such that the agency can verify that the correct optional CO
                        <E T="52">2</E>
                         emission and fuel consumption standards have been calculated. These data will need to include the engine family name of the baseline engine, so references to the original certification application can be made, as well as test data showing the CO
                        <E T="52">2</E>
                         emissions and fuel consumption of the baseline engine.
                    </P>
                    <HD SOURCE="HD3">(4) Compliance Reports</HD>
                    <HD SOURCE="HD3">(a) Early Model Year Data</HD>
                    <P>
                        NHTSA's regulatory text in the NPRM included specifications for manufacturers to submit pre-certification compliance reports for heavy-duty engines. The pre-certification reports included requirements for manufacturers to submit information to identify the types of engines, expected test results, production volumes and credits. The reporting requirements were general in nature despite there being an existing emissions program for heavy-duty engines. The existing ABT program for NO
                        <E T="52">X</E>
                         and PM emissions for heavy-duty engines has existed since 2001 (see 66 FR 5002 signed on January 18, 2001) but does not require reporting early model year compliance information. The agencies sought comments on the report provisions in the NPRM but commenters failed to offer recommendations on what content should be required. As a result, the agencies have decided to eliminate the pre-certification report because engine manufacturers have no experience in providing GHG information and the proposed information may not be available until subsequent model years. For the next phase of this GHG program, the agencies may adopt a pre-model year report for engines.
                    </P>
                    <P>As an alternative to receiving early compliance model year information in the precertification reports, the agencies have decided to use manufacturer's application for certificates of conformity to obtain early model estimates. Currently, the applications for certificates are not required to include the fuel consumption information required by NHTSA. Therefore, the agencies are adopting provisions in the final rules for manufacturers to provide emission and equivalent fuel consumption estimates in the manufacturer's applications for certification. The agencies will treat information submitted in the applications as a manufacturer's demonstration of providing early compliance information, similar to the pre-model year report submitted for heavy-duty pick-up trucks and vans. The final rules establish a harmonized approach by which manufacturers will submit applications through the EPA Verify database system as the single point of entry for all information required for this national program and both agencies will have access to the information. If by model year 2012, the agencies are not prepared to receive information through the EPA Verify database system, manufacturers are expected to submit written applications to the agencies. This approach should streamline this process and reduce industry burden and provide sufficient information for the agencies to carry out their early compliance activities.</P>
                    <HD SOURCE="HD3">(b) Final Reports</HD>
                    <P>
                        For engines, the agencies proposed that manufacturers would submit EOY reports and final reports. An EOY report for manufacturers using the ABT program was required to be submitted no later than 90 days after the calendar year and final report no later than 270 days after the calendar year.
                        <SU>317</SU>
                        <FTREF/>
                         Manufacturers not participating in the ABT program were required to provide an EOY report within 45 days after the calendar year but no final reports were required. The final ABT report due date was established coinciding with EPA's existing criteria pollutant report for heavy-duty engines complying with NO
                        <E T="52">X</E>
                         and PM standards. Similar to that program, the proposed EOY and final reports required receiving engine type designation, engine family and credit plans for engine manufacturers.
                    </P>
                    <FTNT>
                        <P>
                            <SU>317</SU>
                             Corresponding to the compliance model year.
                        </P>
                    </FTNT>
                    <P>There were no comments received on the final reports for engines. For the final rules, the agencies will retain the provisions as proposed for the EOY and final reports. However, the agencies will consolidate the reporting as done for other vehicle categories and will require emissions and equivalent fuel consumption information to be submitted to EPA. The final rules establish a harmonized approach by which manufacturers will submit applications to EPA as the single point of entry for all information required for this national program and both agencies will have access to the appropriate information. If by model year 2012, the agencies are not prepared to receive information through a database system, manufacturers are expected to submit written applications to the agencies. The agencies are also combining the EOY reports for manufacturers not using ABT to provide a product volume report due 90 days after the end of the model year and the ABT report required 90 days after the model year. A summary of the required information in the final rules for EOY and final reports is as follows:</P>
                    <P>• Engine family designation and averaging set.</P>
                    <P>• Engine emissions and fuel consumption standards including any alternative standards used.</P>
                    <P>• Engine family FCLs.</P>
                    <P>• Final production volumes.</P>
                    <P>• Certified test cycles.</P>
                    <P>• Useful life values for engine families.</P>
                    <P>
                        • A credit plan identifying the manufacturers actual credit balances, credit flexibilities, credit trades and a credit deficit plan if needed demonstrating how it plans to resolve 
                        <PRTPAGE P="57273"/>
                        any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred.
                    </P>
                    <HD SOURCE="HD3">(c) Additional Required Information</HD>
                    <P>Throughout the model year, manufacturers may be required to submit various reports to the agencies to comply with various aspects of the program. These reports have differing criteria for submission and approval.</P>
                    <P>Table V-1 below provides a summary of the types of submission, required submission dates and the EPA and NHTSA regulations that apply for engines and engine manufacturers.</P>
                    <P>The agencies will review and grant any appropriate requests considering the timeliness of the submissions and the completeness of the requests.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,r75,r75,12,12">
                        <TTITLE>Table V-1—Summary of Required Information for HD Engine Compliance</TTITLE>
                        <BOXHD>
                            <CHED H="1">Submission</CHED>
                            <CHED H="1">Applies to</CHED>
                            <CHED H="1">Required submissions date</CHED>
                            <CHED H="1">EPA regulation reference</CHED>
                            <CHED H="1">
                                NHTSA
                                <LI>regulation</LI>
                                <LI>reference</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Small business exemptions</ENT>
                            <ENT>Engine manufacturers meeting the Small Business Administration (SBA) size criteria of a small business as described in 13 CFR 121.201</ENT>
                            <ENT>Before introducing any excluded vehicle into U.S. for commerce</ENT>
                            <ENT>§ 1036.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Incentives for early introduction</ENT>
                            <ENT>The provisions apply with respect to tractors and vocational vehicles produced in model years before 2014</ENT>
                            <ENT>EPA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1036.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Voluntary compliance for NHTSA standards</ENT>
                            <ENT>Engine manufacturers seeking early compliance in model years 2014 to 2016</ENT>
                            <ENT>NHSAT must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>NA</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Model year 2014 N
                                <E T="52">2</E>
                                O standards.
                            </ENT>
                            <ENT>
                                Manufacturers that choose to show compliance with the MY 2014 N
                                <E T="52">2</E>
                                O standards requesting to use an engineering analysis
                            </ENT>
                            <ENT>EPA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1036.150</ENT>
                            <ENT>NA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Exemption from EOY reports</ENT>
                            <ENT>Manufacturers with surplus credits at the end of the model year</ENT>
                            <ENT>90-days after the calendar year ends</ENT>
                            <ENT>§ 1036.730</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alternative engine standards</ENT>
                            <ENT>Engine manufacturers not able to comply with 1036.104 and wanting to use the alternative engine standard</ENT>
                            <ENT>EPA and NHTSA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1036.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alternate phase-in</ENT>
                            <ENT>Engine manufacturers want to comply with alternate phase in standards</ENT>
                            <ENT>EPA and NHTSA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1036.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">D. Class 7 and 8 Combination Tractors</HD>
                    <HD SOURCE="HD3">(1) Compliance Approach</HD>
                    <P>
                        In addition to requiring engine manufacturers to certify their engines, manufacturers of Class 7 and 8 combination tractors must also certify that their vehicles meet the CO
                        <E T="52">2</E>
                         emission and fuel consumption standards. This vehicle certification will ensure that efforts beyond just engine efficiency improvements are undertaken to reduce GHG emissions and fuel consumption. Some examples include aerodynamic improvements, rolling resistance reduction, idle reduction technologies, and vehicle speed limiting systems.
                    </P>
                    <P>
                        Unlike engine certification however, this certification will be based on a load-specific basis (g/ton-mile or gal/1,000 ton-mile as opposed to work-based, or g/bhp-hr). This would take into account the anticipated vehicle loading that would be experienced in use and the associated affects on fuel consumption and CO
                        <E T="52">2</E>
                         emissions. Vehicle manufacturers will also be required to warrant their products against emission control system defects, and demonstrate that a service network is in place to correct any such conditions. The vehicle manufacturer also bears responsibility in the event that an emission-related recall is necessary.
                    </P>
                    <HD SOURCE="HD3">(a) Certification Process</HD>
                    <P>In order to obtain a certificate of conformity for the tractor, the tractor manufacturer will complete a compliance demonstration, showing that their product meets emission standards as well as other regulatory requirements. For purposes of this demonstration, vehicles with similar emission characteristics throughout their useful life are grouped together in vehicle families, which are defined primarily by the regulatory subclass of the vehicle. Manufacturers may further classify vehicles together into sub-families within a given vehicle family for a given regulatory subcategory. Examples of characteristics that would define a vehicle sub-family for heavy-duty vehicles are wheel and tire package, aerodynamic profile, tire rolling resistance, and vehicle speed limiting system. Compliance with the emission standards (or FEL) will be determined at the sub-family level.</P>
                    <P>
                        Under this system, the worst-case vehicle configuration would be selected based on having the highest fuel consumption, and all other configurations within the family or sub-family are assumed to have emissions and fuel consumption at or below the parent model and therefore in compliance with CO
                        <E T="52">2</E>
                         emission and fuel consumption standards. Any vehicle within the family can be subject to selective enforcement auditing in addition to confirmatory or other administrator testing.
                    </P>
                    <P>
                        Vehicle families for Class 7 and 8 combination tractors will utilize the standardized 12-digit naming convention, as described along with the engine certification process in Section V.C.1.a, above. As with engines, each certifying vehicle manufacturer will have a unique three digit code assigned to them. Currently, there is no 5th digit (industry sector) code for this class of vehicles, for which we proposed to use the next available character, “2.” The agencies originally proposed that engine displacement be included in the vehicle 
                        <PRTPAGE P="57274"/>
                        family name, however the wide range of engines available across most regulatory subcategories makes this requirement irrelevant and unnecessary at the time of this rulemaking. Therefore, we are reserving the remaining characters for California ARB and/or manufacturer use, such that the result is a unique vehicle family name.
                    </P>
                    <P>
                        Class 7 and 8 tractors share several common traits, such as the trailer attachment provisions, number of wheels, and general construction. However, further inspection reveals key differences related to GHG emissions. Payloads hauled by Class 7 tractors are significantly less than Class 8 tractors. In addition, Class 8 vehicles may have provisions for hoteling (“sleeper cabs”), which results in an increase in size as well as the addition of comfort features like power and climate control for use while the truck is parked. Both segments may have various degrees of roof fairing to provide better aerodynamic matching to the trailer being pulled. This is a feature which can help reduce CO
                        <E T="52">2</E>
                         emissions significantly when properly matched to the trailer, but can also increase CO
                        <E T="52">2</E>
                         emissions if improperly matched. Based on these differences, it is reasonable to expect differences in CO
                        <E T="52">2</E>
                         emissions, and therefore these properties form the basis for the final combination tractor regulatory subcategories.
                    </P>
                    <P>The various combinations of payload, cab size, and roof profile result in nine final regulatory subcategories for Class 7 and 8 tractors. Class 7 tractors are divided into three regulatory subcategories: one for low, one for mid roof height profiles, and one for high roof profiles. The Class 7 tractors are subject to a 10 year, 185,000 regulatory useful life. Class 8 tractors are split into six regulatory subcategories reflecting two cab sizes (day and sleeper) and three roof height profiles (low, mid, and high). All Class 8 tractors are subject to a 10 year, 435,000 mile regulatory useful life.</P>
                    <HD SOURCE="HD3">(b) Demonstrating Compliance With the Final Standards</HD>
                    <HD SOURCE="HD3">
                        (i) CO
                        <E T="52">2</E>
                         and Fuel Consumption Standards
                    </HD>
                    <P>As discussed at proposal, although whole-vehicle certification may be ultimately desirable for these vehicles, it is essentially infeasible to require it now. See 75 FR at 74270-71. Most commenters agreed, as did the NAS Report. Accordingly, again consistent with the NAS Report, the agencies have developed a predictive model for demonstrating compliance with these initial standards for combination tractors. The agencies will continue to work toward improved methods for whole vehicle performance characterization, as suggested by some commenters.</P>
                    <HD SOURCE="HD3">Model</HD>
                    <P>
                        Vehicle modeling will be conducted using the agencies' simulation model, the GEM, which is described in detail in Chapter 4 of the RIA with responses to comments in the Summary and Analysis of Comments Document Section 7. Basically, this model functions by defining a vehicle configuration and then exercises the model over various drive cycles. Several initialization files are needed to define a vehicle, which include mechanical attributes, control algorithms, and driver inputs. The majority of these inputs will be predetermined by EPA and NHTSA for the purposes of vehicle certification. The net results from the GEM are weighted CO
                        <E T="52">2</E>
                         emissions and fuel consumption values over the drive cycles. The CO
                        <E T="52">2</E>
                         emission result will be used for demonstrating compliance with vehicle CO
                        <E T="52">2</E>
                         standards while the fuel consumption result will be used for demonstrating compliance with the fuel consumption standards.
                    </P>
                    <P>The vehicle manufacturer will be responsible for entering up to seven inputs relating to the GHG performance of a vehicle configuration although, depending on the regulatory category, fewer inputs may be required. These inputs include the regulatory category, coefficient of drag, steer tire rolling resistance, drive tire rolling resistance, vehicle speed limit, vehicle weight reduction, and idle reduction credit. For the GEM inputs relating to aerodynamics, the agencies have finalized lookup tables for frontal area and coefficient of drag based on typical performance levels across the industry. Manufacturers are responsible for assessing the aerodynamic performance of their vehicles through testing or a combination of testing and modeling. This test data is then used to select the most appropriate agency-defined bin for entry into the GEM.</P>
                    <P>Tire rolling resistance is simply the measured rolling resistance of the tire in kg per metric ton as described in ISO 28580:2009. This measured value is expected to be the result of three repeat measurements of three different tires of a given design, giving a total of nine data points. It is the average of these nine results that will be entered into the GEM. Tire rolling resistance may be determined by either the vehicle or tire manufacturer. In the latter case, a signed statement from the tire manufacturer confirming testing was conducted in accordance with this part is required.</P>
                    <P>As previously described, limiting vehicle speed can have a significant effect on fuel consumption and we believe that manufacturers should be recognized for including technology that facilitates these limits. Also as described, these vehicle speed limiters are not likely to be a simple device with a fixed top speed. “Soft top” limits based on driver behavior and limit expiration dates (or mileage) are two of the most common scenarios. To properly assess the GHG and fuel consumption benefits in light of these features, we are defining the proper methodology for entering the vehicle speed limit into the GEM. This is based on an equation including terms for VSL expiration (expiration factor) and VSL soft-top (soft-top factor and soft-top VSL). The result will be an effective vehicle speed limit reflecting the expected mileage and time that the limit will be used for. Additional details regarding this equation and its derivation can be found in RIA Chapter 2.</P>
                    <P>For vehicle weight reduction, the agencies are primarily addressing the reduction of weight and perhaps number of wheels. This reduction is assessed relative to a standard combination tractor configuration with dual-wide rear tires with conventional steel wheels. Manufacturers may elect to use single-wide tires/wheels and/or aluminum (or light-weight aluminum) wheels or other components to reduce the weight of their vehicles. The agencies have defined standard weight reduction levels associated with each weight reduction technology for entry into the GEM. These reductions are listed in pounds per component, so manufacturers will need to multiply this reduction by the number of affected components for their total weight reduction entry into the GEM.</P>
                    <P>Manufacturers of sleeper cabs electing to limit idle time to 300 seconds or less can claim a GHG benefit of 5 g/ton-mile and should be entered into the GEM as such. This benefit cannot be scaled to reflect shorter or longer allowed idle times, but can be scaled based upon expiration date.</P>
                    <P>
                        The agencies will utilize the appropriate engine map reflecting use of a certified engine in the truck (and will enter the same value even if an engine family is certified to the temporary percent reduction alternative standard, in order to evaluate vehicle performance independently of engine performance.) We believe this approach reduces the testing burden placed upon manufacturers, yet adequately assesses 
                        <PRTPAGE P="57275"/>
                        improvements associated with select technologies. The model will be publicly available and will be found on EPA's Web site.
                    </P>
                    <P>The agencies reserve the right to independently evaluate the inputs to the model by way of Administrator testing to validate those model inputs. The agencies also reserve the right to evaluate vehicle performance using the inputs to the model provided by the manufacturer to confirm the performance of the system using GEM. This could include generating emissions results using the GEM and the inputs as provided by the manufacturer based on the agency's own runs. This could also include conducting comparable testing to verify the inputs provided by the manufacturer. In the event of such testing or evaluation, the Administrator's results become the official certification results, the exception being that the manufacturer may continue to use their data as initially submitted, provided it represents a worst-case condition over the Administrator's results.</P>
                    <P>To better facilitate the entry of only the appropriate parameters, the agencies will provide a graphical user interface in the model for entering data specific to each vehicle. In addition, EPA will provide a template that facilitates batch processing of multiple vehicle configurations within a given family. It is expected that this template will be submitted to EPA as part of the certification process for each certified vehicle family or subfamily.</P>
                    <P>For certification, the model will exercise the vehicle over three test cycles; one transient and two steady-state. For the transient test, we are using the heavy heavy-duty diesel truck (HHDDT) transient test cycle, which was developed by the California Air Resources Board and West Virginia University to evaluate heavy-duty vehicles. The transient mode simulates urban, start-stop driving, featuring 1.8 stops per mile over the 2.9 mile duration. The two steady state test points are reflective of the tendency for some of these vehicles to operate for extended periods at highway speeds. Based on data from the EPA's MOVES database, and common highway speed limits, we are finalizing these two points to be 55 and 65 mph.</P>
                    <P>The model will predict the total emissions results from each configuration using the unique properties entered for each vehicle. These results are then normalized to the payload and distance covered, so as to yield a gram/ton-mile result, as well as a fuel consumption (gal/1,000 ton-mile) result for each test cycle. As with engine and vehicle testing, certification will be based on the worst-case configuration within a vehicle family.</P>
                    <P>The results from all three tests are then combined using weighting factors, which reflect typical usage patterns. The typical usage characteristics of Class 7 and 8 tractors with day cabs differ significantly from Class 8 tractors with sleeper cabs. The trucks with day cabs tend to operate in more urban areas, have a limited travel range, and tend to return to a common depot at the end of each shift. Class 8 sleeper cabs, however, are typically used for long distance trips which consist of mostly highway driving in an effort to cover the highest mileage in the shortest time. For these reasons, we proposed that the cycles are weighted differently for these two groups of vehicles. For Class 7 and 8 trucks with day cabs, we propose weights of 64%, 17%, and 19% (65 mph, 55 mph, and transient, resp.). For Class 8 with sleeper cabs, the high speed cruise tendency results in final weights of 86%, 9%, and 5% (65 mph, 55 mph, and transient, respectively). These final, weighted emission results are compared to the emission standard to assess compliance. The agencies received comments regarding the duty cycles and the weighting factors used for assessing emissions compliance. In making final determination for the cycle weighting factors, the agencies considered those comments, as well as the agencies' own data in determining the final weighting factors and duty cycles to be used for determining emissions compliance. Demonstration of compliance is also available through the use of credits generated as part of the Averaging, Banking, and Trading Program (ABT) as described earlier in this Preamble. Additionally, compliance may be demonstrated through the use of a Vehicle Speed Limiter (VSL) and the application of the VSL is accounted for as another input to the GEM for assessing GHG and fuel consumption emissions performance.</P>
                    <HD SOURCE="HD3">Durability Testing</HD>
                    <P>As with engine certification, a manufacturer must provide evidence of compliance through the regulatory useful life of the vehicle. Factors influencing vehicle-level GHG performance over the life of the vehicle fall into two basic categories: vehicle attributes and maintenance items. Each category merits different treatment from the perspective of assessing useful life compliance, as each has varying degrees of manufacturer versus owner/operator responsibility.</P>
                    <P>
                        The category of vehicle attributes generally refers to aerodynamic features, such as fairings, side-skirts, air dams, air foils, 
                        <E T="03">etc.,</E>
                         which are installed by the manufacturer to reduce aerodynamic drag on the vehicle. These features have a significant impact on GHG emissions and their emission reduction properties are assessed early in the useful life (at the time of certification). These features are expected to last the full life of the vehicle without becoming detached, cracked/broken, misaligned, or otherwise not in a state which provides the original GHG emissions reduction. In the absence of the aforementioned failure modes, the performance of these features is not expected to degrade over time and the benefit to reducing GHG emissions is expected to last for the life of the vehicle with no special maintenance requirements. To assess useful life compliance, we are following a design-based approach which will ensure that the manufacturer has robustly designed these features so they can reasonably be expected to last the useful life of the vehicle.
                    </P>
                    <P>
                        The category of maintenance items refers to items that are replaced, renewed, cleaned, inspected, or otherwise addressed in the preventative maintenance schedule specified by the vehicle manufacturer. Replacement items that have a direct influence on GHG emissions are primarily tires and lubricants. Synthetic engine oil may be used by vehicle manufacturers to reduce the GHG emissions of their vehicles. Manufacturers may specify that these fluids be changed throughout the useful life of the vehicle. If this is the case, the manufacturer should have a reasonable basis that the owner/operator will use fluids having the same properties. This may be accomplished by requiring (in service documentation, labeling, 
                        <E T="03">etc</E>
                        .) that only these fluids can be used as replacements.
                    </P>
                    <P>
                        If the vehicle remains in its original certified condition throughout its useful life, it is not believed that GHG emissions would increase as a result of service accumulation. This is based on the assumption that as components such as tires wear, the rolling resistance due to friction is likely to stay the same or decrease. With all other components remaining equal (tires, aerodynamics, 
                        <E T="03">etc</E>
                        ), the overall drag force would stay the same or decrease, thus not significantly changing GHG emissions at the end of useful life. It is important to remember however, that this vehicle assessment does not take into account any engine-related wear affects, which may in fact increase GHG emissions over time. The agencies received comments from engine and tractor manufacturers requesting an assigned deterioration factor of zero for GHG 
                        <PRTPAGE P="57276"/>
                        emissions. As discussed previously, the agencies will allow the use of an assigned deterioration factor of zero where appropriate in Phase 1, however this does not negate the responsibility of the manufacturer to ensure compliance with the emissions standards throughout the useful life.
                    </P>
                    <P>
                        For the reasons explained above, we believe that for the first phase of this program, it is most important to ensure that the vehicle remain in its certified configuration throughout the useful life. This can most effectively be accomplished through engineering analysis and specific maintenance instructions provided by the vehicle manufacturer. The vehicle manufacturer would be primarily responsible for providing engineering analysis demonstrating that vehicle attributes will last for the full useful life of the vehicle. We anticipate this demonstration will show that components are constructed of sufficiently robust materials and design practices so as not to become dysfunctional under normal operating conditions. For instance, we expect aerodynamic fairings to be constructed of materials similar to that of the main body of the vehicle (fiberglass, steel, aluminum, 
                        <E T="03">etc</E>
                        ) and have sufficient support and attachment mechanisms so as not to become detached or broken under normal, on-highway driving.
                    </P>
                    <HD SOURCE="HD3">(ii) EPA's Air Conditioning Leakage Standards</HD>
                    <P>Heavy-duty vehicle air conditioning systems contribute to GHG emissions in two ways. First, operation of the air conditioning unit places an accessory load on the engine, which increases fuel consumption. Second, most modern refrigerants are HFC-based, which have significant global warming potential (GWP=1430). For heavy-duty vehicles, the load added by the air conditioning system is comparatively small compared to other power requirements of the vehicle. Therefore, we are not targeting any GHG reduction due to decreased air conditioning usage or higher efficiency A/C units for this final action. However, refrigerant leakage, even in very small quantities, can have significant adverse effects on GHG emissions.</P>
                    <P>Refrigerant leakage is a concern for heavy-duty vehicles, similar to light-duty vehicles. To address this, EPA is finalizing a design-based standard for reducing refrigerant leakage from heavy-duty pickups and vans and combination tractors. This standard is based off using the best practices for material selection and interface sealing, as outlined in SAE publication J2727. Based on design criteria in this publication, a leakage “score” can be assessed and an estimated annual leak rate can be made for the A/C system based on the refrigerant capacity. (There is no requirement for vocational vehicle AC leakage for reasons explained at 75 FR 74211.)</P>
                    <P>At the time of certification, manufacturers will be required to outline the design of their system, including the specification of materials and construction methods. They will also need to supply the leakage score developed using SAE J2727 and the refrigerant volume of their system to determine the leakage rate per year. If the certifying manufacturer does not complete installation of the air conditioning unit, detailed instructions must be provided to the final installer who ensures that the A/C system is assembled to meet the low-leakage standards. These instructions will also need to be provided at the time of certification, and manufacturers must retain all records relating to auditing of the final assembler.</P>
                    <HD SOURCE="HD3">(c) In-Use Standards</HD>
                    <P>
                        As previously addressed, the drive-cycle dependence of CO
                        <E T="52">2</E>
                         emissions makes NTE-based in-use testing impractical. In addition, we believe the reporting of CO
                        <E T="52">2</E>
                         data from the criteria pollutant in-use testing program will be helpful in future rulemaking efforts. For these reasons, we are not finalizing an NTE-based in-use testing program for Class 7 and 8 combination tractors for this program.
                    </P>
                    <P>In the absence of NTE-based in-use testing, provisions are necessary for verifying that production vehicles are in the certified configuration, and remain so throughout the useful life. Perhaps the easiest method for doing this is to verify the presence of installed emission-related components. This would basically consist of a vehicle audit against what is claimed in the certification application. This includes verifying the presence of aerodynamic components, such as fairings, side-skirts, and gap-reducers. In addition, the presence of idle-reduction and speed limiting devices would be verified. The presence of LRR tires could be verified at the point of initial sale; however verification at other points throughout the useful life would be non-enforceable for the reasons mentioned previously.</P>
                    <P>
                        The category of wear items primarily relates to tires. It is expected that vehicle manufacturers will equip their trucks with LRR tires, as they may provide a reduction in GHG emissions. The tire replacement intervals for this class of vehicle is normally in the range of 50,000 to 100,000 miles, which means the owner/operator will be replacing the tires at several points within the useful life of the vehicle. We believe that as LRR tires become more common on new equipment, the aftermarket prices of these tires will also decrease. The primary barrier to the introduction of more fuel efficient tire designs into the truck market is the upfront costs of tire development and upfront capital costs for new production machinery (
                        <E T="03">e.g.,</E>
                         new tire molds). Once manufacturers have sunk these costs into new tire designs and production facilities in order to meet our vehicle standards, there is little barrier for bringing these better products into the replacement tire market as well. Our regulations will effectively force OEMs to make these investments in tire designs and, having done so, should lead to better tires not only for new vehicles but in the replacement tire market as well. Along with decreasing tire prices, the fuel savings realized through use of LRR tires will ideally provide enough incentive for owner/operators to continue purchasing these tires. Thus, the inventory modeling in this final action reflects the continued use of LRR tires through the life of the vehicle.
                    </P>
                    <HD SOURCE="HD3">(2) Enforcement Provisions</HD>
                    <P>
                        As identified above, a significant amount of vehicle-level GHG reduction is anticipated to come from the use of components specifically designed to reduce GHG emissions. Examples of such components include LRR tires, aerodynamic fairings, idle reduction systems, and vehicle speed limiters. At the time of certification, vehicle manufacturers will specify which components will be on their vehicle when introduced into commerce. Based on this list of installed components, GHG emissions performance of the vehicle will be assessed using the GEM, and compliance with the family (or subfamily) emissions limit will need to be shown. Given the ability of manufacturers to demonstrate compliance through the use of flexibility provisions, as previously described, that will be taken into account when assessing the performance for purposes of enforcement. Additionally, should enforcement action be necessary against systems certified using the flexibility provisions, credit balances generated through the use of the provisions may be reduced as a consequence of enforcement activity. As described in the in-use testing section, it is important to have the ability to determine if the vehicle is in the certified configuration at the time of sale.
                        <PRTPAGE P="57277"/>
                    </P>
                    <P>Perhaps the most practical and basic method of verifying that a vehicle is in its certified configuration is through a vehicle emissions control information label, similar to that used for engines and light-duty vehicles. We proposed that this label list identifying features of the vehicle, including model year, vehicle model, certified engine family, vehicle manufacturer, test group, and GHG emissions category. In addition, this label would list emission-related components that an inspector could reference in the event of a field inspection. Possible examples may include LRR (for LRR tires), ARF (aerodynamic roof fairing), and ARM (aerodynamic rearview mirrors). With this information, inspectors could verify the presence and condition of attributes listed as part of the certified configuration.</P>
                    <P>Several comments were received voicing concern that the large number of vehicle permutations within a given vehicle family (and perhaps vehicle subfamily) would lead to a large number of unique labels, at significant cost and labor burden to the manufacturer. In addition, including generic emission control system (EC) identifiers for vehicles would add a significant burden while providing little usable information for inspectors. A common example given in the comments was that simply identifying “ARF” for a roof fairing would not be sufficiently detailed for an inspector to know whether the correct roof fairing is present. As a result of these concerns, commenters suggested that vehicle labels only include a minimal amount of information such as a compliance statement, vehicle family name, and date of manufacture.</P>
                    <P>The agencies generally agree with the concerns raised by the commenters and do not wish to add burdensome and arbitrary labeling requirements. Concurrently, we also remain committed to giving agency inspectors adequate tools to ensure a vehicle is in its certification at least at the time of sale. Therefore, we are finalizing a vehicle label requirement that includes:</P>
                    <FP SOURCE="FP-1">—Compliance statement.</FP>
                    <FP SOURCE="FP-1">—Vehicle manufacturer.</FP>
                    <FP SOURCE="FP-1">—Vehicle family (and subfamily).</FP>
                    <FP SOURCE="FP-1">—Date of manufacture.</FP>
                    <FP SOURCE="FP-1">—Regulatory subcategory.</FP>
                    <FP SOURCE="FP-1">—Emission control system identifiers.</FP>
                    <P>To address the concerns from vehicle manufacturers identified above, particularly related to emission control (EC) identifiers, we believe a combination of selectable information on the label as well as a set of EPA-defined EC identifiers will provide a useful, but not overly burdensome labeling scheme. Since the intent of these identifiers is to provide inspectors with a means for simply verifying the presence of a component, we do not believe overly detailed identifiers are necessary, particularly for tires and aerodynamic components. For instance, current engine regulations require that three-way catalysts be identified on engine labels as “TWC.” However, unique details such as catalyst size, loading, location, and even the number of catalysts are not on the label. In similar fashion, we believe that identifying tires and aerodynamic components in a general sense will prove similarly effective in determining if a vehicle has been built as intended or if it has been modified prior to being offered for sale.</P>
                    <P>EPA is requiring that components for which vehicle certification is dependent upon be identified on the label. This includes limited aerodynamic components (roof fairings, side skirts, &amp; gap reducers), vehicle speed limiters, LRR tires, and idle reduction components. If vehicle certification also depends on the use of innovative or advanced technologies, this too must be included on the label. The following identifiers must be used for the emission control label:</P>
                    <HD SOURCE="HD3">Vehicle Speed Limiters</HD>
                    <FP SOURCE="FP-1">—VSL—Vehicle speed limiter.</FP>
                    <FP SOURCE="FP-1">—VSLS—“Soft-top” vehicle speed limiter.</FP>
                    <FP SOURCE="FP-1">—VSLE—Expiring vehicle speed limiter.</FP>
                    <FP SOURCE="FP-1">—VSLD—Vehicle speed limiter with both “soft-top” and expiration.</FP>
                    <HD SOURCE="HD3">Idle Reduction Technology</HD>
                    <FP SOURCE="FP-1">—IRT5—Engine shutoff after 5 minutes or less of idling.</FP>
                    <FP SOURCE="FP-1">—IRTE—Expiring engine shutoff.</FP>
                    <HD SOURCE="HD3">Tires</HD>
                    <FP SOURCE="FP-1">—LRRD—Low rolling resistance tires—Drive (CRR of 8.2 kg/metric ton or less).</FP>
                    <FP SOURCE="FP-1">—LRRS—Low rolling resistance tires—Steer (CRR of 7.8 kg/metric ton or less).</FP>
                    <FP SOURCE="FP-1">—LRRA—Low rolling resistance tires—All (meeting appropriate criteria for steer &amp; drive).</FP>
                    <HD SOURCE="HD3">Aerodynamic Components</HD>
                    <FP SOURCE="FP-1">—ATS—Aerodynamic side skirt and/or fuel tank fairing.</FP>
                    <FP SOURCE="FP-1">—ARF—Aerodynamic roof fairing.</FP>
                    <FP SOURCE="FP-1">—ARFR—Adjustable height aerodynamic roof fairing.</FP>
                    <FP SOURCE="FP-1">—TGR—Gap reducing fairing (tractor to trailer gap).</FP>
                    <HD SOURCE="HD3">Other Components</HD>
                    <FP SOURCE="FP-1">—ADV—Vehicle includes advanced technology components.</FP>
                    <FP SOURCE="FP-1">—ADVH—Vehicle includes hybrid powertrain.</FP>
                    <FP SOURCE="FP-1">—INV—Vehicle includes innovative technology components.</FP>
                    <P>On the vehicle label, several (if not all), available EC identifiers available in a given subfamily can be listed and the appropriate selections can be made at the time of assembly based on each unique vehicle configuration. This practice is common on engine ECI labels (normally for month/year of manufacture) and selections are made using a punch, stamp, check mark or other permanent method. This provides inspectors with the information they need while still affording flexibility to manufacturers with several unique vehicle configurations.</P>
                    <P>At the time of certification, manufacturers will be required to submit an example of their vehicle emission control label such that EPA can verify that all critical elements mentioned above are present. In addition to the label, manufacturers will also need to describe where the unique vehicle identification number and date of production can be found on the vehicle (if the date is not present on the label).</P>
                    <P>The agencies received several comments requesting the inclusion of consumer-focused labels for heavy-duty vehicles. These requests mainly involved labels similar to those found on passenger vehicles, allowing consumers to easily determine and compare fuel efficiency between vehicles. While we agree that such labels proven to be valuable to consumers in the light-duty market when shopping and comparing vehicles, the vast array of in-use drive cycles for heavy-duty vehicles and significant impact on GHG emissions reduce the intrinsic value of such fuel efficiency data to consumers. Additionally, many heavy-duty vehicles are unique and purpose-built which prevents direct comparison to other vehicles. The agencies may revisit this topic for future rulemaking activities, however there is no consumer label requirement in this final action.</P>
                    <HD SOURCE="HD3">(3) Other Certification Provisions</HD>
                    <HD SOURCE="HD3">(a) Warranty</HD>
                    <P>
                        Section 207 of the CAA requires manufacturers to warrant their products to be free from defects that would otherwise cause non-compliance with emission standards. For purposes of this regulation, vehicle manufacturers must warrant all components which form the 
                        <PRTPAGE P="57278"/>
                        basis of the certification to the GHG emission standards. The emission-related warranty covers vehicle speed limiters, idle shutdown systems, fairings, hybrid system components, and other components to the extent such components are included in the certified emission controls. The emission-related warranty also covers tires and all components whose failure would increase a vehicle's evaporative emissions (for vehicles subject to evaporative emission standards, which could include components which received innovative or advanced technology credits). In addition, the manufacturer must ensure these components and systems remain functional for the warranty period defined in 40 CFR part 86 for the engine used in the vehicle, generally defined as half of the regulatory useful life. As with heavy-duty engines, manufacturers may offer a more generous warranty, however the emissions related warranty may not be shorter than any other warranty offered without charge for the vehicle. If aftermarket components are installed (unrelated to emissions performance) which offer a longer warranty, this will not impact emission related warranty obligations of the vehicle manufacturer. NHTSA, for this phase of the program, is not finalizing any warranty requirements relating to its fuel consumption rule.
                    </P>
                    <P>Several comments were received from vehicle manufacturers voicing concern that tire warranties should be the responsibility of the tire manufacturer, not the vehicle manufacturer. It has been, and remains, EPA policy to hold the certifying entities responsible for warranty obligations. In this case, tire manufacturers are not certificate holders and therefore we do not believe it is appropriate for them to independently warrant their products. The agencies see this as no different than requiring turbocharger or fuel injector manufacturers to provide warranties related to heavy-duty engines. However, we do believe that vehicle manufacturers can and should hold tire manufacturers responsible for warranty of their products as part of their sourcing and purchasing agreements. As proposed, tires are only required to be warranted for the first life of the tires (vehicle manufacturers are not expected to cover replacement tires). For heavy-duty pickups and vans and combination tractors, the vehicle manufacturer is also required to warrant the A/C system against design or manufacturing defects causing refrigerant leakage in excess of the standard. The warranty period for the A/C system is identical to the vehicle warranty period as described above.</P>
                    <P>At the time of certification, manufacturers must supply a copy of the warranty statement that will be supplied to the end customer. This document should outline what is covered under the GHG emissions related warranty as well as the length of coverage. Customers must also have clear access to the terms of the warranty, the repair network, and the process for obtaining warranty service.</P>
                    <HD SOURCE="HD3">(b) Maintenance</HD>
                    <P>Vehicle manufacturers are required to outline maintenance schedules that ensure their product will remain in compliance with emission standards throughout the useful life of the vehicle. For heavy-duty vehicles, such maintenance may include fluid/lubricant service, fairing adjustments, or service to the GHG emission control system. This schedule is required to be submitted as part of the application for certification. Maintenance that is deemed to be critical to ensuring compliance with emission standards is classified as “critical emission-related maintenance.” Generally, manufacturers are discouraged from specifying that critical emission-related maintenance is needed within the regulatory useful life of the engine. However, if such maintenance is unavoidable, manufacturers must have a reasonable basis for ensuring it is performed at the correct time. This may be demonstrated through several methods including survey data indicating that at least 80 percent of engines receive the required maintenance in-use or manufacturers may provide the maintenance at no charge to the user.</P>
                    <P>Manufacturers will be required to submit the recommended emission-related maintenance schedule (and other service related documentation) at the time of certification. This documentation should provide sufficient detail to allow the owner/operator of the vehicle to maintain the emission control system in a way that will ensure functionality as intended. This would include items such as periodic inspection of aerodynamic components and maintenance unique to advanced or innovative technologies. In addition, these instructions should provide the owner/operator with adequate information to replace consumable components (such as tires) with comparable replacements.</P>
                    <P>Since low rolling resistance tires are key emission control components under this program, and will likely require replacement at multiple points within the life of a vehicle, it is logical to clarify how this fits into the emission-related maintenance requirements. While the agencies encourage the exclusive use of LRR tires throughout the life of heavy-duty vehicles, we recognize that it is inappropriate at this time to hold vehicle manufacturers responsible for ensuring that this occurs. Additionally, we believe that owner/operators have a legitimate financial motivation for ensuring their vehicles are as fuel efficient as possible, which includes purchasing LRR replacement tires. However owner/operators may not have a sound knowledge of which replacement tires to purchase to retain the as-certified fuel efficiency of their vehicle. To address this concern and in response to comments from vehicle manufacturers, we are requiring that vehicle manufacturers supply adequate information in the owner's manual to allow the owner/operator of the vehicle to purchase tires meeting or exceeding the rolling resistance performance of the original equipment tires. We expect that these instructions will be submitted to EPA as part of the application for certification.</P>
                    <HD SOURCE="HD3">(c) Certification Fees</HD>
                    <P>Similar to engine certification, the agency will assess certification fees for heavy-duty vehicles. The proceeds from these fees are used to fund the compliance and certification activities related to GHG regulation for this regulatory category. In addition to the certification process, other activities funded by certification fees include EPA-administered in-use testing, selective enforcement audits, and confirmatory testing. At this point, the exact costs associated with the heavy-duty vehicle GHG compliance are not well known. EPA will assess its compliance program cost associated with this program and assess the appropriate level of fees. We anticipate that fees will be applied based on vehicle families, following the light-duty vehicle approach.</P>
                    <HD SOURCE="HD3">(d) Requirements for Conducting Aerodynamic Assessment Using the Modified Coastdown Reference Method and Alternative Aerodynamic Methods</HD>
                    <P>
                        The requirements for conducting aerodynamic assessment using the modified coastdown reference method and alternative aerodynamic methods includes two key components: adherence to a minimum set of standardized criteria for each allowed method and submittal of aerodynamic values and supporting information on an annual basis for the purposes of certifying vehicles to a particular 
                        <PRTPAGE P="57279"/>
                        aerodynamic bin as discussed in Section II.
                    </P>
                    <P>First, we are finalizing requirements for conducting the modified coastdown reference method and each of the alternative aerodynamic assessment methods. We will cite approved and published standards and practices, where feasible, but will define criteria where none exists or where more current research indicates otherwise. A description of the requirements for each method is discussed later in this section. The manufacturer will be required to provide performance data on its vehicles and attest to the accuracy of the information provided.</P>
                    <P>Second, to ensure continued compliance, manufacturers will be required to provide a minimum set of information on an annual basis at certification time 1) to support continued use of an aerodynamic assessment method and 2) to assign an aerodynamic value based on the applicable aerodynamic bins. The information supplied to the agencies should be based on an approved aerodynamic assessment method and adhere to the requirements for conducting aerodynamic assessment mentioned above.</P>
                    <P>
                        The annual submission may be based on coastdown testing conducted consistent with the modified protocol detailed in this rulemaking or with an approved alternative method. The coastdown testing must be conducted using the Modified Protocol which uses SAE J1263 as a basis with some elements of SAE J2263 (
                        <E T="03">e.g.,</E>
                         post-processing and analysis techniques), in addition to the modifications developed in response to industry comments which raised concerns regarding test to test variability.
                    </P>
                    <P>In addition to 8 valid coastdown runs in each direction, manufacturers using in-house test methods should provide an adjustment factor for relating their drag coefficient based on their in-house method to the reference method, modified coastdown. The basis for the adjustment factor is:</P>
                    <FP SOURCE="FP-2">
                        Adjustment Factor = Cd 
                        <E T="52">coastdown</E>
                         /Cd 
                        <E T="52">in-house</E>
                    </FP>
                    <P>For the test article used for certification that differs from the test article used for reference method testing, determine Cd to use for aerodynamics bin determination as described below.</P>
                    <FP SOURCE="FP-2">
                        Cd 
                        <E T="52">certification BIN</E>
                         = Adjustment Factor × Cd
                        <E T="52">in-house measured</E>
                    </FP>
                    <P>The specific requirements for the test article used in reference method testing using the coastdown procedures should meet the requirements listed in Table V-2 through Table V-5, below.</P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,r125">
                        <TTITLE>Table V-2—Reference Method Test Vehicle Specifications</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">53′ air ride dry vans</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Length</ENT>
                            <ENT>53 feet (636 inches) +/− 1 inch.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Width</ENT>
                            <ENT>102 inches +/− 0.5 inches.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Height</ENT>
                            <ENT>102 inches (162 inches or 13 feet, 6 inches (+ 0.0 inch/ −1 inch) from the ground).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Capacity</ENT>
                            <ENT>3800 cubic feet.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Assumed trailer load/capacity</ENT>
                            <ENT>45,000 lbs.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Suspension</ENT>
                            <ENT>Any (see “trailer ride height” below).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Corners</ENT>
                            <ENT>Rounded with a radius of 5.5 inches +/− 0.5 inches.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bogie/Rear Axle Position</ENT>
                            <ENT>Tandem axle (std), 146 inches +/− 3.0 inches from rear axle centerline to rear of trailer. Set to California position.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Skin</ENT>
                            <ENT>Generally smooth with flush rivets.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Scuff band</ENT>
                            <ENT>
                                Generally smooth, flush with sides (protruding ≤ 
                                <FR>1/8</FR>
                                 inch).
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Wheels</ENT>
                            <ENT>22.5 inches. Duals. Std mudflaps.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Doors</ENT>
                            <ENT>Swing doors.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Undercarriage/Landing Gear</ENT>
                            <ENT>Std landing gear, no storage boxes, no tire storage, 105 inches +/− 4.0 inches from centerline of king pin to centerline of landing gear.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Underride Guard</ENT>
                            <ENT>Equipped in accordance with 49 CFR 393.86.</ENT>
                        </ROW>
                        <ROW EXPSTB="01">
                            <ENT I="22">Tires for the Standard Trailer and the Tractor:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">a. Size: 295/75R22.5 or 275/80R22.5.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">b. CRR &lt;5.1 kg/metric ton (In addition, the CRR for trailer tires in GEM should be updated to 5.0 kg/metric ton.).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">c. Broken in per section 8.1 of SAE J1263.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">d. Pressure per section 8.5 of SAE J1263.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">e. No uneven wear.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">f. No re-treads.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="03" O="xl">g. Should these tires or appropriate Smart Way tires not be available, the Administrator testing may include tires used by the manufacturer for certification.</ENT>
                        </ROW>
                        <ROW EXPSTB="01">
                            <ENT I="22">Test Conditions:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">1. Tractor-trailer gap: 45 inches +/− 2.0 inches.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">2. King pin setting: 36 inches +/− 0.5 inches from front of trailer to king pin center line.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">3. Trailer ride height: 115 inches +/− 1.0 inches from top of trailer to fifth wheel plate, measured at the front of the trailer, and set within trailer height boundary from ground as described above.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">4. Mudflaps: Positioned immediately following wheels of last axle.</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,r100">
                        <TTITLE>Table V-3—Reference Method Coastdown Test Track Condition Specifications</TTITLE>
                        <BOXHD>
                            <CHED H="1">Parameter</CHED>
                            <CHED H="1">Range</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Coastdown speed range</ENT>
                            <ENT>70 mph to 15 mph.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Average wind speed at the test site (for each run in each direction)</ENT>
                            <ENT>&lt;10 mph.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Maximum wind speed (for each run in each direction)</ENT>
                            <ENT>&lt;12.3 mph.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Average cross wind speed (for each run in each direction at the site)</ENT>
                            <ENT>&lt;5 mph.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">All valid coastdown runs in one direction </ENT>
                            <ENT>Within 2 standard deviations of the other valid coastdown runs in that same direction.</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57280"/>
                            <ENT I="01">Grade of the test track</ENT>
                            <ENT>&lt;0.02% or account for the impact of gravity as described in SAE J2263 Equation 6.</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,r125">
                        <TTITLE>Table V-4—Standard Tanker Trailer for Special Testing</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Tanker</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Length</ENT>
                            <ENT>42 feet ± 1 foot, overall.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>40 feet ± 1 foot, tank.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Width</ENT>
                            <ENT>96 inches ± 2.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Height</ENT>
                            <ENT>140 inches (overall, from ground).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Capacity</ENT>
                            <ENT>7,000 gallons.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Suspension</ENT>
                            <ENT>Any (see “trailer ride height” below).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tank</ENT>
                            <ENT>Generally cylindrical with rounded ends.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bogie</ENT>
                            <ENT>Tandem axle (std). Set to furthest rear position.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Skin</ENT>
                            <ENT>Generally smooth.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Structures</ENT>
                            <ENT>(1) Centered, manhole (20 inch opening), (1) ladder generally centered on side, (1) walkway (extends lengthwise).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Wheels</ENT>
                            <ENT>24.5 inches. Duals.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tanker Operation</ENT>
                            <ENT>Empty.</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,r125">
                        <TTITLE>Table V-5—Standard Flatbed Reference Trailer for Special Testing</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Flatbed</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Length</ENT>
                            <ENT>53 feet.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Width</ENT>
                            <ENT>102 inches.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Flatbed Deck Heights</ENT>
                            <ENT>
                                Front: 60 inches ± 
                                <FR>1/2</FR>
                                 inch.
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                Rear: 55 inches ± 
                                <FR>1/2</FR>
                                 inch.
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Wheels/Tires</ENT>
                            <ENT>22.5 inch diameter tire with steel or aluminum wheels.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bogie</ENT>
                            <ENT>Tandem axles, may be in “spread” configuration up to 10 feet ± 2 inches.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Air suspension.</ENT>
                        </ROW>
                        <TNOTE>Load Profile: 25 inches from the centerline to either side of the load;</TNOTE>
                        <TNOTE>Mounted 4.5 inches above the deck.</TNOTE>
                        <TNOTE>Load height 31.5 inches above the load support.</TNOTE>
                    </GPOTABLE>
                    <P>Regardless of the method, all testing using high-roof sleepers should be performed with a tractor-trailer combination to mimic real world usage. Accordingly, it is important to match the type of tractor with the correct trailer. Although, as discussed elsewhere in this rulemaking, the correct tractor-trailer combination is not always present or tractor-only operation may occur, the majority of operation in the real world involves correctly matched tractor-trailer combinations and we will attempt to reflect that here. Therefore, when performing an aerodynamic assessment for a Class 7 and 8 tractor with a high roof, a standard box trailer must be used.</P>
                    <P>The definitions of the standard trailer are further detailed in § 1037.501(g). This ensures consistency and continuity in the aerodynamic assessments, and maintains the overlap with real world operation. As mid-roof and low-roof coastdown testing will be conducted without the trailer if the aerodynamic bin is not extrapolated from a high-roof version, then testing using other methods should also be conducted based on the tractor alone.</P>
                    <HD SOURCE="HD3">(e) Standardized Criteria for Aerodynamic Assessment Methods</HD>
                    <HD SOURCE="HD3">(i) Coastdown Procedure Requirements</HD>
                    <P>For coastdown testing, the test runs should be conducted in a manner consistent with SAE J1263 with additional modifications as described in the 40 CFR part 1066, subpart C, and in Chapter 3 of the RIA using the mixed model analysis method. Since the coastdown procedure is the primary aerodynamic assessment method, the manufacturer would be required to conduct the coastdown procedure according to the requirements in this final action and supply the following information to the agency for approval:</P>
                    <P>• Facility information: name and location, description and/or background/history, equipment and capability, track and facility elevation, track grade and track size/length;</P>
                    <P>• Test conditions for each test result including date and time, wind speed and direction, ambient temperature and humidity, vehicle speed, driving distance, manufacturer name, test vehicle/model type, model year, applicable model engine family, tire type and rolling resistance, test weight and driver name(s) and/or ID(s);</P>
                    <P>
                        • Average C
                        <E T="52">d</E>
                         result as calculated in 40 CFR 1037.520(b) from valid tests including, at a minimum, ten valid test results, with no maximum number, standard deviation, calculated error and error bands, and total number of tests, including number of voided or invalid tests.
                    </P>
                    <HD SOURCE="HD3">(ii) Wind Tunnel Testing Requirements</HD>
                    <P>Wind tunnel testing would conform to the following procedures and modifications, where applicable, including:</P>
                    <P>
                        • SAE J1252, “SAE WIND TUNNEL TEST PROCEDURE FOR TRUCKS AND BUSES” (July 1981) shall be followed with the following exceptions: section 5.2 is modified to specify a minimum Reynold's number (Re
                        <E T="52">min</E>
                        ) of 1.0×10
                        <SU>6</SU>
                         and your model frontal area at zero yaw angle may exceed the recommended 5 percent of the active test section area, provided it does not exceed 25 percent; 
                        <PRTPAGE P="57281"/>
                        section 6.0 is modified to add the requirement that, for reduced-scale wind tunnel testing, a one-eighth (
                        <FR>1/8</FR>
                        th) or larger scale model of a heavy-duty tractor and trailer must be used; for reduced-scale wind tunnel testing, section 6.1 is modified to add the requirement that the model be of sufficient design to simulate airflow through the radiator inlet grill and across an engine geometry representative of those commonly in your test vehicle.;
                    </P>
                    <P>• J1594, “VEHICLE AERODYNAMICS TERMINOLOGY” (December 1994); and</P>
                    <P>• J2071, “AERODYNAMIC TESTING OF ROAD VEHICLES—OPEN THROAT WIND TUNNEL ADJUSTMENT” (June 1994).</P>
                    <P>
                        In addition, the wind tunnel used for aerodynamic assessment would be a recognized facility by the Subsonic Aerodynamic Testing Association. If your wind tunnel is not capable of testing in accordance with these EPA modified SAE procedures, you may request EPA approval to use this wind tunnel and must demonstrate that your alternate test procedures produce data sufficiently accurate for compliance. This must be approved by EPA prior to method validation and correlation factor development. We are finalizing the provisions that manufacturers that perform wind tunnel testing do so based on the requirements detailed in this action. The wind tunnel tests should be conducted at a zero yaw angle and, if so equipped, utilizing the moving/rolling floor (
                        <E T="03">i.e.,</E>
                         the moving/rolling floor should be on during the test as opposed to static) for comparison to the coastdown procedure, which corrects to a zero yaw angle for the oncoming wind. However, manufacturers may be required to test at yaw angles other than zero (
                        <E T="03">e.g.,</E>
                         positive and negative six) if they voluntarily seek to improve their GHG emissions score for a given model using additional yaw sweep.
                    </P>
                    <P>The manufacturer is required to supply the following:</P>
                    <P>
                        • 
                        <E T="03">Facility information:</E>
                         Name and location, description and background/history, layout, wind tunnel type, diagram of wind tunnel layout, structural and material construction;
                    </P>
                    <P>
                        • 
                        <E T="03">Wind tunnel design details:</E>
                         Corner turning vane type and material, air settling, mesh screen specification, air straightening method, tunnel volume, surface area, average duct area, and circuit length;
                    </P>
                    <P>
                        • 
                        <E T="03">Wind tunnel flow quality:</E>
                         Temperature control and uniformity, airflow quality, minimum airflow velocity, flow uniformity, angularity and stability, static pressure variation, turbulence intensity, airflow acceleration and deceleration times, test duration flow quality, and overall airflow quality achievement;
                    </P>
                    <P>
                        • 
                        <E T="03">Test/Working section information:</E>
                         Test section type (
                        <E T="03">e.g.,</E>
                         open, closed, adaptive wall) and shape (
                        <E T="03">e.g.,</E>
                         circular, square, oval), length, contraction ratio, maximum air velocity, maximum dynamic pressure, nozzle width and height, plenum dimensions and net volume, maximum allowed model scale, maximum model height above road, strut movement rate (if applicable), model support, primary boundary layer slot, boundary layer elimination method and photos and diagrams of the test section;
                    </P>
                    <P>
                        • 
                        <E T="03">Fan section description:</E>
                         Fan type, diameter, power, maximum rotational speed, maximum top speed, support type, mechanical drive, sectional total weight;
                    </P>
                    <P>
                        • 
                        <E T="03">Data acquisition and control (where applicable):</E>
                         Acquisition type, motor control, tunnel control, model balance, model pressure measurement, wheel drag balances, wing/body panel balances, and model exhaust simulation;
                    </P>
                    <P>
                        • 
                        <E T="03">Moving ground plane or Rolling Road (if applicable):</E>
                         Construction and material, yaw table and range, moving ground length and width, belt type, maximum belt speed, belt suction mechanism, platen instrumentation, temperature control, and steering; and
                    </P>
                    <P>• Facility correction factors and purpose.</P>
                    <HD SOURCE="HD3">(iii) CFD Requirements</HD>
                    <P>Currently, there is no existing standard, protocol or methodology governing the use of CFD. Therefore, we are establishing a minimum set of criteria based on today's practices and coupling the use of CFD with empirical measurements from coastdown and, for gaining innovative technology credits, wind tunnel procedures. Since there are primarily two-types of CFD software code, Navier-Stokes based and Lattice-Boltzman based, we are outlining two sets of criteria to address both types. Therefore, the agencies are requiring that manufacturers use commercially-available CFD software code with a turbulence model included or available. Further details and criteria for each type of commercially-available CFD software code follows immediately and general criteria for all CFD analysis are subsequently described.</P>
                    <P>
                        For Navier-Stokes based CFD code, manufacturers must perform an unstructured, time-accurate analysis using a mesh grid size with total volume element count of at least fifty million cells of hexahedral and/or polyhedral mesh cell shape, surface elements representing the geometry consisting of no less than six million elements and a near wall cell size corresponding to a y+ value of less than three hundred with the smallest cell sizes applied to local regions of the tractor and trailer in areas of high flow gradients and smaller geometry features. Navier-Stokes-based analysis should be performed with a turbulence model (
                        <E T="03">e.g.,</E>
                         k-epsilon (k-ε), shear stress transport k-omega (SST k-ω) or other commercially-accepted method) and mesh deformation (if applicable) enabled with boundary layer resolution of +/− 95 percent. Finally, Navier-Stokes based CFD analysis for the purposes of determining the Cd should be performed once result convergence is achieved. Manufacturers should demonstrate convergence by supplying multiple, successive convergence values.
                    </P>
                    <P>For Lattice-Boltzman based CFD code, manufacturers must perform an unstructured, time-accurate analysis using a mesh grid size with total number of volume elements of at least fifty million with a near wall cell size of no greater than six millimeters on local regions of the tractor and trailer in areas of high flow gradients and smaller geometry features, with cell sizes in other areas of the mesh grid starting at twelve millimeters and increasing in size from this value as the distance from the tractor-trailer model increases.</P>
                    <P>
                        In general for CFD, all analysis should be conducted using the following conditions: A tractor-trailer combination using the manufacturer's tractor and the trailer according to the trailer specifications in this regulation, an environment with a blockage ratio of less than or equal to 0.2 percent to simulate open road conditions, a zero degree yaw angle between the oncoming wind and the tractor-trailer combination, ambient conditions consistent with the modified coastdown test procedures outlined in this regulation, open grill with representative back pressures based on data from the tractor model, turbulence model and mesh deformation enabled (if applicable), and tires and ground plane in motion consistent with and simulating a vehicle moving in the forward direction of travel. For any CFD analysis, the smallest cell size should be applied to local regions on the tractor and trailer in areas of high flow gradients and smaller geometry features (
                        <E T="03">e.g.,</E>
                         the a-pillar, mirror, visor, grille and accessories, trailer leading and trailing edges, rear bogey, tires, tractor-trailer gap).
                    </P>
                    <P>
                        Finally, with administrator approval, a manufacturer may request and 
                        <PRTPAGE P="57282"/>
                        perform CFD analysis using parameters and criteria other than stated above if the manufacturer can demonstrate that the conditions above are not feasible (
                        <E T="03">e.g.,</E>
                         insufficient computing power to conduct such analysis, inordinate length of time to conduct analysis, equivalent flow characteristics with more feasible criteria/parameters) or improved criteria may yield better results (
                        <E T="03">e.g.,</E>
                         different mesh cell shape and size). A manufacturer must provide data and information that demonstrates that their parameters/criteria will provide a sufficient level of detail to yield an accurate analysis including comparison of key characteristics between the manufacturer's criteria/parameters and those stated above (
                        <E T="03">e.g.,</E>
                         pressure profiles, drag build-up, and/or turbulent/laminar flow at key points on the front of the tractor and/or over the length of the tractor-trailer combination).
                    </P>
                    <HD SOURCE="HD3">Alternative Aerodynamic Method Comparison to the Coastdown Test Procedure Reference Method</HD>
                    <P>If a manufacturer uses any alternative aerodynamic method, or any method other than the coastdown reference method, the manufacturer would have to provide a comparison to the coastdown test procedure reference method. The manufacturer would be required to perform the alternative aerodynamic method and the coastdown test procedure reference method on the same model and compare the Cd results. The alternative aerodynamic method, or any other method using good engineering judgment, and the coastdown test procedure reference method must be conducted under similar test conditions and adhere to the criteria discussed above for each aerodynamic assessment method.</P>
                    <P>This demonstration would be performed in the initial year of rule implementation and would require agency review and approval prior to use of the alternative aerodynamic method in future years and for other models.</P>
                    <P>The comparison would occur on one model of the manufacturer's highest sales volume, Class 8, high roof, sleeper cab family with a full aerodynamics package, either equipped at the factory or sold through a dealer specifically for that model as an OEM part. If the manufacturer does not have such a model, the manufacturer may select a comparable model in that family or a model from another highest sales volume family in the manufacturer's fleet.</P>
                    <P>For the comparison, the manufacturer would be required to provide information on the test conditions for each test result including but not limited to: test date and time, wind speed (if applicable), temperature, humidity, manufacturer and model, model year, applicable model engine family, tire type and rolling resistance for actual model, model test weight, equivalent vehicle test weight, actual and simulated or equivalent vehicle speed, Reynolds number (if applicable), yaw angle (if applicable), blockage ratio, either calculated or measured (if applicable), model mounting (if applicable), model geometry, body axis force and moments (if applicable), total test duration, test vehicle and type and operator name(s) and/or ID(s). In addition, the manufacturer must provide the Cd results from valid tests.</P>
                    <P>
                        Once the comparison is performed in the initial year, the manufacturer is required to perform this comparison every three years on the highest sales volume, Class 8, high roof, sleeper cab family equipped with a full aerodynamics package unless any or all of the following occurs: the Class 8, high roof, sleeper cab family/model used for the original comparison is no longer commercially available, and/or significantly redesigned, with the meaning of “significantly” based on good engineering judgment, a fundamental change is made to the current alternative aerodynamic method (
                        <E T="03">e.g.,</E>
                         change from facility A to facility B as a source), and/or the alternative aerodynamic method is changed to something other than the coastdown test procedure reference method (
                        <E T="03">e.g.,</E>
                         switch to wind tunnel testing from coastdown, change wind tunnel testing facilities or CFD software code). However, the agency reserves the right and has the authority under the Clean Air Act (CAA) to request and have the manufacturer perform a comparison in any year and on any model that the manufacturer has certified.
                    </P>
                    <P>Finally, the data generated for the purpose of this comparison can be used in annual certification for that model, also called the base model, and for determining Cd for other models and/or sub-families in the base model family, or other families in the manufacturer's fleet.</P>
                    <HD SOURCE="HD3">Annual Certification Data Submittal for Aerodynamic Assessment</HD>
                    <P>
                        For each model in the manufacturer's fleet, the manufacturer is required to supply aerodynamic information on an annual basis to the agencies in their certification application. Once the manufacturer has performed the coastdown test procedure or the comparison for an alternative aerodynamic method, the aerodynamic assessment method can be used to generate C
                        <E T="52">d</E>
                         values for all models the manufacturer plans to certify and introduce into commerce. For each model, the manufacturer would determine a predicted aerodynamic drag (C
                        <E T="52">d</E>
                         times the frontal area, A). This reduces burden on the manufacturer to perform aerodynamic assessment but provides data for all the models in a manufacturer's fleet. If a manufacturer has previously performed aerodynamic assessment on the other models, the manufacturer may submit an experimental C
                        <E T="52">d</E>
                         in lieu of a predicted C
                        <E T="52">d</E>
                        .
                    </P>
                    <P>
                        The aerodynamic assessment data will be used in one of two ways: the manufacturer will use the C
                        <E T="52">d</E>
                         (times A) values to determine the correct GEM input according to agency-defined tables, or the agencies will use the manufacturer's input data into the model and assign a GHG value/score.
                    </P>
                    <P>
                        Since the agencies may input the data into the model, manufacturers are required to provide the information from the coastdown test procedure, alternative aerodynamic method or the method comparison described above for annual certification. In addition, the manufacturer would supply manufacturer fleet information to the agency for annual certification purposes along with the acceptance demonstration parameters: manufacturer name, model year, model line (if different than manufacturer name), model name, engine family, engine displacement, transmission name and type, number of axles, axle ratio, vehicle dimensions, including frontal area, predicted or measured coefficient of drag, assumptions used in developing the predicted or measured C
                        <E T="52">d</E>
                        , justification for carry-across of aerodynamic assessment data, photos of the model line-up, if available, and model applications and usage options.
                    </P>
                    <P>Finally, the agencies reserve the right to request that a manufacturer generate or provide additional data, prior to certification, to support and receive annual certification approval.</P>
                    <HD SOURCE="HD3">(f) Aerodynamic Validation and Compliance Audit</HD>
                    <P>
                        The agencies reserve the right to perform aerodynamic validation and compliance audit of the manufacturer's aerodynamic results. The agencies may conduct a vehicle confirmatory evaluation using a vehicle recruited from the in-use fleet and performing the reference method, coastdown test procedures, either at the manufacturer's facility or an independent facility using the agencies equipment and tools. If there is a discrepancy between the 
                        <PRTPAGE P="57283"/>
                        manufacturer's data submitted for certification and the agencies' validation results, the agency may perform a full audit of the manufacturer's source data and aerodynamic assessment methods and tools used by the manufacturer to produce the data. The manufacturer would be required to make all equipment and tools available to the agencies to conduct the full audit.
                    </P>
                    <P>
                        Based on this audit, the agencies may require the manufacturer to make changes to their aerodynamic assessment methods ranging from minor adjustments to method criteria to switching allowed aerodynamic assessment methods. For the purposes of aerodynamic validation and compliance audit, manufacturers will be allowed an additional compliance margin of one bin from the certified bin for the model evaluated (
                        <E T="03">e.g.,</E>
                         if a manufacturer certifies a model to Bin IV, the results of the aerodynamic valid/compliance audit must fall within the next highest bin, in this case Bin III). In addition, the agencies may select any model from the manufacturer's fleet/vehicle family to perform the aerodynamic validation and compliance.
                    </P>
                    <HD SOURCE="HD3">(g) Aerodynamic Bin Category Adjustment Using Yaw Sweep Information</HD>
                    <P>
                        As discussed in Section II.B.2, the agencies are finalizing aerodynamic drag values which represent zero degree yaw (
                        <E T="03">i.e.,</E>
                         representing wind from directly in front of the vehicle, not from the side). We recognize that wind conditions, most notably wind direction, have a greater impact on real world CO
                        <E T="52">2</E>
                         emissions and fuel consumption of heavy-duty trucks than of light-duty vehicles. To provide additional incentive for manufacturers using aerodynamic techniques (
                        <E T="03">i.e.,</E>
                         techniques that use assessment at yaw angles more or less than zero degrees to capture the influence of side winds and calculate wind average drag coefficient), the agencies are defining an approach to allow manufacturers to account for improved aerodynamic performance in crosswind conditions similar to those experienced by vehicles in use. If a manufacturer can benefit from having a model that performs in regimes or conditions other than the scope of the test parameters in this rulemaking, this creates an incentive for the entire industry. As a result, we are allowing manufacturers to use the coefficient of drag values at positive six, negative six, and zero degrees yaw to improve their GHG score.
                    </P>
                    <P>The Yaw Sweep Adjustment would be determined using the following steps and equations:</P>
                    <P>• Step 1: Determine your aero method adjustment factor as described above in paragraph (d) of this section and using the equation;</P>
                    <GPH SPAN="3" DEEP="037">
                        <GID>ER15SE11.005</GID>
                    </GPH>
                    <P>• Step 2: Apply the aerodynamic method adjustment factor to the positive six, negative six and zero degrees yaw Cd values for that model using the equation;</P>
                    <FP SOURCE="FP-2">
                        Cd 
                        <E T="52">Adjusted</E>
                         = Adjustment Factor × Cd
                        <E T="52">(+6 degrees/−6 degrees/0 degrees, model)</E>
                    </FP>
                    <P>• Step 3: Calculate your Adjusted zero yaw Cd*A</P>
                    <FP SOURCE="FP-2">
                        Adjusted Zero Yaw Cd*A
                        <E T="52">(model)</E>
                         = adjusted +/− Six Yaw Cd
                        <E T="54">(average,model)</E>
                         *A
                        <E T="52">(model)</E>
                         × 
                        <E T="03">Zero Yaw Cd*A</E>
                        <E T="54">(industry average)</E>
                         +/−Six Yaw Cd
                        <E T="54">(average)</E>
                        *A
                        <E T="52">(industry average)</E>
                    </FP>
                    <P>• Step 4: Use the adjusted zero yaw Cd*A for the model to determine appropriate bin and the associated Cd input for the GEM to determine your Yaw Sweep Adjusted GHG score.</P>
                    <P>Essentially, this equation becomes y = x * C where y is the adjusted zero yaw Cd, × is the corrected average of the +/− six degree yaw Cds for the manufacturer's model, and C is a constant value based on the ratio of the zero yaw Cd and WACd ratio for the industry. The current default value for this industry baseline ratio for this is rulemaking is 0.8065 based on the Cd values of current Class 8, high-roof, aero sleeper cab models in the fleet. The agencies may periodically review this industry baseline ratio and adjust it, if necessary, with notification to the industry.</P>
                    <P>
                        The yaw sweep adjustment described above only applies to Class 7, high-roof day cab and Class 8 high-roof day or sleeper cab tractors and a manufacturer seeking yaw sweep adjustment must use an approved, alternative aerodynamic method to generate the yaw sweep data. Manufacturers may use a more yaw sweep angles (
                        <E T="03">e.g.,</E>
                         zero, +/− 1, 3, 6, 9) for their yaw sweep adjustment and, in this case, must calculate the wind-average Cd (WACd) according to SAE J1252 and use this value in lieu of the average of the +/− six degree yaw Cds in the equations above.
                    </P>
                    <P>As stated elsewhere in this regulation, the Agencies reserve the right to review a manufacturer's proposed adjustment and discuss the proposed adjustment with the manufacturer. The Agencies will notify the manufacturer of the need for a review and the manufacturer must provide all information requested by the Agencies to support the review and subsequent discussion(s). The agencies also reserve the right to deny aerodynamic bin category adjustment independent or as a result of the review/discussions with the manufacturer. In such case, the Agencies will notify the manufacturer of denial prior to certification to ensure the proper inputs to the GEM are used.</P>
                    <HD SOURCE="HD3">(4) Compliance Reports</HD>
                    <HD SOURCE="HD3">(a) Early Model Year Data</HD>
                    <P>
                        The regulatory text of the NPRM included specifications for manufacturers to submit pre-certification compliance reports for each of a manufacturer's fleet of heavy-duty tractors. Navistar and Volvo commented that the requirements specified in the NHTSA pre-certification reports are overbroad and should be eliminated. The pre-certification reports included requirements for manufactures to submit a wide variety of information on these vehicles. The variety of information was believed to be necessary given that these vehicles had no previous compliance information for meeting fuel efficiency and emission standards and the agencies wanted to ensure that enough information was obtain to ensure sufficient compliance with the program. The agencies have since reviewed the level of detail required in the precertification reports and are in agreement with commenters that the required information may be overly broad for compliance purposes and given that this is the first time these manufacturers have been regulated, the level of information required may not be available until subsequent model years. Therefore, as discussed previously for pickup trucks and vans, the agencies have removed the requirement for 
                        <PRTPAGE P="57284"/>
                        manufactures to submit pre-certification compliances reports for these classes of vehicles.
                    </P>
                    <P>As an alternative to receiving early compliance model year information in the precertification reports, the agencies have decided to use manufacturer's application for certificates of conformity to obtain early model estimates. Currently, the applications for certificates are not required to include the fuel consumption information required by NHTSA. Therefore, the agencies are adopting provisions in the final rules for manufacturers to provide emission and equivalent fuel consumption estimates in the manufacturer's applications for certification. The agencies will treat information submitted in the applications as a manufacturer's demonstration of providing early compliance information, similar to the pre-model year report submitted for heavy-duty pickup trucks and vans. The final rule establishes a harmonized approach by which manufacturers will submit applications through an EPA-administered database, such as the Verify system, as the single point of entry for all information required for this national program and both agencies will have access to the information. If by model year 2012, the agencies are not prepared to receive information through the EPA Verify database system, manufacturers are expected to submit written applications to the agencies. This approach should streamline this process and reduce industry burden and provide sufficient information for the agencies to carry out their early compliance activities.</P>
                    <HD SOURCE="HD3">(b) Final Reports</HD>
                    <P>
                        The NPRM proposed for manufacturers participating in the ABT program to provide EOY and final reports. The EOY reports for the ABT program were required to be submitted by manufacturers no later than 90 days after the calendar year and final report no later than 270 days after the calendar year.
                        <SU>318</SU>
                        <FTREF/>
                         Manufacturers not participating in the ABT program were required to provide an EOY report within 45 days after the calendar year but no final reports were required. The final ABT report due was established coinciding with EPA's existing criteria pollutant report for heavy-duty engines. The EOY report was required in order to receive preliminary final estimates and identifies manufacturers that might have a credit deficit for the given model year. Manufacturers with a credit surplus at the end of each model could receive a waiver from providing EOY reports. As proposed, the remaining manufacturers were required to submit reports to EPA and send copies of those reports to NHTSA with equivalent fuel consumption values.
                    </P>
                    <FTNT>
                        <P>
                            <SU>318</SU>
                             Corresponding to the compliance model year.
                        </P>
                    </FTNT>
                    <P>In response to the NPRM, commenters recommended collecting additional data. One commenter requested collecting information to develop and refine test cycles that more accurately reflect actual driving cycles for medium- and heavy-duty trucks. Several other commenters (ACEE, Eaton, CALSTART, NRDC and UCS) recommended collecting advanced data on in-service vehicles and that the collected data be analyzed and characterized for each vocational application, especially for hybrid vehicles, in a cooperative government and industry effort. Commenters (ACEE, DTNA, NRGDC, UCS and Volvo) also requested that the agency's data collection ensure to include information on actual vehicle configurations sold in the fleet.</P>
                    <P>Many commenters argued against the burden placed upon the industry in meeting the agencies' proposed required reporting provisions. One commenter argued against providing actual production information due to the variability that exists in building heavy-duty vehicles and in the influence of changing fleet interest each year indicating that only estimated information should have to be provided. Commenters (Volvo and Navistar) generally objected stating that the agency requirements in its reports are both unnecessary and overly burdensome. Comments in response to the NPRM requested that for manufacturers not using ABT provisions, the EOY report due 45 days after the end of the calendar year should be combined with the ABT report due 90 days after the same model year. Commenters also requested that the exempted off-road vehicle report be consolidated with the EOY report. Other concerns raised by commenters were for the agencies to remove any differences in reporting provisions and implement a single uniform reporting template that manufacturers can submit to both agencies.</P>
                    <P>One commenter (Volvo) requested that the agencies simplify the reporting requirements for vehicle configurations in both the EOY and final reports, commenting that the proposal as outlined was extremely burdensome to vehicle manufacturers. The NPRM regulation stated that the manufacturer must identify each distinguishable vehicle configuration in the vehicle family or sub-family and identification of FELs for each subfamily. The regulation calls for reporting of results and modeling inputs for each subfamily. The commenter believed that the burden of meeting these requirements for the vast number of families/subfamilies is substantial and unjustified. For this commenter, there is a potential for almost 45 million sub-families in the vocational and tractor categories. This approach should reduce the number of vehicle families to an amount that is suitable for reporting. The BlueGreen Alliance and ACEEE also requested the agencies to implement a program as part of the final rule to collect data, actual vehicle configurations sold and their performance as estimated by simulation modeling, which will provide information required to develop a full-vehicle program in the future.</P>
                    <P>For the final rules, the agencies are requiring EOY and final reports, as proposed. However, the agencies will consolidate the reporting as requested by comments and is requiring equivalent fuel consumption information for all reports submitted to EPA. The final rules establish a harmonized approach by which manufacturers will submit reports through an EPA-administered database, such as the Verify system, as the single point of entry for all information required for this national program and both agencies will have access to the information. If by model year 2012, the agencies are not prepared to receive information through the EPA Verify database system, manufacturers are expected to submit written reports to the agencies. The agencies are also combining the EOY reports for manufacturers not using ABT provisions with other EOY reports and are requiring a submission date 90 days after the calendar year. The agencies view the adopted requirements in the final rules for EOY and final reports will provide sufficient data requests to satisfy these requests. The agencies also agree with Volvo's concerns and have adopted a new classification system for selecting vehicle families as described elsewhere in this section. A summary of the required information in the final rules for EOY and final reports is as follows:</P>
                    <P>• Vehicle family designation and averaging set.</P>
                    <P>• Vehicle emissions and fuel consumption standards including any alternative standards used.</P>
                    <P>• Vehicle family FELs.</P>
                    <P>• Final production volumes.</P>
                    <P>• Certified test cycles.</P>
                    <P>
                        • Useful life values for vehicle families.
                        <PRTPAGE P="57285"/>
                    </P>
                    <P>• A credit plan identifying the manufacturers actual 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.</P>
                    <P>• A plan describing the vehicles that were exempted such as for off-road or small business purposes.</P>
                    <P>• A plan describing any alternative fueled vehicles that were produced for the model year identifying the approaches used to determinate compliance and the production volumes.</P>
                    <HD SOURCE="HD3">(c) Additional Required Information</HD>
                    <P>Throughout the model year, manufacturers may be required to report various submissions to the agencies to comply with various aspects of the rules. These requests have differing criteria for submission and approval. Table V-6 below provides a summary of the types of submission, required submission dates and the EPA and NHTSA regulations that apply. The agencies will review and grant requests considering the timeliness of the submissions and the completeness of the requests.</P>
                    <P/>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,r75,r75,12,12">
                        <TTITLE>Table V-6—Summary of Required Information for Compliance</TTITLE>
                        <BOXHD>
                            <CHED H="1">Submission</CHED>
                            <CHED H="1">Applies to</CHED>
                            <CHED H="1">Required submissions date</CHED>
                            <CHED H="1">EPA regulation reference</CHED>
                            <CHED H="1">
                                NHTSA
                                <LI>regulation</LI>
                                <LI>reference</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Small business exemptions</ENT>
                            <ENT>Vehicle manufacturers meeting the Small Business Administration (SBA) size criteria of a small business as described in 13 CFR 121.201</ENT>
                            <ENT>Before introducing any excluded vehicle into U.S. commerce</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Incentives for early introduction</ENT>
                            <ENT>The provisions apply with respect to tractors and vocational vehicles produced in model years before 2014</ENT>
                            <ENT>EPA must be notified before the manufacturer submits its applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Voluntary compliance for NHTSA standards</ENT>
                            <ENT>Vehicle manufacturers seeking early compliance in model years 2014 to 2016</ENT>
                            <ENT>NHSAT must be notified before the manufacturer submits its applications for certificates of conformity</ENT>
                            <ENT>NA</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Approval of alternate methods to determine drag coefficients</ENT>
                            <ENT>Tractors meeting § 1037.106</ENT>
                            <ENT>EPA must be notified before the manufacturer submits its applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Off-road exemption</ENT>
                            <ENT>Manufacturers wanting to exclude tractors from vehicle standards</ENT>
                            <ENT>EPA must be notified before the manufacturer submits its applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Tractor</ENT>
                            <ENT>Manufacturers wanting to reclassify tractor as vocational tractors making them applicable to vocational vehicle standards</ENT>
                            <ENT>EPA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Exemption from EOY reports</ENT>
                            <ENT>Manufactures with surplus credits at the end of the model year</ENT>
                            <ENT>90-days after the calendar year ends</ENT>
                            <ENT>§ 1037.730</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">E. Class 2b-8 Vocational Vehicles</HD>
                    <HD SOURCE="HD3">(1) Final Compliance Approach</HD>
                    <P>Like Class 7 and 8 combination tractors, heavy-duty vocational vehicles will be required to have both engine and chassis certificates of conformity. As discussed in the engine certification section, engines that will be used in vocational vehicles would need to be certified using the heavy-duty FTP cycle for GHG pollutants and show compliance through the useful life of the engine. This certification is in addition to the current requirements for obtaining a certificate of conformity for criteria pollutant emissions.</P>
                    <P>For this final action, the majority of the GHG reduction for vocational vehicles is expected to come from the use of LRR tires as well as increased utilization of hybrid powertrain systems. Other technologies such as aerodynamic improvements and vehicle speed limiting systems are not as relevant for this class of vehicles, since the typical duty cycle is much more urban, consisting of lower speeds and frequent stopping. Idle reduction strategies are expected to be encompassed by hybrid technology, which we anticipate will ultimately handle PTO operation as well. Therefore, for this final action, certification of heavy-duty vocational vehicles with conventional powertrains will focus on quantifying GHG benefits due to the use of LRR tires through the GEM.</P>
                    <HD SOURCE="HD3">(a) Certification Process</HD>
                    <P>
                        Vehicles will be divided into vehicle families for purposes of certification. As with Class 7 and 8 combination tractors, these are groups of vehicles within a given regulatory subcategory that are expected to share common emission characteristics. Vocational vehicle regulatory subcategories share the same structure as those used for heavy-duty engine criteria pollutant certification and are based on GVWR. This includes light-heavy (LHD) with a GVWR at or below 19,500 pounds, medium-heavy (MHD) with a GVWR above 19,500 pounds and at or below 33,000 pounds, and heavy-heavy (HHD) with a GVWR above 33,000 pounds. We anticipate manufacturers will have one vehicle family per regulatory subcategory, however hybrid vehicles will need to be separated into additional unique vehicle families. Manufacturers may also subdivide families into sub-families if GHG emissions performance is expected to change significantly within the vehicle family. As with Class 7 and 8 combination tractors, we anticipate using the standardized 12-digit naming convention to identify vocational vehicle families. As with engines and Class 7 and 8 combination tractors, each certifying vehicle manufacturer would have a unique three digit code assigned to them. Currently, there is no 5th digit (industry sector) code for this class of vehicles and EPA will issue an update to the current guidance explaining which character(s) should be used for vocational vehicles. The agencies originally proposed that engine displacement be included in the vehicle family name, however the wide range of engines available across most regulatory 
                        <PRTPAGE P="57286"/>
                        subcategories makes this requirement irrelevant and unnecessary at the time of this rulemaking. Therefore, we are reserving the remaining characters for California ARB and/or manufacturer use, such that the result is a unique vehicle family name.
                    </P>
                    <P>
                        Each vehicle family must demonstrate compliance with emission standards using the GEM. GEM inputs for conventional (
                        <E T="03">i.e.</E>
                         non-hybrid) vocational vehicles primarily involves entering tire rolling resistance information. Additional provisions are available for certification of hybrid vehicles or vehicles using other advanced or innovative technologies, as detailed in Section IV. If the vehicle family consists of multiple configurations, only results from the worst-case configuration are necessary for certification in addition to an engineering evaluation demonstrating that the modeled configuration indeed reflects the worst-case configuration. If the vehicle family is divided into subfamilies, unique GEM results are required for at least one configuration per subfamily.
                    </P>
                    <P>The agencies have received comments from engine manufacturers, truck manufacturers, and hybrid system manufacturers raising concerns regarding the duty cycles and the weighting factors proposed for evaluating transient applications. The agencies proposed three methods for evaluating hybrid system performance in an effort to generate credits. The proposed duty cycles considered for the proposal will continue to be used with this final action. The Agencies proposed a transient duty cycle, a 55 mile-per-hour steady state cruise and a 65 mile per hour steady state cruise. The transient duty cycle, is essentially the same transient cycle proposed in the NPRM with the exception that it minimizes inappropriate shift events. Additionally, the steady state cycles proposed by the Agencies remain essentially unchanged. In response to concerns raised by engine manufacturers and hybrid system manufacturers regarding the operation of vehicles most likely to be hybridized in the near term, we are modifying the weighting factors for each cycle to address the distribution of the emissions impact associated with each duty cycle. The weighting factors will be changed such that a greater emphasis on the type of transient activity seen as more characteristic of hybrid applications will be evident. The new weighting factors between duty cycles for hybrid certification will be 75 percent for the transient, 9 percent for the 55 mph cruise cycle, and 16 percent for the 65 mph cruise cycle. The basis for this change may be seen in the memorandum to Docket EPA-HQ-OAR-2010-0162, which describes the data set used to describe real world vehicle performance. In addition to this modification, the Power-Take-Off (PTO) operation will be characterized for vehicles utilizing a PTO system for which there is a benefit for use of the hybrid technology. The testing provisions for the comparison in the A to B testing for complete vehicle or post-transmission powerpack testing may be seen in 40 CFR 1037.525. The testing provisions for work-specific pre-transmission evaluation using an engine based approach may be seen in 40 CFR 1036.525.</P>
                    <HD SOURCE="HD3">(b) Demonstrating Compliance With the Final Standards </HD>
                    <HD SOURCE="HD3">
                        (i) CO
                        <E T="52">2</E>
                         and Fuel Consumption Standards
                    </HD>
                    <HD SOURCE="HD3">Model</HD>
                    <P>As stated above, the technology basis for the final standards for vocational vehicles is use of LRR tires. Similar to Class 7 and 8 combination tractors, compliance with the standards will be demonstrated using the GEM predictive model. However, the input parameters entered by the vehicle manufacturer would be limited to the properties of the tires. The GEM will use the tire data, along with inputs reflecting a baseline truck and engine, to generate a complete vehicle model. The test weight used in the model will be based on the vehicle class, as identified above. Light-heavy-duty vehicles will have a test weight of 16,000 pounds; 25,150 pounds for medium heavy-duty vehicles; and heavy heavy-duty vocational vehicles will use a test weight of 67,000 pounds. The model would then be exercised over the HHDDT transient cycle as well as 55 and 65 mph steady-state cruise conditions. The results of each of the three tests would be weighted at 16%, 9%, and 75% for 65 mph, 55 mph, and transient tests, respectively. Innovative technology credits may be used to demonstrate compliance, however because the technology would not be an input into GEM, alternative procedures would be needed to determine the value of the credit as described in Preamble Section IV.</P>
                    <P>
                        It may seem more expedient and just as accurate to require manufacturers use tires meeting certain industry standards for qualifying tires as having LRR. In addition, CO
                        <E T="52">2</E>
                         and fuel consumption benefits could be quantified for different ranges of coefficients of rolling resistance to provide a means for comparison to the standard. However, we believe that as technology advances, other aspects of vocational vehicles may warrant inclusion in future rulemakings. For this reason, we remain committed to having the certification framework in place to accommodate such additions. While the modeling approach may seem to be overly complicated for this phase of the rules, it also serves to create a certification pathway for future rulemakings and therefore we believe this is the best approach. Moreover, a design standard would discourage use of alternative technologies to meet the standard, and otherwise impede desirable flexibility.
                    </P>
                    <HD SOURCE="HD3">In-use Standards</HD>
                    <P>The category of wear items primarily relates to tires. It is expected that vehicle manufacturers will equip their trucks with LRR tires, since the final vehicle standard is predicated on LRR tire performance. The tire replacement intervals for this class of vehicle is normally in the range of 50,000 to 100,000 miles, which means the owner/operator will be replacing the tires at several points within the useful life of the vehicle. We believe that as LRR tires become more common on new equipment, the aftermarket prices of these tires will also decrease. Along with decreasing tire prices, the fuel savings realized through use of LRR tires will ideally provide enough incentive for owner/operators to continue purchasing these tires. The inventory modeling in this rulemaking package reflects the continued use of LRR tires through the life of the vehicle.</P>
                    <HD SOURCE="HD3">(ii) Evaporative Emission Standards</HD>
                    <P>
                        Evaporative and refueling emissions from heavy-duty highway engines and vehicles are currently regulated under 40 CFR part 86. Even though these emission standards apply to the same engines and vehicles that must meet exhaust emission standards, we require a separate certificate for complying with evaporative and refueling emission standards. An important related point to note is that the evaporative and refueling emission standards always apply to the vehicle, while the exhaust emission standards may apply to either the engine or the vehicle. For vehicles other than pickups and vans, the standards in this program to address greenhouse gas emissions apply separately to engines and to vehicles. Since we will be applying both greenhouse gas standards and evaporative/refueling emission standards to vehicle manufacturers, we believe it will be advantageous to have the regulations related to their certification requirements written 
                        <PRTPAGE P="57287"/>
                        together as much as possible. EPA regards these final changes as discrete, minimal, and for the most part clarifications to the existing standards. We have not finalized any changes to the evaporative or refueling emission standards, but we have come across several provisions that warrant clarification or correction:
                    </P>
                    <FP SOURCE="FP-1">• When adopting the most recent evaporative emission change we did not carry through the changes to the regulatory text applying evaporative emission standards for methanol-fueled compression-ignition engine. The final regulations correct this by applying the new standards to all fuels that are subject to standards.</FP>
                    <FP SOURCE="FP-1">• We are finalizing provisions to address which standards apply when an auxiliary (nonroad) engine is installed in a motor vehicle, which is currently not directly addressed in the highway regulation. The final approach requires testing complete vehicles with any auxiliary engines (and the corresponding fuel-system components). Incomplete vehicles must be tested without the auxiliary engines, but any such engines and the corresponding fuel system components will need to meet the standards that apply under our nonroad program as specified in 40 CFR part 1060.</FP>
                    <FP SOURCE="FP-1">• We have removed the option for secondary vehicle manufacturers to use a larger fuel tank capacity than is specified by the certifying manufacturer without re-certifying the vehicle. Secondary vehicle manufacturers needing a greater fuel tank capacity will need to either work with the certifying manufacturer to include the larger tank, or go through the effort to re-certify the vehicle itself. Our understanding is that this provision has not been used and would be better handled as part of certification rather than managing a separate process. We are also finalizing corresponding changes to the emission control information label.</FP>
                    <FP SOURCE="FP-1">• Rewriting the regulations in a new part in conjunction with the greenhouse gas standards allows for some occasions of improved organization and clarity, as well as updating various provisions. For example, we have finalized a leaner description of evaporative emission families that does not reference sealing methods for carburetors or air cleaners. We have also clarified how evaporative emission standards affect engine manufacturers and are finalizing more descriptive provisions related to certifying vehicles above 26,000 pounds GVWR using engineering analysis.</FP>
                    <FP SOURCE="FP-1">• Since we adopted evaporative emission standards for gaseous-fuel vehicles, we have developed new approaches for design-based certification (see, for example, 40 CFR 1060.240). We request comment on changing the requirements related to certifying gaseous-fuel vehicles to design-based certification. This would allow for a simpler assessment for certifying these vehicles without changing the standards that apply.</FP>
                    <HD SOURCE="HD3">(2) Final Labeling Provisions</HD>
                    <P>
                        It is crucial that a means exist for allowing field inspectors to identify whether a vehicle is certified, and if so, whether it is in the certified configuration. As with engines and tractors, we believe an emission control information label is a logical first step in facilitating this identification. For vocational vehicles, the engine will have a label that is permanently affixed to the engine and identify the engine as certified for use in a certain regulatory subcategory of vehicle (
                        <E T="03">i.e.,</E>
                         MHD, 
                        <E T="03">etc</E>
                        ).
                    </P>
                    <P>The vehicle will also have a label listing the manufacturer of the vehicle, vehicle family (and subfamily, if applicable), regulatory subcategory, date of manufacture, compliance statement, FEL, and emission control system identifiers. The required content of this label is consistent with the label description provided earlier for Class 7 and 8 tractors. Since LRR tires are expected to be the primary means for vehicles to comply, it is expected that LRR tires will be the only component identified as part of the emission control system on the label. For tires to qualify as low rolling resistance (for purposes of this vocational vehicle label), they need to have a coefficient of rolling resistance at or below 7.7 kg/metric ton. In addition, if any other emission related components are present, such as hybrid powertrains, key components will also need to be specified on the label. Like the engine label, this will need to be permanently affixed to the vehicle in an area that is clearly visible to the owner/operator. At the time of certification, manufacturers will be required to submit an example of their vehicle emission control label such that EPA can verify that all critical elements are present. In addition to the label, manufacturers will also need to describe where the unique vehicle identification number and date of production can be found on the vehicle.</P>
                    <HD SOURCE="HD3">(3) Other Certification Issues</HD>
                    <HD SOURCE="HD3">Warranty</HD>
                    <P>As with other heavy-duty engine and vehicle regulatory categories, vocational vehicle chassis manufacturers would be required to warrant their product to be free from defects that would result in noncompliance with emission standards. This warranty also covers the failure of emission related components for the warranty period of the vehicle. For vocational vehicles, this primarily applies to tires.</P>
                    <P>Manufacturers of chassis for vocational vehicles would be required to warrant tires to be free from defects at the time of initial sale. As with Class 7 and 8 combination tractors, we expect the chassis manufacturer to only warrant the original tires against manufacturing or design-related defects. This tire warranty would not cover replacement tires or damage from road hazards or improper inflation.</P>
                    <P>As with Class 7 and 8 combination tractors, all warranty documentation would be submitted to EPA at the time of certification. This should include the warranty statement provided to the owner/operator, description of the service repair network, list of covered components (both conventional and high-cost), and length of coverage.</P>
                    <HD SOURCE="HD3">EPA Certification Fees</HD>
                    <P>Similar to engine and tractor-trailer vehicle certification, the agency will assess certification fees for vocational vehicles. The proceeds from these fees are used to fund the compliance and certification activities related to GHG regulation for this industry segment. In addition to the certification process, other activities funded by certification fees include EPA-administered in-use testing, selective enforcement audits, and confirmatory testing. At this point, the exact costs associated with the heavy-duty vehicle GHG compliance are not well known. EPA will assess its compliance program associated with this program and assess the appropriate level of fees. We anticipate that fees will be applied based on certification families, following the light-duty vehicle approach.</P>
                    <HD SOURCE="HD3">Maintenance</HD>
                    <P>
                        Vehicle manufacturers are required to outline a maintenance schedule that ensures the emission control system remains functional throughout the useful life of the vehicle. For vocational vehicles, this largely involves ensuring that customers have sufficient information to purchase replacement tires that meet or exceed original equipment specifications. As with Class 
                        <PRTPAGE P="57288"/>
                        7 and 8 tractors, we believe that this information should be included in the owner's manual to the vehicle. This statement must be submitted to EPA at the time of certification to verify that the customer indeed has enough information to purchase the correct replacement tires.
                    </P>
                    <HD SOURCE="HD2">F. General Regulatory Provisions</HD>
                    <HD SOURCE="HD3">(1) Statutory Prohibited Acts</HD>
                    <P>Section 203 of the CAA describes acts that are prohibited by law. This section and associated regulations apply equally to the greenhouse gas standards as to any other regulated emission. Acts that are prohibited by section 203 of the CAA include the introduction into commerce or the sale of an engine or vehicle without a certificate of conformity, removing or otherwise defeating emission control equipment, the sale or installation of devices designed to defeat emission controls, and other actions. In addition, vehicle manufacturers, or any other party, may not make changes to the certified engine that would result in it not being in the certified configuration.</P>
                    <P>EPA will apply § 86.1854-12 to heavy-duty vehicles and engines; this codifies the prohibited acts spelled out in the statute. Although it is not legally necessary to repeat what is in the CAA, EPA believes that including this language in the regulations provides clarity and improves the ease of use and completeness of the regulations. Since this change merely codifies provisions that already apply, there is no burden associated with the change.</P>
                    <HD SOURCE="HD3">(2) Regulatory Amendments Related to Heavy-Duty Engine Certification</HD>
                    <P>We are adopting the new engine-based greenhouse gas emissions standards in 40 CFR part 1036 and the new vehicle-based standards in 40 CFR part 1037. We are continuing to rely on 40 CFR parts 85 and 86 for conventional certification and compliance provisions related to criteria pollutants, but the final regulations include a variety of amendments that will affect the provisions that apply with respect to criteria pollutants. We are not intending to change the stringency of, or otherwise substantively change any existing standards.</P>
                    <P>The introduction of new parts in the CFR is part of a long-term plan to migrate all the regulatory provisions related to highway and nonroad engine and vehicle emissions to a portion of the CFR called Subchapter U, which consists of 40 CFR parts 1000 through 1299. We have already adopted emission standards, test procedures, and compliance provisions for several types of engines in 40 CFR parts 1033 through 1074. We intend eventually to capture all the regulatory requirements related to heavy-duty highway engines and vehicles in these new parts. Moving regulatory provisions to the new parts allows us to publish the regulations in a way that is better organized, reflects updates to various certification and compliance procedures, provides consistency with other engine programs, and is written in plain language. We have already taken steps in this direction for heavy-duty highway engines by adopting the engine-testing procedures in 40 CFR part 1065 and the provisions for selective enforcement audits in 40 CFR part 1068.</P>
                    <P>EPA sought comment on drafting changes and additions. This solicitation related solely to the appropriate migration, translation, and enhancement of existing provisions. EPA did not solicit comment on the substance of these existing rules, and did not amend, reconsider, or otherwise re-examine these provisions' substantive effect.</P>
                    <P>The rest of this section describes the most significant of these final redrafting changes. The proposal includes several changes to the certification and compliance procedures, including the following:</P>
                    <P>• We are requiring that engine manufacturers provide installation instructions to vehicle manufacturers (see § 1036.130). We expect this is already commonly done; however, the regulatory language spells out a complete list of information we believe is necessary to properly ensure that vehicle manufacturers install engines in a way that is consistent with the engine's certificate of conformity.</P>
                    <P>• § 1036.30, § 1036.250, and § 1036.825 spell out several detailed provisions related to keeping records and submitting information to us.</P>
                    <P>• We wrote the greenhouse gas regulations to divide heavy-duty engines into “spark-ignition” and “compression-ignition” engines, rather than “Otto-cycle” and “diesel” engines, to align with our terminology in all our nonroad programs. This will likely involve no effective change in categorizing engines except for natural gas engines. To address this concern, we are including a provision in § 1036.150 to allow manufacturers to meet standards for spark-ignition engines if they were regulated as Otto-cycle engines in 40 CFR part 86, and vice versa.</P>
                    <P>• § 1036.205 describes a new requirement for imported engines to describe the general approach to importation (such as identifying authorized agents and ports of entry), and identifying a test lab in the United States where EPA can perform testing on certified engines. These steps are part of our ongoing effort to ensure that we have a compliance and enforcement program that is as effective for imported engines as for domestically produced engines. We have already adopted these same provisions for several types of nonroad engines.</P>
                    <P>• § 1036.210 specifies a process by which manufacturers are able to get preliminary approval for EPA decisions for questions that require lead time for preparing an application for certification. This might involve, for example, preparing a plan for durability testing, establishing engine families, identifying adjustable parameters, and creating a list of scheduled maintenance items.</P>
                    <P>• § 1036.225 describes how to amend an application for certification.</P>
                    <P>• We are revising 40 CFR 85.1701 to apply the exemption provisions described in 40 CFR part 1068 to heavy-duty highway engines starting in 2014. Manufacturers may optionally use the exemption provisions from part 1068 earlier. This involves only very minor changes in the terms and conditions associated with the various types of exemptions. This change will help us to implement a consistent compliance program for all engine and vehicle categories. We are similarly revising 40 CFR 85.1511 to reference the importation-related exemptions in part 1068 for all motor vehicles and motor vehicle engines.</P>
                    <P>• We are finalizing a provision allowing manufacturers to use the defect reporting provisions of 40 CFR part 1068 instead of those in 40 CFR part 85. This involves setting thresholds for investigating and reporting defects based on defect rates rather than absolute numbers of defects. Once we gain more experience with applying the defect-reporting provisions in 40 CFR part 1068 for motor vehicles, we will consider making those provisions mandatory, including any appropriate adjustments.</P>
                    <P>
                        In addition, we are revising 40 CFR 1068.210 and 1068.325 to address a concern raised by engine manufacturers. The provisions for importing engines under a temporary exemption disallow selling exempted engines even though some of the situations addressed depend on engine sales (such as delegated assembly). We have added clarifying language to the individual exemptions to describe whether or how engines may be sold or leased. In the case of the testing exemption in § 1068.210, this involves a further change to specify how 
                        <PRTPAGE P="57289"/>
                        a manufacturer must track the status and final disposition of exempted engines or equipment. We are also making a small change to the testing exemption to remove the administrative step of requiring an exchange of signed documents for the exemption to be effective. This will streamline the process for the testing exemption and make it more like that for other types of exemptions.
                    </P>
                    <HD SOURCE="HD3">(3) Test Procedures for Measuring Emissions From Heavy-Duty Vehicles</HD>
                    <P>We are finalizing a new part 1066 that contains general chassis-based test procedures for measuring emissions from a variety of vehicles, including vehicles over 14,000 pounds GVWR. However, we are not finalizing application of these procedures broadly at this time. The test procedures in 40 CFR part 86 continue to apply for vehicles under 14,000 pounds GVWR. The final part 1066 procedures applies only for any testing that would be required for larger vehicles. This could include “A to B” hybrid vehicle testing, coastdown testing, and potentially limited innovative technology testing. Nevertheless, we will likely consider in the future applying these procedures also for other heavy-duty vehicle testing and for light-duty vehicles, highway motorcycles, and/or nonroad recreational vehicles that rely on chassis-based testing.</P>
                    <P>As noted above, engine manufacturers are already using the test procedures in 40 CFR part 1065 instead of those originally adopted in 40 CFR part 86. The new procedures are written to apply generically for any type of engine and include the current state of technology for measurement instruments, calibration procedures, and other practices. We are finalizing the chassis-based test procedures in part 1066 to have a similar structure.</P>
                    <P>The final procedures in part 1066 reference large portions of part 1065 to align test specifications that apply equally to engine-based and vehicle-based testing, such as CVS and analyzer specifications and calibrations, test fuels, calculations, and definitions of many terms. Since several highway engine manufacturers were involved in developing the full range of specified procedures in part 1065, we are confident that many of these provisions are appropriate without modification for vehicle testing.</P>
                    <P>The remaining test specifications needed in part 1066 are mostly related to setting up, calibrating, and operating a chassis dynamometer. This also includes the coastdown procedures that are required for establishing the dynamometer load settings to ensure that the dynamometer accurately simulates in-use driving.</P>
                    <P>Current testing requirements related to dynamometer specifications rely on a combination of regulatory provisions, EPA guidance documents, and extensive know-how from industry experience that has led to a good understanding of best practices for operating a vehicle in the laboratory to measure emissions. We attempted in this rulemaking to capture this range of material, organizing these specifications and verification and calibration procedures to include a complete set of provisions to ensure that a dynamometer meeting these specifications would allow for carefully controlled vehicle operation such that emission measurements are accurate and repeatable.</P>
                    <P>The procedures are written with the understanding that heavy-duty highway manufacturers have, and need to have, single-roll electric dynamometers for testing. We are aware that this is not the case for other applications, such as all-terrain vehicles. We are not adopting specific provisions for testing with hydrokinetic dynamometers, we are already including a provision acknowledging that we may approve the use of dynamometers meeting alternative specifications if that is appropriate for the type of vehicle being tested and for the level of stringency represented by the corresponding emission standards.</P>
                    <P>Drafting a full set of test specifications highlights the mixed use of units for testing. Some chassis-based standards and procedures are written based largely on the International System of Units (SI), such as gram per kilometer (g/km) standards and kilometers per hour (kph) driving, while others are written based largely on English units (g/mile standards and miles per hour driving). The proposal includes a mix of SI and English units with instructions about converting units appropriately. However, most of the specifications and examples are written in English units. While this seems to be the prevailing practice for testing in the United States, we understand that vehicle testing outside the United States is almost universally done in SI units. In any case, dynamometers are produced with the capability of operating in either English or SI units. We believe there would be a substantial advantage toward the goal of achieving globally harmonized test procedures if we would write the test procedures based on SI units. This would also in several cases allow for more straightforward calculations, and reduced risk of rounding errors. For comparison, part 1065 is written almost exclusively in SI units. We sought comment on the use of units throughout part 1066. At this time we are not finalizing changes from our current approach.</P>
                    <P>A fundamental obstacle toward using SI units is the fact that some duty cycles are specified based on speeds in miles per hour. To address this, it would be appropriate to convert the applicable driving schedules to meter-per-second (m/s) values. Converting speeds to the nearest 0.01 m/s would ensure that the prescribed driving cycle does not change with respect to driving schedules that are specified to the nearest 0.1 mph. The regulations would include the appropriate mph (or kph) speeds to allow for a ready understanding of speed values (see 40 CFR part 1037, Appendix I). This would, for example, allow for drivers to continue to follow a mph-based speed trace. The ±2 mph tolerance on driving speeds could be converted to ±1.0 m/s, which corresponds to an effective speed tolerance of ±2.2 mph. This may involve a tightening or loosening of the existing speed tolerance, depending on whether manufacturers used the full degree of flexibility allowed for a mph tolerance value that is specified without a decimal place. Similarly, the Cruise cycles for heavy-duty vehicles could be specified as 24.5±0.5 m/s (54.8±1.1 mph) and 29.0±0.5 m/s (64.9±1.1 mph).</P>
                    <HD SOURCE="HD3">(4) Compliance Reports</HD>
                    <HD SOURCE="HD3">(a) Early Model Year Data</HD>
                    <P>This information is the same as for tractors early model year data in Section V.D(4)(a).</P>
                    <HD SOURCE="HD3">(b) Final Reports</HD>
                    <P>This information is the same as for tractors final reports in Section V.D(4)(b).</P>
                    <HD SOURCE="HD3">(c) Additional Required Information</HD>
                    <P>
                        Table V-7 below provides a summary of the types of requests, required application submission dates and the EPA and NHTSA regulations that apply.
                        <PRTPAGE P="57290"/>
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,r75,r75,12,12">
                        <TTITLE>Table V-7—Summary of Required Information for Compliance</TTITLE>
                        <BOXHD>
                            <CHED H="1">Submission</CHED>
                            <CHED H="1">Applies to</CHED>
                            <CHED H="1">Required submissions date</CHED>
                            <CHED H="1">EPA regulation reference</CHED>
                            <CHED H="1">
                                NHTSA
                                <LI>regulation</LI>
                                <LI>reference</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Small business exemptions</ENT>
                            <ENT>Vehicle or engine manufacturers meeting the Small Business Administration (SBA) size criteria of a small business as described in 13 CFR 121.201</ENT>
                            <ENT>Before introducing any excluded vehicle into U.S. commerce</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Incentives for early introduction</ENT>
                            <ENT>The provisions apply with respect to tractors and vocational vehicles produced in model years before 2014</ENT>
                            <ENT>EPA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Air condition leakage exemption for vocational vehicles</ENT>
                            <ENT>Vocational Vehicles excluded from § 1037.115</ENT>
                            <ENT>EPA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Model year 2014 N
                                <E T="52">2</E>
                                O standards
                            </ENT>
                            <ENT>
                                Manufacturers that choose to show compliance with the MY 2014 N
                                <E T="52">2</E>
                                O standards requesting to use an engineering analysis
                            </ENT>
                            <ENT>EPA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Exemption for electric vehicles</ENT>
                            <ENT>
                                All electric vehicles are deemed to have zero exhaust emissions of CO
                                <E T="52">2</E>
                                , CH
                                <E T="52">4</E>
                                , and N
                                <E T="52">2</E>
                                O
                            </ENT>
                            <ENT>End of December prior to model year</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Off-road exemption</ENT>
                            <ENT>Manufacturers wanting to exclude vocational vehicles from vehicle standards</ENT>
                            <ENT>EPA must be notified before the manufacturer submits it applications for certificates of conformity</ENT>
                            <ENT>§ 1037.150</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Exemption from EOY reports</ENT>
                            <ENT>Manufactures with surplus credits at the end of the model year</ENT>
                            <ENT>90-days after the calendar year ends</ENT>
                            <ENT>§ 1037.730</ENT>
                            <ENT>§ 535.8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">G. Penalties</HD>
                    <HD SOURCE="HD3">(1) Overview</HD>
                    <P>In the NPRM, NHTSA proposed to assess civil penalties for non-compliance with fuel consumption standards. NHTSA's authority under EISA, as codified at 49 U.S.C. 32902(k), requires the agency to determine appropriate measurement metrics, test procedures, standards, and compliance and enforcement protocols for HD vehicles. NHTSA interprets its authority to develop an enforcement program to include the authority to determine and assess civil penalties for noncompliance that would impose penalties based on the following discussions.</P>
                    <P>In cases of noncompliance, the agency explained in the NPRM that it would establish civil penalties based on consideration of the following factors:</P>
                    <FP SOURCE="FP-1">• Gravity of the violation.</FP>
                    <FP SOURCE="FP-1">• Size of the violator's business.</FP>
                    <FP SOURCE="FP-1">• Violator's history of compliance with applicable fuel consumption standards.</FP>
                    <FP SOURCE="FP-1">• Actual fuel consumption performance related to the applicable standard.</FP>
                    <FP SOURCE="FP-1">• Estimated cost to comply with the regulation and applicable standard.</FP>
                    <FP SOURCE="FP-1">• Quantity of vehicles or engines not complying.</FP>
                    <FP SOURCE="FP-1">• Civil penalties paid under CAA section 205 (42 U.S.C. 7524) for non-compliance for the same vehicles or engines.</FP>
                    <P>
                        NHTSA proposed to consider these factors in determining civil penalties in order to help ensure, given the agency's wide discretion, that penalties would be fair and appropriate, and not duplicative of EPA penalties. The NPRM expressly stated that neither agency intended to impose duplicative civil penalties, and that both agencies would give consideration to civil penalties imposed by the other in the case of non-compliance with its own regulations. 
                        <E T="03">See</E>
                         NPRM at 74280.
                    </P>
                    <P>EMA, Volvo, the Truck Renting and Leasing Association (TRALA), and Navistar nevertheless commented that a dual enforcement scheme with separate NHTSA and EPA penalties could result in duplicative penalties, as manufacturers could be assessed penalties twice for the same violation.</P>
                    <P>
                        The possibility of more than one prosecution or enforcement action arising from the same overall body of facts does not present a novel issue. It commonly arises where there is overlapping jurisdiction, such as where the federal government and a state government have jurisdiction. The issue of multiple or sequential prosecutions may be addressed as a matter of administrative policy and discretion.
                        <SU>319</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>319</SU>
                             A well-known example is the Department of Justice's petite policy, an internal guide on whether to pursue federal prosecution after a state prosecution. The petite policy is considered “merely a housekeeping provision,” and prosecution remains entirely within the Department's discretion. 
                            <E T="03">U.S.</E>
                             v. 
                            <E T="03">Barrett,</E>
                             496 F.3d 1079, 1120 (10th Cir. 2007).
                        </P>
                    </FTNT>
                    <P>Both NHTSA and EPA are charged with regulating medium-duty and heavy-duty trucks; NHTSA regulates them under EISA and EPA regulates them under the CAA. Both agencies also have compliance review and enforcement responsibilities for their respective regulatory requirements. The same set of underlying facts may result in a violation of EISA and a violation of the CAA. The agencies recognize the above concerns, and intend to address them through appropriate consultation. The details of the consultation and coordination between the agencies regarding enforcement will be set forth in a memorandum of understanding to be developed by EPA and NHTSA.</P>
                    <P>NHTSA believes that the above description adequately describes the process by which civil penalties may be assessed by both agencies. Therefore, for the final action, penalties for a violation of a fuel consumption standard will be based on the gravity of the violation, the size of the violator's business, the violator's history of compliance with applicable fuel consumption standards, the actual fuel consumption performance related to the applicable standard, the estimated cost to comply with the regulation and applicable standard, and the quantity of vehicles or engines not complying. The collaborative enforcement process will ensure that the total penalties assessed will not be duplicative or excessive.</P>
                    <P>
                        NHTSA would also like to clarify that the “estimated cost to comply with the regulation and applicable standard,” will be used to ensure that penalties for non-compliance will not be less than the cost of compliance. It would be contrary to the purpose of the regulation 
                        <PRTPAGE P="57291"/>
                        for the penalty scheme to incentivize noncompliance.
                    </P>
                    <P>The final civil penalty amount NHTSA could impose would not exceed the limit that EPA is authorized to impose under the CAA. The potential maximum civil penalty for a manufacturer would be calculated as follows in Equation V-1:</P>
                    <HD SOURCE="HD1">Equation V-1: Aggregate Maximum Civil Penalty</HD>
                    <FP SOURCE="FP-2">Aggregate Maximum Civil Penalty for a Non-Compliant Regulatory Category = (CAA Limit) × (production volume within the regulatory category)</FP>
                    <P>EPA has occasionally in the past conducted rulemakings to provide for nonconformance penalties— monetary penalties that allow a manufacturer to sell engines or vehicles that do not meet an emissions standard. Nonconformance penalties are authorized for heavy-duty engines and vehicles under section 206(g) of the CAA. Three basic criteria have been established by rulemaking for determining the eligibility of emissions standards for nonconformance penalties in any given model year: (1) The emissions standard in question must become more difficult to meet, (2) substantial work must be required in order to meet the standard, and (3) a technological laggard must be likely to develop (40 CFR 86.1103-87). A technological laggard is a manufacturer who cannot meet a particular emissions standard due to technological (not economic) difficulties and who, in the absence of nonconformance penalties, might be forced from the marketplace. The process to determine if these criteria are met and to establish penalty amounts and conditions is carried out via rulemaking, as required by the CAA. The CAA (in section 205) also lays out requirements for the assessment of civil penalties for noncompliance with emissions standards.</P>
                    <P>As discussed in detail in Section III, the agencies have determined that the final GHG and fuel consumption standards are readily feasible, and we do not believe a technological laggard will emerge in any sector covered by these final standards. In addition to the standards being premised on use of already-existing, cost-effective technologies, there are a number of flexibilities and alternative standards built into the proposal. However, in the case of potential non-conformance, civil penalties will ensure that adequate deterrence for non-conformance exists.</P>
                    <HD SOURCE="HD3">(2) NHTSA's Penalty Process</HD>
                    <P>NHTSA proposed a detailed enforcement process in the NPRM. As proposed, enforcement would begin with a notice of violation, after which the respondent may either pay the penalty proposed in the notice of violation or dispute it by requesting an agency hearing. For a party that did not pay the proposed penalty or request a hearing within 30 days of the notice of violation, a finding of default would be entered and the penalty set forth in the notice of violation assessed. If a hearing is timely requested, the respondent would receive written notice of the time, date and location of the hearing. The respondent would have the right to counsel and to examine, respond to and rebut evidence presented by the Chief Counsel. If civil penalties greater than $250,000,000 were assessed in the Hearing Officer's final order, that order would contain a statement advising the party of the right to appeal to the NHTSA Administrator. In the event of a timely appeal, the decision of the Administrator would be a final agency action. This structure was intended to ensure that a party was afforded ample opportunity to be heard.</P>
                    <P>Several manufacturers commented that NHTSA's penalty procedures should be more formal than was proposed in the NPRM. EMA, Volvo and Navistar commented that the penalty procedures should be subject to the Administrative Procedure Act (APA) review requirements. EMA, Volvo and Navistar, and TRALA commented that the penalty procedures violated due process requirements. EMA argued that NHTSA must expressly grant a right to judicial review, and EMA and Navistar argued that the absence of an administrative appeals process for penalties under $250,000,000 would violate due process. Volvo faulted NHTSA for not classifying the hearing officer's decision as a final agency action, and stated that specifications regarding who could be a hearing officer should align with those specified for the light-duty program, which was laid out in 49 CFR 511.3.</P>
                    <P>
                        As noted in the NPRM, the APA administrative hearing requirements of Sections 554, 556, and 557 are not required where formal procedures are not required by statute (generally, the organic statute must provide that the administrative proceeding must be an adjudication, determined on the record after the opportunity for an agency hearing, sometimes referenced as an opportunity for hearing on the record). 
                        <E T="03">See e.g.,</E>
                         5 U.S.C. Section 554. Where a formal adjudication is not required by statute, in general, agencies adopt and apply informal processes. While the compliance, civil penalty and appeals provisions of 49 U.S.C. Sections 32911 and 32914 require formal adjudication in accordance with APA requirements, those sections only apply to the light-duty fuel economy program. In contrast, for the heavy-duty program of Section 32902(k), the Congress did not require formal adjudication in accordance with the APA. Therefore, informal adjudication procedures may be applied. NHTSA will not adopt the procedures of by 5 U.S.C. Sections 554, 556, or 557 for the final rule.
                    </P>
                    <P>
                        While the APA requirements for formal hearing procedures do not apply to NHTSA's enforcement under Section 32902(k), due process requirements do apply. NHTSA believes that formal procedures are neither required by statute nor necessary for this enforcement process to meet due process requirements. NHTSA expects that the cases will not be complex. In general, there will be one or two issues: (1) Compliance with the regulations and, if not, (2) the appropriate civil penalty. Compliance likely will involve narrow technical questions under the regulations being adopted today. Non-compliance with applicable fuel consumption standards will be determined by utilizing the certified and reported CO
                        <E T="52">2</E>
                         emissions and fuel consumption data provided by EPA as described in this part, and after considering all the flexibilities available under Section 535.7. Much of the evidence will be materials developed by the respondent. There likely will not be wide ranging issues. The parties will have ample opportunity to present their positions. A hearing officer can readily address the sorts of questions that are likely to arise. Second, if there is a noncompliance, there will be the question of the appropriate penalty. NHTSA's regulations contain factors to be considered in assessing penalties. Again, the parties will have ample opportunity to present their positions. Ultimately, the agency's final decision must be sufficiently reasoned to withstand judicial review, based on the arbitrary and capricious standard.
                    </P>
                    <P>
                        To address commenters' concerns about the process provided, NHTSA made several adjustments and clarifications in the final rule. The final rule provides that there will be a written decision of the Hearing Officer, and the assessment of a civil penalty by a hearing officer shall be set forth in an accompanying final order. Together, these constitute the final agency action. NHTSA has also revisited the minimum penalty level for an administrative appeal to the NHTSA Administrator and decided to lower the level significantly, to $1,000,000. This provides a second level of review. NHTSA believes this 
                        <PRTPAGE P="57292"/>
                        will promote an efficient use of administrative remedies and a further opportunity to be heard at the administrative level. Of course, if a party files an appeal with the NHTSA Administrator, the Hearing Officer's decision and order at that juncture shall no longer be final agency action.
                    </P>
                    <P>NHTSA has considered the specifications of the Hearing Officer and determined that they are adequate for informal agency hearings of this nature. However, the agency will add a clarification to the final rule that specifies that the Hearing Officer will be appointed by the Administrator. Further, in addition to having no prior connection with the case and no responsibility, direct or supervisory, for the investigation of cases referred for the assessment of civil penalties, the Hearing Officer will have no duties related to the light-duty fuel economy or medium- and heavy-duty fuel efficiency programs.</P>
                    <P>
                        NHTSA has also considered EMA's comment that a right to judicial review must be specified in the regulatory text. The agency does not agree with this concern. Parties, of course, cannot confer jurisdiction; only Congress can do so. 
                        <E T="03">Whitman</E>
                         v. 
                        <E T="03">Department of Transportation,</E>
                         547 U.S. 512, 514 (2006); 
                        <E T="03">Weinberger</E>
                         v. 
                        <E T="03">Bentex Pharmaceuticals, Inc.,</E>
                         412 U.S. 645, 652 (1973). Moreover, judicial review of a final agency action is presumed. 
                        <E T="03">United States</E>
                         v. 
                        <E T="03">Fausto,</E>
                         484 U.S. 439, 452 (1998), citing 
                        <E T="03">Abbot Laboratories</E>
                         v. 
                        <E T="03">Gardner,</E>
                         387 U.S. 136, 140 (1967). See generally, 28 U.S.C. Section 1331. Therefore, NHTSA has determined that the right to judicial review does not need to be specified in the regulatory text.
                    </P>
                    <HD SOURCE="HD1">VI. How will this program impact fuel consumption, GHG emissions, and climate change?</HD>
                    <HD SOURCE="HD2">A. What methodologies did the agencies use to project GHG emissions and fuel consumption impacts?</HD>
                    <P>
                        EPA and NHTSA used EPA's official mobile source emissions inventory model named Motor Vehicle Emissions Simulator (MOVES2010),
                        <SU>320</SU>
                        <FTREF/>
                         to estimate emission and fuel consumption impacts of these final rules. MOVES has the capability to take in user inputs to modify default data to better estimate emissions for different scenarios, such as different regulatory alternatives, state implementation plans (SIPs), geographic locations, vehicle activity, and microscale projects.
                    </P>
                    <FTNT>
                        <P>
                            <SU>320</SU>
                             MOVES homepage: 
                            <E T="03">http://www.epa.gov/otaq/models/moves/index.htm.</E>
                             Version MOVES2010 was used for emissions impacts analysis for this action. Current version as of September 14, 2010 is an updated version named MOVES2010a, available directly from the MOVES homepage. To replicate results from this action, MOVES2010 must be used.
                        </P>
                    </FTNT>
                    <P>
                        The agencies performed multiple MOVES runs to establish reference case and control case emission inventories and fuel consumption values. The agencies ran MOVES with user input databases that reflected characteristics of the final rules, such as emissions improvements and recent sales projections. Some post-processing of the model output was required to ensure proper results. The agencies ran MOVES for non-GHGs, CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , and N
                        <E T="52">2</E>
                        O for calendar years 2005, 2018, 2030, and 2050. Additional runs were performed for just the three greenhouse gases and for fuel consumption for every calendar year from 2014 to 2050, inclusive, which fed the economy-wide modeling, monetized greenhouse gas benefits estimation, and climate impacts analyses.
                    </P>
                    <P>The agencies also used MOVES to estimate emissions and fuel consumption impacts for the other alternatives considered and described in Section IX.</P>
                    <HD SOURCE="HD2">B. MOVES Analysis</HD>
                    <HD SOURCE="HD3">(i) Inputs and Assumptions</HD>
                    <P>The analysis performed for the final action mirrors what was done for the proposal. The methods and models are the same, with differences lying primarily in the inputs, as a result of updates in the program, standards, and baseline data.</P>
                    <HD SOURCE="HD3">(a) Reference Run Updates</HD>
                    <P>Since MOVES2010a vehicle sales and activity data were developed from AEO2009, EPA first updated these data using sales and activity estimates from AEO2011. MOVES2010a defaults were used for all other parameters to estimate the reference case emissions inventories.</P>
                    <HD SOURCE="HD3">(b) Control Run Updates</HD>
                    <P>
                        EPA developed additional user input data for MOVES runs to estimate control case inventories. To account for improvements of engine and vehicle efficiency, EPA developed several user inputs to run the control case in MOVES. As explained at proposal, since MOVES does not operate based on Heavy-duty FTP cycle results, EPA used the percent reduction in engine CO
                        <E T="52">2</E>
                         emissions expected due to the final rules to develop energy inputs for the control case runs. 75 FR at 74280. Also, EPA used the percent reduction in aerodynamic drag and tire rolling resistance coefficients and reduction in average total running weight (gross combined weight) expected from the final rules to develop road load input for the control case. The sales and activity data updates used in the reference case were used in the control case. Details of all the MOVES runs, input data tables, and post-processing steps are available in the docket (EPA-HQ-OAR-2010-0162).
                    </P>
                    <P>
                        Table VI-1 and Table VI-2 describe the estimated expected reductions from these final rules, which were input into MOVES for estimating control case emissions inventories.
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>321</SU>
                             Section II of this preamble discusses an alternative engine standard for the HD diesel engines in the 2014, 2015, and 2016 model years. To the extent that engines using this alternative are expected to have baseline emissions greater than the industry average, the reduction from the industry average projected in this program would be reduced.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,r50,12,12">
                        <TTITLE>
                            Table VI-1—Estimated Reductions in Engine CO
                            <E T="52">2</E>
                             Emission Rates 
                            <SU>321</SU>
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">GVWR class</CHED>
                            <CHED H="1">Fuel</CHED>
                            <CHED H="1">Model years</CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                 reduction from 2010 MY
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">HHD (Class 8a-8b)</ENT>
                            <ENT>Diesel</ENT>
                            <ENT>2014-2016</ENT>
                            <ENT>3%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2017+</ENT>
                            <ENT>6%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">MHD (Class 6-7) and LHD (Class 4-5)</ENT>
                            <ENT>Diesel</ENT>
                            <ENT>2014-2016</ENT>
                            <ENT>5%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2017+</ENT>
                            <ENT>9%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Gasoline</ENT>
                            <ENT>2016+</ENT>
                            <ENT>5%</ENT>
                        </ROW>
                    </GPOTABLE>
                    <PRTPAGE P="57293"/>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table VI-2—Estimated Reductions in Rolling Resistance Coefficient, Aerodynamic Drag Coefficient, and Gross Combined Weight</TTITLE>
                        <BOXHD>
                            <CHED H="1">Truck type</CHED>
                            <CHED H="1">
                                Reduction in tire CRR from
                                <LI>baseline</LI>
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="1">
                                Reduction in Cd from baseline 
                                <LI>(percent)</LI>
                            </CHED>
                            <CHED H="1">
                                Weight reduction 
                                <LI>(lbs.)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Combination long-haul</ENT>
                            <ENT>9.6</ENT>
                            <ENT>12.1</ENT>
                            <ENT>400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Combination short-haul</ENT>
                            <ENT>7.0</ENT>
                            <ENT>5.9</ENT>
                            <ENT>321</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Straight trucks, refuse trucks, motor homes, transit buses, and other vocational vehicles</ENT>
                            <ENT>5.0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        Since nearly all HD pickup trucks and vans will be certified on a chassis dynamometer, the CO
                        <E T="52">2</E>
                         reductions for these vehicles will not be represented as engine and road load reduction components, but rather as total vehicle CO
                        <E T="52">2</E>
                         reductions. These estimated reductions are described in Table VI-3.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,r50,14,14">
                        <TTITLE>
                            Table VI-3—Estimated Total Vehicle CO
                            <E T="52">2</E>
                             Reductions for HD Pickup Trucks and Vans
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">GVWR Class</CHED>
                            <CHED H="1">Fuel</CHED>
                            <CHED H="1">Model year</CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                 reduction from baseline
                                <LI>(percent)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks and Vans</ENT>
                            <ENT>Gasoline</ENT>
                            <ENT>2014</ENT>
                            <ENT>1.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT O="xl">2015</ENT>
                            <ENT>2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2016</ENT>
                            <ENT>4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2017</ENT>
                            <ENT>6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2018+</ENT>
                            <ENT>10</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Diesel</ENT>
                            <ENT>2014</ENT>
                            <ENT>2.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2015</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2016</ENT>
                            <ENT>6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2017</ENT>
                            <ENT>9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl"/>
                            <ENT>2018+</ENT>
                            <ENT>15</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">C. What are the projected reductions in fuel consumption and GHG emissions?</HD>
                    <P>EPA and NHTSA expect significant reductions in GHG emissions and fuel consumption from these final rules—emission reductions from both downstream (tailpipe) and upstream (fuel production and distribution) sources, and fuel consumption reductions from more efficient vehicles. Increased vehicle efficiency and reduced vehicle fuel consumption will also reduce GHG emissions from upstream sources. The following subsections summarize the GHG emissions and fuel consumption reductions expected from these final rules.</P>
                    <HD SOURCE="HD3">(1) Downstream (Tailpipe)</HD>
                    <P>
                        Consistent with the proposal, EPA used MOVES to estimate downstream GHG inventories from these final rules. We expect reductions in CO
                        <E T="52">2</E>
                         from all heavy-duty vehicle categories. The reductions come from engine and vehicle improvements. EPA expects N
                        <E T="52">2</E>
                        O emissions to increase very slightly because of a rebound in vehicle miles traveled (VMT) and because significant vehicle emissions reductions are not expected from these final rules. In the proposal, we did not account for differences in methane emissions from use of auxiliary power units (APUs) during extended idling from sleeper cab combination tractors. After accounting for these differences, EPA expects methane emissions to decrease primarily due to differences in hydrocarbon emission characteristics between on-road diesel engines and APUs. The amount of methane emitted as a fraction of total hydrocarbons is significantly less for APUs than for diesel engines equipped with diesel particulate filters. Overall, downstream GHG emissions will be reduced significantly and are described in the following subsections.
                    </P>
                    <P>
                        For CO
                        <E T="52">2</E>
                         and fuel consumption, the total energy consumption “pollutant” was run in MOVES rather than CO
                        <E T="52">2</E>
                         itself. The energy was converted to fuel consumption based on fuel heating values assumed in the Renewable Fuels Standard and used in the development of MOVES emission and energy rates. These values are 117,250 kJ/gallon for gasoline blended with ten percent ethanol (E10) 
                        <SU>322</SU>
                        <FTREF/>
                         and 138,451 kJ/gallon for diesel.
                        <SU>323</SU>
                        <FTREF/>
                         To calculate CO
                        <E T="52">2</E>
                        , the agencies assumed a CO
                        <E T="52">2</E>
                         content of 8,576 g/gallon for E10 and 10,180 g/gallon for diesel. Table VI-4 shows the fleet-wide GHG reductions and fuel savings from reference case to control case through the lifetime of model year 2014 through 2018 heavy-duty vehicles. Table VI-5 shows the downstream GHG emissions reductions and fuel savings in 2018, 2030, and 2050. The analysis follows what was done for the proposal. We did not receive comments indicating that this analysis was inappropriate or insufficient for estimating downstream emissions impacts of this program.
                    </P>
                    <FTNT>
                        <P>
                            <SU>322</SU>
                             Renewable Fuels Standards assumptions of 115,000 BTU/gallon gasoline (E0) and 76,330 BTU/gallon ethanol (E100) weighted 90% and 10%, respectively, and converted to kJ at 1.055 kJ/BTU.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>323</SU>
                             MOVES2004 Energy and Emission Inputs. EPA420-P-05-003, March 2005. 
                            <E T="03">http://www.epa.gov/otaq/models/ngm/420p05003.pdf.</E>
                        </P>
                    </FTNT>
                    <PRTPAGE P="57294"/>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,18,18">
                        <TTITLE>Table VI-4—Model Year 2014 Through 2018 Lifetime GHG Reductions and Fuel Savings by Heavy-Duty Truck Category</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                Downstream GHG
                                <LI>reductions </LI>
                                <LI>
                                    (MMT CO
                                    <E T="52">2</E>
                                    eq)
                                </LI>
                            </CHED>
                            <CHED H="1">
                                Fuel Savings 
                                <LI>(billion gallons)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">HD pickups/vans</ENT>
                            <ENT>18</ENT>
                            <ENT>1.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational</ENT>
                            <ENT>24</ENT>
                            <ENT>2.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Combination short-haul (Day cabs)</ENT>
                            <ENT>50</ENT>
                            <ENT>4.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Combination long-haul (Sleeper cabs)</ENT>
                            <ENT>135</ENT>
                            <ENT>12.9</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s100,18,18,18">
                        <TTITLE>Table VI-5—Annual Downstream GHG Emissions Reductions and Fuel Savings in 2018, 2030, and 2050</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                Downstream GHG
                                <LI>reductions </LI>
                                <LI>
                                    (MMT CO
                                    <E T="52">2</E>
                                    eq)
                                </LI>
                            </CHED>
                            <CHED H="1">
                                Diesel Savings 
                                <LI>(million gallons)</LI>
                            </CHED>
                            <CHED H="1">
                                Gasoline Savings 
                                <LI>(million gallons)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>22</ENT>
                            <ENT>2,123</ENT>
                            <ENT>59</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>61</ENT>
                            <ENT>5,670</ENT>
                            <ENT>349</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>89</ENT>
                            <ENT>8,158</ENT>
                            <ENT>522</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(2) Upstream (Fuel Production and Distribution)</HD>
                    <P>Using the same approach as used in the NPRM, the upstream GHG emission reductions associated with the production and distribution of fuel were projected using emission factors from DOE's “Greenhouse Gases, Regulated Emissions, and Energy Use in Transportation” (GREET1.8) model, with some modifications consistent with the Light-Duty 2012-2016 MY vehicle rule. More information regarding these modifications can be found in the RIA Chapter 5. These estimates include both international and domestic emission reductions, since reductions in foreign exports of finished gasoline and/or crude make up a significant share of the fuel savings resulting from the GHG standards. Thus, significant portions of the upstream GHG emission reductions will occur outside of the United States; a breakdown and discussion of projected international versus domestic reductions is included in the RIA Chapter 5. GHG emission reductions from upstream sources can be found in Table VI-6.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>Table VI-6—Annual Upstream GHG Emissions Reductions in 2018, 2030, and 2050</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                  
                                <LI>(MMT)</LI>
                            </CHED>
                            <CHED H="1">
                                CH
                                <E T="52">4</E>
                                  
                                <LI>
                                    (MMT CO
                                    <E T="52">2</E>
                                    eq)
                                </LI>
                            </CHED>
                            <CHED H="1">
                                N
                                <E T="52">2</E>
                                O 
                                <LI>
                                    (MMT CO
                                    <E T="52">2</E>
                                    eq)
                                </LI>
                            </CHED>
                            <CHED H="1">
                                Total GHG 
                                <LI>
                                    (MMT CO
                                    <E T="52">2</E>
                                    eq)
                                </LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>5.1</ENT>
                            <ENT>0.9</ENT>
                            <ENT>0.02</ENT>
                            <ENT>6.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>12.2</ENT>
                            <ENT>1.9</ENT>
                            <ENT>0.06</ENT>
                            <ENT>14.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>16.4</ENT>
                            <ENT>2.5</ENT>
                            <ENT>0.08</ENT>
                            <ENT>19.0</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(3) HFC Emissions</HD>
                    <P>
                        Based on projected HFC emission reductions due to the final AC leakage standards, EPA estimates the HFC reductions to be 120,000 metric tons of CO
                        <E T="52">2</E>
                        eq in 2018, 440,000 metric tons of CO
                        <E T="52">2</E>
                        eq emissions in 2030 and 600,000 metric tons CO
                        <E T="52">2</E>
                        eq in 2050, as detailed in RIA Chapter 5.3.4.
                    </P>
                    <HD SOURCE="HD3">(4) Total (Upstream + Downstream + HFC)</HD>
                    <P>Table VI-7 combines downstream results from Table VI-5, upstream results Table VI-6, and HFC results to show total GHG reductions for calendar years 2018, 2030, and 2050.</P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s25,14">
                        <TTITLE>Table VI-7—Annual Total GHG Emissions Reductions in 2018, 2030, and 2050</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                GHG reductions 
                                <LI>
                                    (MMT CO
                                    <E T="52">2</E>
                                    eq)
                                </LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>29</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>76</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>108</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">D. Overview of Climate Change Impacts From GHG Emissions</HD>
                    <P>
                        Once emitted, GHGs that are the subject of this regulation can remain in the atmosphere for decades to millennia, meaning that 1) their concentrations become well-mixed throughout the global atmosphere regardless of emission origin, and 2) their effects on climate are long lasting. GHG emissions come mainly from the combustion of fossil fuels (coal, oil, and gas), with additional contributions from the clearing of forests and agricultural activities. Transportation activities, in aggregate, are the second largest contributor to total U.S. GHG emissions (27 percent of total emissions) despite a decline in emissions from this sector during 2008.
                        <SU>324</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>324</SU>
                             U.S. EPA (2010) Inventory of U.S. Greenhouse Gas Emissions and Sinks: 1990-2007. EPA-430-R-10-006, Washington, DC.
                        </P>
                    </FTNT>
                    <P>
                        This section provides a summary of observed and projected changes in GHG emissions and associated climate change impacts. The source document for the section below is the Technical Support Document (TSD) 
                        <SU>325</SU>
                        <FTREF/>
                         for EPA's Endangerment and Cause or Contribute Findings Under the Clean Air Act (74 FR 66496, December 15, 2009). Below is the Executive Summary of the TSD which provides technical support for the endangerment and cause or contribute analyses concerning GHG emissions under section 202(a) of the CAA. The TSD reviews observed and 
                        <PRTPAGE P="57295"/>
                        projected changes in climate based on current and projected atmospheric GHG concentrations and emissions, as well as the related impacts and risks from climate change that are projected in the absence of GHG mitigation actions, including this program and other U.S. and global actions. The TSD was updated and revised based on expert technical review and public comment as part of EPA's rulemaking process for the final Endangerment Findings. The key findings synthesized here and the information throughout the TSD are primarily drawn from the assessment reports of the Intergovernmental Panel on Climate Change (IPCC), the U.S. Climate Change Science Program (CCSP), the U.S. Global Change Research Program (USGCRP), and NRC.
                        <SU>326</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>325</SU>
                             
                            <E T="03">See</E>
                             Endangerment TSD, Note 10 above.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>326</SU>
                             For a complete list of core references from IPCC, USGCRP/CCSP, NRC and others relied upon for development of the TSD for EPA's Endangerment and Cause or Contribute Findings 
                            <E T="03">See</E>
                             section 1(b), specifically, Table 1.1 of the TSD Docket: EPA-HQ-OAR-2009-0171-11645.
                        </P>
                    </FTNT>
                    <P>
                        In May 2010, the NRC published its comprehensive assessment, “Advancing the Science of Climate Change.” 
                        <SU>327</SU>
                        <FTREF/>
                         It concluded that “climate change is occurring, is caused largely by human activities, and poses significant risks for—and in many cases is already affecting—a broad range of human and natural systems.” Furthermore, the NRC stated that this conclusion is based on findings that are “consistent with the conclusions of recent assessments by the U.S. Global Change Research Program, the Intergovernmental Panel on Climate Change's Fourth Assessment Report, and other assessments of the state of scientific knowledge on climate change.” These are the same assessments that served as the primary scientific references underlying the Administrator's Endangerment Finding. Importantly, this recent NRC assessment represents another independent and critical inquiry of the state of climate change science, separate and apart from the previous IPCC and USGCRP assessments.
                    </P>
                    <FTNT>
                        <P>
                            <SU>327</SU>
                             National Research Council (NRC) (2010). Advancing the Science of Climate Change. National Academy Press. Washington, DC.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(1) Observed Trends in Greenhouse Gas Emissions and Concentrations</HD>
                    <P>
                        The primary long-lived GHGs directly emitted by human activities include CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , N
                        <E T="52">2</E>
                        O, HFCs, PFCs, and SF
                        <E T="52">6</E>
                        . Greenhouse gases have a warming effect by trapping heat in the atmosphere that would otherwise escape to space. In 2007, U.S. GHG emissions were 7,150 teragrams 
                        <SU>328</SU>
                        <FTREF/>
                         of CO
                        <E T="52">2</E>
                         equivalent 
                        <SU>329</SU>
                        <FTREF/>
                         (TgCO
                        <E T="52">2</E>
                        eq). The dominant gas emitted is CO
                        <E T="52">2</E>
                        , mostly from fossil fuel combustion. Methane is the second largest component of U.S. emissions, followed by N
                        <E T="52">2</E>
                        O and the fluorinated gases (HFCs, PFCs, and SF
                        <E T="52">6</E>
                        ). Electricity generation is the largest emitting sector (34 percent of total U.S. GHG emissions), followed by transportation (27 percent) and industry (19 percent).
                    </P>
                    <FTNT>
                        <P>
                            <SU>328</SU>
                             One teragram (Tg) = 1 million metric tons. 1 metric ton = 1,000 kilograms = 1.102 short tons = 2,205 pounds.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>329</SU>
                             Long-lived GHGs are compared and summed together on a CO
                            <E T="52">2</E>
                            -equivalent basis by multiplying each gas by its global warming potential (GWP), as estimated by IPCC. In accordance with United Nations Framework Convention on Climate Change (UNFCCC) reporting procedures, the U.S. quantifies GHG emissions in the official U.S. greenhouse gas inventory submission to the UNFCCC using the 100-year time frame values for GWPs established in the 1996 IPCC Second Assessment Report.
                        </P>
                    </FTNT>
                    <P>
                        Transportation sources under section 202(a) 
                        <SU>330</SU>
                        <FTREF/>
                         of the CAA (passenger cars, light-duty trucks, other trucks and buses, motorcycles, and passenger cooling) emitted 1,649 TgCO
                        <E T="52">2</E>
                        eq in 2007, representing 23 percent of total U.S. GHG emissions. U.S. transportation sources under section 202(a) made up 4.3 percent of total global GHG emissions in 2005,
                        <SU>331</SU>
                        <FTREF/>
                         which, in addition to the United States as a whole, ranked only behind total GHG emissions from China, Russia, and India but ahead of Japan, Brazil, Germany, and the rest of the world's countries. In 2005, total U.S. GHG emissions were responsible for 18 percent of global emissions, ranking only behind China, which was responsible for 19 percent of global GHG emissions. The scope of this final action focuses on GHG emissions under section 202(a) from heavy-duty source categories (see Section II).
                    </P>
                    <FTNT>
                        <P>
                            <SU>330</SU>
                             Source categories under Section 202(a) of the CAA are a subset of source categories considered in the transportation sector and do not include emissions from non-highway sources such as boats, rail, aircraft, agricultural equipment, construction/mining equipment, and other off-road equipment.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>331</SU>
                             More recent emission data are available for the United States and other individual countries, but 2005 is the most recent year for which data for all countries and all gases are available.
                        </P>
                    </FTNT>
                    <P>
                        The global atmospheric CO
                        <E T="52">2</E>
                         concentration has increased about 38 percent from pre-industrial levels to 2009, and almost all of the increase is due to anthropogenic emissions. The global atmospheric concentration of CH
                        <E T="52">4</E>
                         has increased by 149 percent since pre-industrial levels (through 2007); and the N
                        <E T="52">2</E>
                        O concentration has increased by 23 percent (through 2007). The observed concentration increase in these gases can also be attributed primarily to anthropogenic emissions. The industrial fluorinated gases, HFCs, PFCs, and SF
                        <E T="52">6</E>
                        , have relatively low atmospheric concentrations but the total radiative forcing due to these gases is increasing rapidly; these gases are almost entirely anthropogenic in origin.
                    </P>
                    <P>
                        Historic data show that current atmospheric concentrations of the two most important directly emitted, long-lived GHGs (CO
                        <E T="52">2</E>
                         and CH
                        <E T="52">4</E>
                        ) are well above the natural range of atmospheric concentrations compared to at least the last 650,000 years. Atmospheric GHG concentrations have been increasing because anthropogenic emissions have been outpacing the rate at which GHGs are removed from the atmosphere by natural processes over timescales of decades to centuries.
                    </P>
                    <HD SOURCE="HD3">(2) Observed Effects Associated With Global Elevated Concentrations of GHGs</HD>
                    <P>
                        Greenhouse gases, at current (and projected) atmospheric concentrations, remain well below published exposure thresholds for any direct adverse health effects and are not expected to pose exposure risks (
                        <E T="03">i.e.,</E>
                         from breathing/inhalation).
                    </P>
                    <P>
                        The global average net effect of the increase in atmospheric GHG concentrations, plus other human activities (
                        <E T="03">e.g.,</E>
                         land-use change and aerosol emissions), on the global energy balance since 1750 has been one of warming. This total net heating effect, referred to as forcing, is estimated to be +1.6 (+0.6 to +2.4) watts per square meter (W/m
                        <SU>2</SU>
                        ), with much of the range surrounding this estimate due to uncertainties about the cooling and warming effects of aerosols. However, as aerosol forcing has more regional variability than the well-mixed, long-lived GHGs, the global average might not capture some regional effects. The combined radiative forcing due to the cumulative (
                        <E T="03">i.e.,</E>
                         1750 to 2005) increase in atmospheric concentrations of CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , and N
                        <E T="52">2</E>
                        O is estimated to be +2.30 (+2.07 to +2.53) W/m
                        <SU>2</SU>
                        . The rate of increase in positive radiative forcing due to these three GHGs during the industrial era is very likely to have been unprecedented in more than 10,000 years.
                    </P>
                    <P>
                        Warming of the climate system is unequivocal, as is now evident from observations of increases in global average air and ocean temperatures, widespread melting of snow and ice, and rising global average sea level. Global mean surface temperatures have risen by 1.3 ± 0.32 °F (0.74 °C ± 0.18 °C) over the last 100 years. Nine of the 10 warmest years on record have occurred since 2001. Global mean surface temperature was higher during the last few decades of the 20th century than during any comparable period during the preceding four centuries.
                        <PRTPAGE P="57296"/>
                    </P>
                    <P>
                        Most of the observed increase in global average temperatures since the mid-20th century is very likely due to the observed increase in anthropogenic GHG concentrations. Climate model simulations suggest natural forcing alone (
                        <E T="03">i.e.,</E>
                         changes in solar irradiance) cannot explain the observed warming.
                    </P>
                    <P>
                        U.S. temperatures also warmed during the 20th and into the 21st century; temperatures are now approximately 1.3 °F (0.7 °C) warmer than at the start of the 20th century, with an increased rate of warming over the past 30 years. Both the IPCC 
                        <SU>332</SU>
                        <FTREF/>
                         and the CCSP reports attributed recent North American warming to elevated GHG concentrations. In the CCSP (2008) report,
                        <SU>333</SU>
                        <FTREF/>
                         the authors find that for North America, “more than half of this warming [for the period 1951-2006] is likely the result of human-caused greenhouse gas forcing of climate change.”
                    </P>
                    <FTNT>
                        <P>
                            <SU>332</SU>
                             Hegerl, G.C. 
                            <E T="03">et al.</E>
                             (2007) Understanding and Attributing Climate Change. In: 
                            <E T="03">Climate Change 2007: The Physical Science Basis.</E>
                             Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [Solomon, S., D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Averyt, M. Tignor, and H.L. Miller (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>333</SU>
                             CCSP (2008) 
                            <E T="03">Reanalysis of Historical Climate Data for Key Atmospheric Features: Implications for Attribution of Causes of Observed Change.</E>
                             A Report by the U.S. Climate Change Science Program and the Subcommittee on Global Change Research [Randall Dole, Martin Hoerling, and Siegfried Schubert (eds.)]. National Oceanic and Atmospheric Administration, National Climatic Data Center, Asheville, NC, 156 pp.
                        </P>
                    </FTNT>
                    <P>Observations show that changes are occurring in the amount, intensity, frequency and type of precipitation. Over the contiguous United States, total annual precipitation increased by 6.1 percent from 1901 to 2008. It is likely that there have been increases in the number of heavy precipitation events within many land regions, even in those where there has been a reduction in total precipitation amount, consistent with a warming climate.</P>
                    <P>There is strong evidence that global sea level gradually rose in the 20th century and is currently rising at an increased rate. It is not clear whether the increasing rate of sea level rise is a reflection of short-term variability or an increase in the longer-term trend. Nearly all of the Atlantic Ocean shows sea level rise during the last 50 years with the rate of rise reaching a maximum (over 2 millimeters [mm] per year) in a band along the U.S. east coast running east-northeast.</P>
                    <P>Satellite data since 1979 show that annual average Arctic sea ice extent has shrunk by 4.1 percent per decade. The size and speed of recent Arctic summer sea ice loss is highly anomalous relative to the previous few thousands of years.</P>
                    <P>Widespread changes in extreme temperatures have been observed in the last 50 years across all world regions, including the United States. Cold days, cold nights, and frost have become less frequent, while hot days, hot nights, and heat waves have become more frequent.</P>
                    <P>Observational evidence from all continents and most oceans shows that many natural systems are being affected by regional climate changes, particularly temperature increases. However, directly attributing specific regional changes in climate to emissions of GHGs from human activities is difficult, especially for precipitation.</P>
                    <P>
                        Ocean CO
                        <E T="52">2</E>
                         uptake has lowered the average ocean pH (increased acidity) level by approximately 0.1 since 1750. Consequences for marine ecosystems can include reduced calcification by shell-forming organisms, and in the longer term, the dissolution of carbonate sediments.
                    </P>
                    <P>Observations show that climate change is currently affecting U.S. physical and biological systems in significant ways. The consistency of these observed changes in physical and biological systems and the observed significant warming likely cannot be explained entirely due to natural variability or other confounding non-climate factors.</P>
                    <HD SOURCE="HD3">(3) Projections of Future Climate Change With Continued Increases in Elevated GHG Concentrations</HD>
                    <P>
                        Most future scenarios that assume no explicit GHG mitigation actions (beyond those already enacted) project increasing global GHG emissions over the century, with climbing GHG concentrations. Carbon dioxide is expected to remain the dominant anthropogenic GHG over the course of the 21st century. The radiative forcing associated with the non-CO
                        <E T="52">2</E>
                         GHGs is still significant and increasing over time.
                    </P>
                    <P>
                        Future warming over the course of the 21st century, even under scenarios of low-emission growth, is very likely to be greater than observed warming over the past century. According to climate model simulations summarized by the IPCC,
                        <SU>334</SU>
                        <FTREF/>
                         through about 2030, the global warming rate is affected little by the choice of different future emissions scenarios. By the end of the 21st century, projected average global warming (compared to average temperature around 1990) varies significantly depending on the emission scenario and climate sensitivity assumptions, ranging from 3.2 to 7.2 °F (1.8 to 4.0 °C), with an uncertainty range of 2.0 to 11.5 °F (1.1 to 6.4 °C).
                    </P>
                    <FTNT>
                        <P>
                            <SU>334</SU>
                             Meehl, G.A. et al. (2007) Global Climate Projections. In: 
                            <E T="03">Climate Change 2007: The Physical Science Basis.</E>
                             Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [Solomon, S., D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Averyt, M. Tignor and H.L. Miller (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
                        </P>
                    </FTNT>
                    <P>All of the United States is very likely to warm during this century, and most areas of the United States are expected to warm by more than the global average. The largest warming is projected to occur in winter over northern parts of Alaska. In western, central and eastern regions of North America, the projected warming has less seasonal variation and is not as large, especially near the coast, consistent with less warming over the oceans.</P>
                    <P>It is very likely that heat waves will become more intense, more frequent, and longer lasting in a future warm climate, whereas cold episodes are projected to decrease significantly.</P>
                    <P>Increases in the amount of precipitation are very likely in higher latitudes, while decreases are likely in most subtropical latitudes and the southwestern United States, continuing observed patterns. The mid-continental area is expected to experience drying during summer, indicating a greater risk of drought.</P>
                    <P>Intensity of precipitation events is projected to increase in the United States and other regions of the world. More intense precipitation is expected to increase the risk of flooding and result in greater runoff and erosion that has the potential for adverse water quality effects.</P>
                    <P>It is likely that hurricanes will become more intense, with stronger peak winds and more heavy precipitation associated with ongoing increases of tropical sea surface temperatures. Frequency changes in hurricanes are currently too uncertain for confident projections.</P>
                    <P>
                        By the end of the century, global average sea level is projected by IPCC 
                        <SU>335</SU>
                        <FTREF/>
                         to rise between 7.1 and 23 inches (18 and 59 centimeter [cm]), relative to around 1990, in the absence of increased dynamic ice sheet loss. Recent rapid changes at the edges of the Greenland and West Antarctic ice sheets 
                        <PRTPAGE P="57297"/>
                        show acceleration of flow and thinning. While an understanding of these ice sheet processes is incomplete, their inclusion in models would likely lead to increased sea level projections for the end of the 21st century.
                    </P>
                    <FTNT>
                        <P>
                            <SU>335</SU>
                             IPCC (2007) Summary for Policymakers. In: 
                            <E T="03">Climate Change 2007: The Physical Science Basis.</E>
                             Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [Solomon, S., D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Averyt, M. Tignor and H.L. Miller (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
                        </P>
                    </FTNT>
                    <P>Sea ice extent is projected to shrink in the Arctic under all IPCC emissions scenarios.</P>
                    <HD SOURCE="HD3">(4) Projected Risks and Impacts Associated With Future Climate Change</HD>
                    <P>
                        Risk to society, ecosystems, and many natural Earth processes increases with increases in both the rate and magnitude of climate change. Climate warming may increase the possibility of large, abrupt regional or global climatic events (
                        <E T="03">e.g.,</E>
                         disintegration of the Greenland Ice Sheet or collapse of the West Antarctic Ice Sheet). The partial deglaciation of Greenland (and possibly West Antarctica) could be triggered by a sustained temperature increase of 2 to 7 °F (1 to 4 °C) above 1990 levels. Such warming would cause a 13 to 20 feet (4 to 6 meter) rise in sea level, which would occur over a time period of centuries to millennia.
                    </P>
                    <P>
                        The CCSP 
                        <SU>336</SU>
                        <FTREF/>
                         reports that climate change has the potential to accentuate the disparities already evident in the American health care system, as many of the expected health effects are likely to fall disproportionately on the poor, the elderly, the disabled, and the uninsured. The IPCC 
                        <SU>337</SU>
                        <FTREF/>
                         states with very high confidence that climate change impacts on human health in U.S. cities will be compounded by population growth and an aging population.
                    </P>
                    <FTNT>
                        <P>
                            <SU>336</SU>
                             Ebi, K.L., J. Balbus, P.L. Kinney, E. Lipp, D. Mills, M.S. O'Neill, and M. Wilson (2008) Effects of Global Change on Human Health. In: 
                            <E T="03">Analyses of the effects of global change on human health and welfare and human systems.</E>
                             A Report by the U.S. Climate Change Science Program and the Subcommittee on Global Change Research. [Gamble, J.L. (ed.), K.L. Ebi, F.G. Sussman, T.J. Wilbanks, (Authors)]. U.S. Environmental Protection Agency, Washington, DC, USA, pp. 2-1 to 2-78.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>337</SU>
                             Field, C.B. et al. (2007) North America. In: 
                            <E T="03">Climate Change 2007: Impacts, Adaptation and Vulnerability.</E>
                             Contribution of Working Group II to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [M.L. Parry, O.F. Canziani, J.P. Palutikof, P.J. van der Linden and C.E. Hanson (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
                        </P>
                    </FTNT>
                    <P>Severe heat waves are projected to intensify in magnitude and duration over the portions of the United States where these events already occur, with potential increases in mortality and morbidity, especially among the elderly, young, and frail.</P>
                    <P>Some reduction in the risk of death related to extreme cold is expected. It is not clear whether reduced mortality from cold will be greater or less than increased heat-related mortality in the United States due to climate change.</P>
                    <P>Increases in regional ozone pollution relative to ozone levels without climate change are expected due to higher temperatures and weaker circulation in the United States and other world cities relative to air quality levels without climate change. Climate change is expected to increase regional ozone pollution, with associated risks in respiratory illnesses and premature death. In addition to human health effects, tropospheric ozone has significant adverse effects on crop yields, pasture and forest growth, and species composition. The directional effect of climate change on ambient particulate matter levels remains uncertain.</P>
                    <P>Within settlements experiencing climate change, certain parts of the population may be especially vulnerable; these include the poor, the elderly, those already in poor health, the disabled, those living alone, and/or indigenous populations dependent on one or a few resources. Thus, the potential impacts of climate change raise environmental justice issues.</P>
                    <P>
                        The CCSP 
                        <SU>338</SU>
                        <FTREF/>
                         concludes that, with increased CO
                        <E T="52">2</E>
                         and temperature, the life cycle of grain and oilseed crops will likely progress more rapidly. But, as temperature rises, these crops will increasingly begin to experience failure, especially if climate variability increases and precipitation lessens or becomes more variable. Furthermore, the marketable yield of many horticultural crops (
                        <E T="03">e.g.,</E>
                         tomatoes, onions, fruits) is very likely to be more sensitive to climate change than grain and oilseed crops.
                    </P>
                    <FTNT>
                        <P>
                            <SU>338</SU>
                             Backlund, P., A. Janetos, D.S. Schimel, J. Hatfield, M.G. Ryan, S.R. Archer, and D. Lettenmaier (2008) Executive Summary. In: 
                            <E T="03">The Effects of Climate Change on Agriculture, Land Resources, Water Resources, and Biodiversity in the United States.</E>
                             A Report by the U.S. Climate Change Science Program and the Subcommittee on Global Change Research. Washington, DC., USA, 362 pp.
                        </P>
                    </FTNT>
                    <P>Higher temperatures will very likely reduce livestock production during the summer season in some areas, but these losses will very likely be partially offset by warmer temperatures during the winter season.</P>
                    <P>Cold-water fisheries will likely be negatively affected; warm-water fisheries will generally benefit; and the results for cool-water fisheries will be mixed, with gains in the northern and losses in the southern portions of ranges.</P>
                    <P>
                        Climate change has very likely increased the size and number of forest fires, insect outbreaks, and tree mortality in the interior West, the Southwest, and Alaska, and will continue to do so. Over North America, forest growth and productivity have been observed to increase since the middle of the 20th century, in part due to observed climate change. Rising CO
                        <E T="52">2</E>
                         will very likely increase photosynthesis for forests, but the increased photosynthesis will likely only increase wood production in young forests on fertile soils. The combined effects of expected increased temperature, CO
                        <E T="52">2</E>
                        , nitrogen deposition, ozone, and forest disturbance on soil processes and soil carbon storage remain unclear.
                    </P>
                    <P>Coastal communities and habitats will be increasingly stressed by climate change impacts interacting with development and pollution. Sea level is rising along much of the U.S. coast, and the rate of change will very likely increase in the future, exacerbating the impacts of progressive inundation, storm-surge flooding, and shoreline erosion. Storm impacts are likely to be more severe, especially along the Gulf and Atlantic coasts. Salt marshes, other coastal habitats, and dependent species are threatened by sea level rise, fixed structures blocking landward migration, and changes in vegetation. Population growth and rising value of infrastructure in coastal areas increases vulnerability to climate variability and future climate change.</P>
                    <P>Climate change will likely further constrain already over-allocated water resources in some regions of the United States, increasing competition among agricultural, municipal, industrial, and ecological uses. Although water management practices in the United States are generally advanced, particularly in the West, the reliance on past conditions as the basis for current and future planning may no longer be appropriate, as climate change increasingly creates conditions well outside of historical observations. Rising temperatures will diminish snowpack and increase evaporation, affecting seasonal availability of water. In the Great Lakes and major river systems, lower water levels are likely to exacerbate challenges relating to water quality, navigation, recreation, hydropower generation, water transfers, and binational relationships. Decreased water supply and lower water levels are likely to exacerbate challenges relating to aquatic navigation in the United States.</P>
                    <P>
                        Higher water temperatures, increased precipitation intensity, and longer periods of low flows will exacerbate many forms of water pollution, potentially making attainment of water quality goals more difficult. As waters become warmer, the aquatic life they 
                        <PRTPAGE P="57298"/>
                        now support will be replaced by other species better adapted to warmer water. In the long term, warmer water and changing flow may result in deterioration of aquatic ecosystems.
                    </P>
                    <P>Ocean acidification is projected to continue, resulting in the reduced biological production of marine calcifiers, including corals.</P>
                    <P>Climate change is likely to affect U.S. energy use and energy production and physical and institutional infrastructures. It will also likely interact with and possibly exacerbate ongoing environmental change and environmental pressures in settlements, particularly in Alaska where indigenous communities are facing major environmental and cultural impacts. The U.S. energy sector, which relies heavily on water for hydropower and cooling capacity, may be adversely impacted by changes to water supply and quality in reservoirs and other water bodies. Water infrastructure, including drinking water and wastewater treatment plants, and sewer and stormwater management systems, will be at greater risk of flooding, sea level rise and storm surge, low flows, and other factors that could impair performance.</P>
                    <P>Disturbances such as wildfires and insect outbreaks are increasing in the United States and are likely to intensify in a warmer future with warmer winters, drier soils, and longer growing seasons. Although recent climate trends have increased vegetation growth, continuing increases in disturbances are likely to limit carbon storage, facilitate invasive species, and disrupt ecosystem services.</P>
                    <P>Over the 21st century, changes in climate will cause species to shift north and to higher elevations and fundamentally rearrange U.S. ecosystems. Differential capacities for range shifts and constraints from development, habitat fragmentation, invasive species, and broken ecological connections will alter ecosystem structure, function, and services.</P>
                    <HD SOURCE="HD3">(5) Present and Projected U.S. Regional Climate Change Impacts</HD>
                    <P>Climate change impacts will vary in nature and magnitude across different regions of the United States.</P>
                    <P>
                        Sustained high summer temperatures, heat waves, and declining air quality are projected in the Northeast,
                        <SU>339</SU>
                        <FTREF/>
                         Southeast,
                        <SU>340</SU>
                        <FTREF/>
                         Southwest,
                        <SU>341</SU>
                        <FTREF/>
                         and Midwest.
                        <SU>342</SU>
                        <FTREF/>
                         Projected climate change would continue to cause loss of sea ice, glacier retreat, permafrost thawing, and coastal erosion in Alaska.
                    </P>
                    <FTNT>
                        <P>
                            <SU>339</SU>
                             Northeast includes West Virginia, Maryland, Delaware, Pennsylvania, New Jersey, New York, Connecticut, Rhode Island, Massachusetts, Vermont, New Hampshire, and Maine.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>340</SU>
                             Southeast includes Kentucky, Virginia, Arkansas, Tennessee, North Carolina, South Carolina, southeast Texas, Louisiana, Mississippi, Alabama, Georgia, and Florida.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>341</SU>
                             Southwest includes California, Nevada, Utah, western Colorado, Arizona, New Mexico (except the extreme eastern section), and southwest Texas.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>342</SU>
                             The Midwest includes Minnesota, Wisconsin, Michigan, Iowa, Illinois, Indiana, Ohio, and Missouri.
                        </P>
                    </FTNT>
                    <P>
                        Reduced snowpack, earlier spring snowmelt, and increased likelihood of seasonal summer droughts are projected in the Northeast, Northwest,
                        <SU>343</SU>
                        <FTREF/>
                         and Alaska. More severe, sustained droughts and water scarcity are projected in the Southeast, Great Plains,
                        <SU>344</SU>
                        <FTREF/>
                         and Southwest.
                    </P>
                    <FTNT>
                        <P>
                            <SU>343</SU>
                             The Northwest includes Washington, Idaho, western Montana, and Oregon.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>344</SU>
                             The Great Plains includes central and eastern Montana, North Dakota, South Dakota, Wyoming, Nebraska, eastern Colorado, Kansas, extreme eastern New Mexico, central Texas, and Oklahoma.
                        </P>
                    </FTNT>
                    <P>The Southeast, Midwest, and Northwest in particular are expected to be impacted by an increased frequency of heavy downpours and greater flood risk.</P>
                    <P>Ecosystems of the Southeast, Midwest, Great Plains, Southwest, Northwest, and Alaska are expected to experience altered distribution of native species (including local extinctions), more frequent and intense wildfires, and an increase in insect pest outbreaks and invasive species.</P>
                    <P>Sea level rise is expected to increase storm surge height and strength, flooding, erosion, and wetland loss along the coasts, particularly in the Northeast, Southeast, and islands.</P>
                    <P>Warmer water temperatures and ocean acidification are expected to degrade important aquatic resources of islands and coasts such as coral reefs and fisheries.</P>
                    <P>A longer growing season, low levels of warming, and fertilization effects of carbon dioxide may benefit certain crop species and forests, particularly in the Northeast and Alaska. Projected summer rainfall increases in the Pacific islands may augment limited freshwater supplies. Cold-related mortality is projected to decrease, especially in the Southeast. In the Midwest in particular, heating oil demand and snow-related traffic accidents are expected to decrease.</P>
                    <P>
                        Climate change impacts in certain regions of the world may exacerbate problems that raise humanitarian, trade, and national security issues for the United States. The IPCC 
                        <SU>345</SU>
                        <FTREF/>
                         identifies the most vulnerable world regions as the Arctic, because of the effects of high rates of projected warming on natural systems; Africa, especially the sub-Saharan region, because of current low adaptive capacity as well as climate change; small islands, due to high exposure of population and infrastructure to risk of sea level rise and increased storm surge; and Asian mega-deltas, such as the Ganges-Brahmaputra and the Zhujiang, due to large populations and high exposure to sea level rise, storm surge and river flooding. Climate change has been described as a potential threat multiplier with regard to national security issues.
                    </P>
                    <FTNT>
                        <P>
                            <SU>345</SU>
                             Parry, M.L. et al. (2007) Technical Summary. In: 
                            <E T="03">Climate Change 2007: Impacts, Adaptation and Vulnerability.</E>
                             Contribution of Working Group II to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [M.L. Parry, O.F. Canziani, J.P. Palutikof, P.J. van der Linden, and C.E. Hanson (eds.)], Cambridge University Press, Cambridge, United Kingdom, pp. 23S78.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">
                        E. Changes in Atmospheric CO
                        <E T="52">2</E>
                         Concentrations, Global Mean Temperature, Sea Level Rise, and Ocean pH Associated With the Program's GHG Emissions Reductions
                    </HD>
                    <P>
                        EPA examined 
                        <SU>346</SU>
                        <FTREF/>
                         the reductions in CO
                        <E T="52">2</E>
                         and other GHGs associated with this rulemaking and analyzed the projected effects on atmospheric CO
                        <E T="52">2</E>
                         concentrations, global mean surface temperature, sea level rise, and ocean pH which are common variables used as indicators of climate change. The analysis projects that the preferred alternative of this program will reduce atmospheric concentrations of CO
                        <E T="52">2</E>
                        , global climate warming and sea level rise relative to the reference case. Although the projected reductions and improvements are small in comparison to the total projected climate change, they are quantifiable, directionally consistent, and will contribute to reducing the risks associated with climate change. Climate change is a global phenomenon and EPA recognizes that this one national action alone will not prevent it: EPA notes this would be true for any given GHG mitigation action when taken alone. EPA also notes that a substantial portion of CO
                        <E T="52">2</E>
                         emitted into the atmosphere is not removed by natural processes for millennia, and therefore each unit of CO
                        <E T="52">2</E>
                         not emitted into the atmosphere due to this program 
                        <PRTPAGE P="57299"/>
                        avoids essentially permanent climate change on centennial time scales. The heavy-duty program makes a significant contribution towards addressing the challenge by producing substantial reductions in greenhouse gas emissions from a particularly large and important source of emissions. As the Supreme Court recognized in 
                        <E T="03">State of Massachusetts</E>
                         v. 
                        <E T="03">EPA,</E>
                         [A]agencies, like legislatures, do not generally resolve massive problems like climate change in one fell regulatory swoop. 549 U.S. 497, 524 (2008). They instead whittle away at them over time. 
                        <E T="03">Id.</E>
                    </P>
                    <FTNT>
                        <P>
                            <SU>346</SU>
                             Using the Model for the Assessment of Greenhouse Gas Induced Climate Change (MAGICC) 5.3v2, 
                            <E T="03">http://www.cgd.ucar.edu/cas/wigley/magicc/</E>
                            ), EPA estimated the effects of this rulemaking's greenhouse gas emissions reductions on global mean temperature and sea level. Please refer to Chapter 8.4 of the RIA for additional information.
                        </P>
                    </FTNT>
                    <P>
                        EPA determines that the projected reductions in atmospheric CO
                        <E T="52">2</E>
                        , global mean temperature and sea level rise are meaningful in the context of this final action. In addition, EPA has conducted an analysis to evaluate the projected changes in ocean pH in the context of the changes in emissions from this rulemaking. The results of the analysis demonstrate that relative to the reference case, projected atmospheric CO
                        <E T="52">2</E>
                         concentrations are estimated to be reduced by 0.691 to 0.787 part per million by volume (ppmv), global mean temperature is estimated to be reduced by 0.0017 to 0.0042°C, and sea-level rise is projected to be reduced by approximately 0.017-0.040 cm by 2100, based on a range of climate sensitivities. The analysis also demonstrates that ocean pH will increase by 0.0003 pH units by 2100 relative to the reference case.
                    </P>
                    <HD SOURCE="HD3">
                        (1) Estimated Projected Reductions in Atmospheric CO
                        <E T="52">2</E>
                         Concentration, Global Mean Surface Temperatures, Sea Level Rise, and Ocean pH
                    </HD>
                    <P>
                        EPA estimated changes in the atmospheric CO
                        <E T="52">2</E>
                         concentration, global mean temperature, and sea level rise out to 2100 resulting from the emissions reductions in this rulemaking using the GCAM (Global Change Assessment Model, formerly MiniCAM), integrated assessment model 
                        <SU>347</SU>
                        <FTREF/>
                         coupled with the Model for the Assessment of Greenhouse Gas Induced Climate Change (MAGICC, version 5.3v2).
                        <SU>348</SU>
                        <FTREF/>
                         GCAM was used to create the globally and temporally consistent set of climate relevant variables required for running MAGICC. MAGICC was then used to estimate the projected change in these variables over time. Given the magnitude of the estimated emissions reductions associated with this action, a simple climate model such as MAGICC is reasonable for estimating the atmospheric and climate response. This widely-used, peer reviewed modeling tool was also used to project temperature and sea level rise under different emissions scenarios in the Third and Fourth Assessments of the IPCC.
                    </P>
                    <FTNT>
                        <P>
                            <SU>347</SU>
                             GCAM is a long-term, global integrated assessment model of energy, economy, agriculture and land use, that considers the sources of emissions of a suite of GHG's, emitted in 14 globally disaggregated regions, the fate of emissions to the atmosphere, and the consequences of changing concentrations of greenhouse related gases for climate change. GCAM begins with a representation of demographic and economic developments in each region and combines these with assumptions about technology development to describe an internally consistent representation of energy, agriculture, land-use, and economic developments that in turn shape global emissions. 
                        </P>
                        <P>Brenkert A, S. Smith, S. Kim, and H. Pitcher, 2003: Model Documentation for the MiniCAM. PNNL-14337, Pacific Northwest National Laboratory, Richland, Washington.</P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>348</SU>
                             Wigley, T.M.L. 2008. MAGICC 5.3.v2 User Manual. 
                            <E T="03">UCAR</E>
                            —Climate and Global Dynamics Division, Boulder, Colorado. 
                            <E T="03">http://www.cgd.ucar.edu/cas/wigley/magicc/.</E>
                        </P>
                    </FTNT>
                    <P>
                        The integrated impact of the following pollutant and greenhouse gas emissions changes are considered: CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , N
                        <E T="52">2</E>
                        O, HFC-134a, NO
                        <E T="52">X</E>
                        , CO
                        <E T="52">2</E>
                         and SO
                        <E T="52">2</E>
                        , and volatile organic compounds (VOC). For CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , HFC-134a, and N
                        <E T="52">2</E>
                        O an annual time-series of (upstream + downstream) emissions reductions estimated from the rulemaking were input directly. The GHG emissions reductions, from Section VI.C, were applied as net reductions to a global reference case (or baseline) emissions scenario in GCAM to generate an emissions scenario specific to this rulemaking. For CO, VOCs, SO
                        <E T="52">2</E>
                        , and NO
                        <E T="52">X</E>
                        , emissions reductions were estimated for 2018, 2030, and 2050 (provided in Section VII.A). EPA then linearly scaled emissions reductions for these gases between a zero input value in 2013 and the value supplied for 2018 to produce the reductions for 2014-2018. A similar scaling was used for 2019-2029 and 2031-2050. The emissions reductions past 2050 for all gases were scaled with total U.S. road transportation fuel consumption from the GCAM reference scenario. Road transport fuel consumption past 2050 does not change significantly and thus emissions reductions remain relatively constant from 2050 through 2100. Specific details about the GCAM reference case scenario can be found in Chapter 8.4 of the RIA that accompanies this preamble.
                    </P>
                    <P>
                        MAGICC calculates the forcing response at the global scale from changes in atmospheric concentrations of CO
                        <E T="52">2</E>
                        , CH
                        <E T="52">4</E>
                        , N
                        <E T="52">2</E>
                        O, HFCs, and tropospheric ozone. It also includes the effects of temperature changes on stratospheric ozone and the effects of CH
                        <E T="52">4</E>
                         emissions on stratospheric water vapor. Changes in CH
                        <E T="52">4</E>
                        , NO
                        <E T="52">X</E>
                        , VOC, and CO emissions affect both O
                        <E T="52">3</E>
                         concentrations and CH
                        <E T="52">4</E>
                         concentrations. MAGICC includes the relative climate forcing effects of changes in sulfate concentrations due to changing SO
                        <E T="52">2</E>
                         emissions, including both the direct effect of sulfate particles and the indirect effects related to cloud interactions. However, MAGICC does not calculate the effect of changes in concentrations of other aerosols such as nitrates, black carbon, or organic carbon, making the assumption that the sulfate cooling effect is a proxy for the sum of all the aerosol effects. Therefore, the climate effects of changes in PM
                        <E T="52">2.5</E>
                         emissions and precursors (besides SO
                        <E T="52">2</E>
                        ) which are presented in the RIA Chapter 5 were not included in the calculations in this section. MAGICC also calculates all climate effects at the global scale. This global scale captures the climate effects of the long-lived, well-mixed greenhouse gases, but does not address the fact that short-lived climate forcers such as aerosols and ozone can have effects that vary with location and timing of emissions. Black carbon in particular is known to cause a positive forcing or warming effect by absorbing incoming solar radiation, but there are uncertainties about the magnitude of that warming effect and the interaction of black carbon (and other co-emitted aerosol species) with clouds. While black carbon is likely to be an important contributor to climate change, it would be premature to include quantification of black carbon climate impacts in an analysis of the final standards at this time.
                    </P>
                    <P>
                        Changes in atmospheric CO
                        <E T="52">2</E>
                         concentration, global mean temperature, and sea level rise for both the reference case and the emissions scenarios associated with this action were computed using MAGICC. To calculate the reductions in the atmospheric CO
                        <E T="52">2</E>
                         concentrations as well as in temperature and sea level resulting from this action, the output from the policy scenario associated with the preferred approach of this action was subtracted from an existing Global Change Assessment Model (GCAM, formerly MiniCAM) reference emission scenario. To capture some key uncertainties in the climate system with the MAGICC model, changes in atmospheric CO
                        <E T="52">2</E>
                        , global mean temperature and sea level rise were projected across the most current IPCC range of climate sensitivities, from 1.5 °C to 6.0 °C.
                        <SU>349</SU>
                        <FTREF/>
                         This range reflects 
                        <PRTPAGE P="57300"/>
                        the uncertainty for equilibrium climate sensitivity for how much global mean temperature would rise if the concentration of carbon dioxide in the atmosphere were to double. The information for this range come from constraints from past climate change on various time scales, and the spread of results for climate sensitivity from ensembles of models.
                        <SU>350</SU>
                        <FTREF/>
                         Details about this modeling analysis can be found in the RIA Chapter 8.4.
                    </P>
                    <FTNT>
                        <P>
                            <SU>349</SU>
                             In IPCC reports, equilibrium climate sensitivity refers to the equilibrium change in the annual mean global surface temperature following a doubling of the atmospheric equivalent carbon dioxide concentration. The IPCC states that climate 
                            <PRTPAGE/>
                            sensitivity is “likely” to be in the range of 2 °C to 4.5 °C, “very unlikely” to be less than 1.5 °C, and “values substantially higher than 4.5 °C cannot be excluded.” IPCC WGI, 2007, 
                            <E T="03">Climate Change 2007—The Physical Science Basis,</E>
                             Contribution of Working Group I to the Fourth Assessment Report of the IPCC, 
                            <E T="03">http://www.ipcc.ch/</E>
                            .
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>350</SU>
                             Meehl, G.A. et al. (2007) Global Climate Projections. In: 
                            <E T="03">Climate Change 2007: The Physical Science Basis.</E>
                             Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [Solomon, S., D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Averyt, M. Tignor and H.L. Miller (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.
                        </P>
                    </FTNT>
                    <P>
                        The results of this modeling, summarized in Table VI-8, show small, but quantifiable, reductions in atmospheric CO
                        <E T="52">2</E>
                         concentrations, projected global mean temperature and sea level resulting from this action, across all climate sensitivities. As a result of the emission reductions from the final standards for this action, relative to the reference case the atmospheric CO
                        <E T="52">2</E>
                         concentration is projected to be reduced by 0.691-0.787 ppmv, the global mean temperature is projected to be reduced by approximately 0.0017-0.0042 °C by 2100, and global mean sea level rise is projected to be reduced by approximately 0.017-0.040 cm by 2100. The range of reductions in global mean temperature and sea level rise is larger than that for CO
                        <E T="52">2</E>
                         concentrations because CO
                        <E T="52">2</E>
                         concentrations are only weakly coupled to climate sensitivity through the dependence on temperature of the rate of ocean absorption of CO
                        <E T="52">2</E>
                        , whereas the magnitude of temperature change response to CO
                        <E T="52">2</E>
                         changes (and therefore sea level rise) is more tightly coupled to climate sensitivity in the MAGICC model.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,12,12,xs80">
                        <TTITLE>Table VI-8—Impact of GHG Emissions Reductions on Projected Changes in Global Climate Associated With the Final Rulemaking (Based on a Range of Climate Sensitivities From 1.5-6 °C)</TTITLE>
                        <BOXHD>
                            <CHED H="1">Variable</CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Projected change</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Atmospheric CO
                                <E T="52">2</E>
                                 Concentration
                            </ENT>
                            <ENT>ppmv</ENT>
                            <ENT>2100</ENT>
                            <ENT>−0.691 to −0.787.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Global Mean Surface Temperature</ENT>
                            <ENT>°C</ENT>
                            <ENT>2100</ENT>
                            <ENT>−0.0017 to −0.0042.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Sea Level Rise</ENT>
                            <ENT>cm</ENT>
                            <ENT>2100</ENT>
                            <ENT>−0.017 to −0.040.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Ocean pH</ENT>
                            <ENT>pH units</ENT>
                            <ENT>2100</ENT>
                            <ENT>
                                0.0003 
                                <SU>a</SU>
                                .
                            </ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             The value for projected change in ocean pH is based on a climate sensitivity of 3.0.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        The projected reductions are small relative to the change in temperature (1.8-4.8 °C), sea level rise (27—51 cm), and ocean acidity (−0.30 pH units) from 1990 to 2100 from the MAGICC simulations for the GCAM reference case. However, this is to be expected given the magnitude of emissions reductions expected from the program in the context of global emissions. This uncertainty range does not include the effects of uncertainty in future emissions. It should also be noted that the calculations in MAGICC do not include the possible effects of accelerated ice flow in Greenland and/or Antarctica: the recent NRC report estimated a likely sea level increase for the A1B SRES scenario of 0.5 to 1.0 meters.
                        <SU>351</SU>
                        <FTREF/>
                         Further discussion of EPA's modeling analysis is found in the RIA, Chapter 8.
                    </P>
                    <FTNT>
                        <P>
                            <SU>351</SU>
                             National Research Council, 2011. Climate Stabilization Targets: Emissions, Concentrations, and Impacts over Decades to Millenia. Washington, DC: National Academies Press.
                        </P>
                    </FTNT>
                    <P>
                        EPA used the Program CO2SYS,
                        <SU>352</SU>
                        <FTREF/>
                         version 1.05 to estimate projected changes in ocean pH for tropical waters based on the atmospheric CO
                        <E T="52">2</E>
                         concentration change (reduction) resulting from this action. The program performs calculations relating parameters of the CO
                        <E T="52">2</E>
                         system in seawater. EPA used the program to calculate ocean pH as a function of atmospheric CO
                        <E T="52">2</E>
                         concentrations, among other specified input conditions. Based on the projected atmospheric CO
                        <E T="52">2</E>
                         concentration reductions resulting from this action, the program calculates an increase in ocean pH of 0.0003 pH units in 2100 relative to the reference case (compared to a decrease of 0.3 pH units from 1990 to 2100 in the reference case). Thus, this analysis indicates the projected decrease in atmospheric CO
                        <E T="52">2</E>
                         concentrations from the program will result in an increase in ocean pH. For additional validation, results were generated using different known constants from the literature. A comprehensive discussion of the modeling analysis associated with ocean pH is provided in the RIA, Chapter 8.
                    </P>
                    <FTNT>
                        <P>
                            <SU>352</SU>
                             Lewis, E., and D. W. R. Wallace. 1998. Program Developed for CO
                            <E T="52">2</E>
                             System Calculations. ORNL/CDIAC-105. Carbon Dioxide Information Analysis Center, Oak Ridge National Laboratory, U.S. Department of Energy, Oak Ridge, Tennessee.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(2) Program's Effect on Climate</HD>
                    <P>
                        As a substantial portion of CO
                        <E T="52">2</E>
                         emitted into the atmosphere is not removed by natural processes for millennia, each unit of CO
                        <E T="52">2</E>
                         not emitted into the atmosphere avoids essentially permanent climate change on centennial time scales. Reductions in emissions in the near-term are important in determining long-term climate stabilization and associated impacts experienced not just over the next decades but in the coming centuries and millennia.
                        <SU>353</SU>
                        <FTREF/>
                         Though the magnitude of the avoided climate change projected here is small in comparison to the total projected changes, these reductions represent a reduction in the adverse risks associated with climate change (though these risks were not formally estimated for this action) across a range of equilibrium climate sensitivities.
                    </P>
                    <FTNT>
                        <P>
                            <SU>353</SU>
                             
                            <E T="03">See</E>
                             NRC 2011, Note 351.
                        </P>
                    </FTNT>
                    <P>
                        EPA's analysis of the program's impact on global climate conditions is intended to quantify these potential reductions using the best available science. EPA's modeling results show repeatable, consistent reductions relative to the reference case in changes of CO
                        <E T="52">2</E>
                         concentration, temperature, sea-level rise, and ocean pH over the next century.
                    </P>
                    <HD SOURCE="HD1">VII. How will this final action impact non-GHG emissions and their associated effects?</HD>
                    <HD SOURCE="HD2">A. Emissions Inventory Impacts</HD>
                    <HD SOURCE="HD3">(1) Upstream Impacts of the Program</HD>
                    <P>
                        Increasing efficiency in heavy-duty vehicles will result in reduced fuel demand and therefore reductions in the emissions associated with all processes involved in getting petroleum to the pump. These projected upstream emission impacts on criteria pollutants 
                        <PRTPAGE P="57301"/>
                        are summarized in Table VII-1. Table VII-2 shows the corresponding projected impacts on upstream air toxic emissions in 2030.
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>Table VII-1—Overall Estimated Upstream Impacts on Criteria Pollutants for Calendar Years 2018, 2030, and 2050 </TTITLE>
                        <TDESC>[Short tons]</TDESC>
                        <BOXHD>
                            <CHED H="1">Calendar year</CHED>
                            <CHED H="1">
                                NO
                                <E T="52">X</E>
                            </CHED>
                            <CHED H="1">VOC</CHED>
                            <CHED H="1">CO</CHED>
                            <CHED H="1">
                                PM
                                <E T="52">2.5</E>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>−6,475</ENT>
                            <ENT>−1,765</ENT>
                            <ENT>−2,217</ENT>
                            <ENT>−971</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>−9,975</ENT>
                            <ENT>−4,367</ENT>
                            <ENT>−3,331</ENT>
                            <ENT>−1,379</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>−14,243</ENT>
                            <ENT>−6,379</ENT>
                            <ENT>−4,785</ENT>
                            <ENT>−1,998</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,14,14,14,14,14">
                        <TTITLE>Table VII-2—Overall Estimated Upstream Impacts on AIR TOXICS for Calendar Years 2018, 2030, and 2050 </TTITLE>
                        <TDESC>[Short tons]</TDESC>
                        <BOXHD>
                            <CHED H="1">Calendar year</CHED>
                            <CHED H="1">Benzene</CHED>
                            <CHED H="1">1,3-butadiene</CHED>
                            <CHED H="1">Formaldehyde</CHED>
                            <CHED H="1">Acetaldehyde</CHED>
                            <CHED H="1">Acrolein</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>−12</ENT>
                            <ENT>−0.6</ENT>
                            <ENT>−12</ENT>
                            <ENT>−1</ENT>
                            <ENT>−0.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>−19</ENT>
                            <ENT>−0.9</ENT>
                            <ENT>−26</ENT>
                            <ENT>−3</ENT>
                            <ENT>−0.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>−28</ENT>
                            <ENT>−1.2</ENT>
                            <ENT>−35</ENT>
                            <ENT>−5</ENT>
                            <ENT>−0.6  </ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>To project these impacts, EPA estimated the impact of reduced petroleum volumes on the extraction and transportation of crude oil as well as the production and distribution of finished gasoline and diesel. For the purpose of assessing domestic-only emission reductions it was necessary to estimate the fraction of fuel savings attributable to domestic finished gasoline and diesel, and of this fuel what fraction is produced from domestic crude. For this analysis EPA estimated that 50 percent of fuel savings is attributable to domestic finished gasoline and diesel and that 90 percent of this gasoline and diesel originated from imported crude. Emission factors for most upstream emission sources are based on the GREET1.8 model, developed by DOE's Argonne National Laboratory but in some cases the GREET values were modified or updated by EPA to be consistent with the National Emission Inventory. These updates are consistent with those used for the upstream analysis included in the Light-Duty GHG rulemaking. More information on the development of the emission factors used in this analysis can be found in RIA chapter 5.</P>
                    <HD SOURCE="HD3">(2) Downstream Impacts of the Program</HD>
                    <P>
                        While these final rules do not regulate non-GHG pollutants, EPA expects reductions in downstream emissions of most non-GHG pollutants. These pollutants include NO
                        <E T="52">X</E>
                        , SO
                        <E T="52">2,</E>
                         VOC, CO, and PM. The primary reasons for this are the improvements in road load (aerodynamics and tire rolling resistance) under the program and the agency's anticipation of increased use of APUs in combination tractors for GHG reduction purposes during extended idling. APUs exhibit different non-GHG emissions characteristics compared to the on-road engines they would replace during extended idling. Another reason is that emissions from certain pollutants (
                        <E T="03">e.g.,</E>
                         SO
                        <E T="52">2</E>
                        ) are proportional to fuel consumption. For vehicle types not affected by road load improvements, non-GHG emissions may increase very slightly due to VMT rebound. EPA used MOVES to determine non-GHG emissions inventories for baseline and control cases. Further information about the MOVES analysis is available in Section VI and RIA chapter 5. The improvements in road load, use of APUs, and VMT rebound were included in the MOVES runs and post-processing. Table VII-3 summarizes the downstream criteria pollutant impacts of this program. Most of the impacts shown are through projected increased APU use. Because APUs are required to meet much less stringent PM standards than on-road engines, the projected widespread use of APUs leads to higher PM
                        <E T="52">2.5</E>
                        . Table VII-4 summarizes the downstream air toxics impacts of this program.
                    </P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,14,14,14,14,14">
                        <TTITLE>Table VII-3—Overall Estimated Downstream Impacts on Criteria Pollutants </TTITLE>
                        <TDESC>[Short tons]</TDESC>
                        <BOXHD>
                            <CHED H="1">Calendar year</CHED>
                            <CHED H="1">
                                Downstream NO
                                <E T="52">X</E>
                            </CHED>
                            <CHED H="1">Downstream VOC</CHED>
                            <CHED H="1">
                                Downstream SO
                                <E T="52">2</E>
                            </CHED>
                            <CHED H="1">Downstream CO</CHED>
                            <CHED H="1">
                                Downstream PM
                                <E T="52">2.5</E>
                                  
                                <E T="51">a</E>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>−107,135</ENT>
                            <ENT>−12,951</ENT>
                            <ENT>−145</ENT>
                            <ENT>−25,614</ENT>
                            <ENT>803</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>−235,046</ENT>
                            <ENT>−25,502</ENT>
                            <ENT>−423</ENT>
                            <ENT>−52,212</ENT>
                            <ENT>1,751</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>−326,413</ENT>
                            <ENT>−35,126</ENT>
                            <ENT>−614</ENT>
                            <ENT>−72,049</ENT>
                            <ENT>2,441</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="51">a</E>
                             Positive number means emissions would increase from baseline to control case. PM
                            <E T="52">2.5</E>
                             from tire wear and brake wear is included.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,14,14,14,14,14">
                        <TTITLE>Table VII-4—Overall Estimated Downstream Impacts on Air Toxics </TTITLE>
                        <TDESC>[Short tons]</TDESC>
                        <BOXHD>
                            <CHED H="1">Calendar year</CHED>
                            <CHED H="1">Benzene</CHED>
                            <CHED H="1">1,3-butadiene</CHED>
                            <CHED H="1">Formaldehyde</CHED>
                            <CHED H="1">Acetaldehyde</CHED>
                            <CHED H="1">Acrolein</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>−158</ENT>
                            <ENT>−0.3</ENT>
                            <ENT>−2,853</ENT>
                            <ENT>−871</ENT>
                            <ENT>−120</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>−341</ENT>
                            <ENT>0.4</ENT>
                            <ENT>−6,255</ENT>
                            <ENT>−1,908</ENT>
                            <ENT>−263</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57302"/>
                            <ENT I="01">2050</ENT>
                            <ENT>−472</ENT>
                            <ENT>0.8</ENT>
                            <ENT>−8,689</ENT>
                            <ENT>−2,650</ENT>
                            <ENT>−365</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(3) Total Impacts of the Program</HD>
                    <P>
                        As shown in Table VII-5 and Table VII-6, the agencies estimate that this program would result in reductions of NO
                        <E T="52">X</E>
                        , VOC, CO, PM, and air toxics. For NO
                        <E T="52">X,</E>
                         VOC, and CO, much of the net reductions are realized through the use of APUs, which emit these pollutants at a lower rate than on-road engines during extended idle operation. Additional reductions are achieved in all pollutants through reduced road load (improved aerodynamics and tire rolling resistance), which reduces the amount of work required to travel a given distance. For SO
                        <E T="52">X</E>
                        , downstream emissions are roughly proportional to fuel consumption; therefore a decrease is seen in both upstream and downstream sources. The downstream increase in PM
                        <E T="52">2.5</E>
                         due to APU use is mostly negated by upstream PM
                        <E T="52">2.5</E>
                         reductions, though our calculations show a slight net increase in 2030 and 2050.
                        <SU>354</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>354</SU>
                             Although the net impact is small when aggregated to the national level, it is unlikely that the geographic location of increases in downstream PM
                            <E T="52">2.5</E>
                             emissions will coincide with the location of decreases in upstream PM
                            <E T="52">2.5</E>
                             emissions. Impacts of the emissions changes are included in the air quality modeling, discussed in Section VII.D of this preamble and in Chapter 8 of the RIA.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="11" OPTS="L2,i1" CDEF="s25,12,8,8,8,8,8,8,8,8,8">
                        <TTITLE>Table VII-5—Overall Estimated Total Impacts (Upstream Plus Downstream) on Criteria Pollutants </TTITLE>
                        <TDESC>[Results are shown in both short tons and percent change from baseline to control case.]</TDESC>
                        <BOXHD>
                            <CHED H="1">CY</CHED>
                            <CHED H="1">
                                NO
                                <E T="52">X</E>
                            </CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">VOC</CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">
                                SO
                                <E T="52">2</E>
                            </CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">CO</CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">
                                PM
                                <E T="52">2.5</E>
                            </CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>−113,610</ENT>
                            <ENT>−6.2</ENT>
                            <ENT>−14,715</ENT>
                            <ENT>−5.6</ENT>
                            <ENT>−4,566</ENT>
                            <ENT>−4.5</ENT>
                            <ENT>−27,832</ENT>
                            <ENT>−1.0</ENT>
                            <ENT>−167</ENT>
                            <ENT>−0.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>−245,129</ENT>
                            <ENT>−21.0</ENT>
                            <ENT>−29,932</ENT>
                            <ENT>−16.0</ENT>
                            <ENT>−6,888</ENT>
                            <ENT>−10.1</ENT>
                            <ENT>−55,579</ENT>
                            <ENT>−2.1</ENT>
                            <ENT>356</ENT>
                            <ENT>10.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>−340,656</ENT>
                            <ENT>−23.7</ENT>
                            <ENT>−41,506</ENT>
                            <ENT>−18.3</ENT>
                            <ENT>−9,857</ENT>
                            <ENT>−11.0</ENT>
                            <ENT>−76,834</ENT>
                            <ENT>−2.2</ENT>
                            <ENT>443</ENT>
                            <ENT>10.1</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="11" OPTS="L2,i1" CDEF="s25,8,8,8,8,8,8,8,8,8,8">
                        <TTITLE>Table VII-6—Overall Estimated Total Impacts on Air Toxics (Upstream Plus Downstream)</TTITLE>
                        <BOXHD>
                            <CHED H="1">CY</CHED>
                            <CHED H="1">Benzene</CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">1,3-butadiene</CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">Formaldehyde</CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">Acetaldehyde</CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                            <CHED H="1">Acrolein</CHED>
                            <CHED H="2">short tons</CHED>
                            <CHED H="2">%</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>−170</ENT>
                            <ENT>−4.8</ENT>
                            <ENT>−0.9</ENT>
                            <ENT>−0.1</ENT>
                            <ENT>−2,865</ENT>
                            <ENT>−18.3</ENT>
                            <ENT>−873</ENT>
                            <ENT>−13.9</ENT>
                            <ENT>−120.0</ENT>
                            <ENT>−12.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>−359</ENT>
                            <ENT>−15.0</ENT>
                            <ENT>−0.5</ENT>
                            <ENT>−0.1</ENT>
                            <ENT>−6,282</ENT>
                            <ENT>−46.2</ENT>
                            <ENT>−1,912</ENT>
                            <ENT>−40.2</ENT>
                            <ENT>−263.0</ENT>
                            <ENT>−40.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>−500</ENT>
                            <ENT>−17.4</ENT>
                            <ENT>−0.4</ENT>
                            <ENT>−0.1</ENT>
                            <ENT>−8,725</ENT>
                            <ENT>−49.5</ENT>
                            <ENT>−2,655</ENT>
                            <ENT>−44.2</ENT>
                            <ENT>−365.4</ENT>
                            <ENT>−44.5</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">B. Health Effects of Non-GHG Pollutants</HD>
                    <P>In this section we discuss health effects associated with exposure to some of the criteria and air toxic pollutants impacted by the final heavy-duty vehicle standards.</P>
                    <HD SOURCE="HD3">(1) Particulate Matter</HD>
                    <HD SOURCE="HD3">(a) Background</HD>
                    <P>
                        Particulate matter is a generic term for a broad class of chemically and physically diverse substances. It can be principally characterized as discrete particles that exist in the condensed (liquid or solid) phase spanning several orders of magnitude in size. Since 1987, EPA has delineated that subset of inhalable particles small enough to penetrate to the thoracic region (including the tracheobronchial and alveolar regions) of the respiratory tract (referred to as thoracic particles). Current National Ambient Air Quality Standards (NAAQS) use PM
                        <E T="52">2.5</E>
                         as the indicator for fine particles (with PM
                        <E T="52">2.5</E>
                         referring to particles with a nominal mean aerodynamic diameter less than or equal to 2.5 μm), and use PM
                        <E T="52">10</E>
                         as the indicator for purposes of regulating the coarse fraction of PM
                        <E T="52">10</E>
                         (referred to as thoracic coarse particles or coarse-fraction particles; generally including particles with a nominal mean aerodynamic diameter greater than 2.5 μm and less than or equal to 10 μm, or PM
                        <E T="52">10-2.5</E>
                        ). Ultrafine particles are a subset of fine particles, generally less than 100 nanometers (0.1 μm) in aerodynamic diameter.
                    </P>
                    <P>
                        Fine particles are produced primarily by combustion processes and by transformations of gaseous emissions (
                        <E T="03">e.g.,</E>
                         SO
                        <E T="52">X</E>
                        , NO
                        <E T="52">X</E>
                        , and VOC) in the atmosphere. The chemical and physical properties of PM
                        <E T="52">2.5</E>
                         may vary greatly with time, region, meteorology, and source category. Thus, PM
                        <E T="52">2.5</E>
                         may include a complex mixture of different pollutants including sulfates, nitrates, organic compounds, elemental carbon and metal compounds. These particles can remain in the atmosphere for days to weeks and travel hundreds to thousands of kilometers.
                    </P>
                    <HD SOURCE="HD3">(b) Health Effects of PM</HD>
                    <P>
                        Scientific studies show ambient PM is associated with a series of adverse health effects. These health effects are discussed in detail in EPA's Integrated Science Assessment for Particulate Matter (ISA).
                        <SU>355</SU>
                        <FTREF/>
                         Further discussion of health effects associated with PM can also be found in the RIA for this final action. The ISA summarizes evidence associated with PM
                        <E T="52">2.5</E>
                        , PM
                        <E T="52">10-2.5</E>
                        , and ultrafine particles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>355</SU>
                             U.S. EPA (2009) Integrated Science Assessment for Particulate Matter (Final Report). U.S. Environmental Protection Agency, Washington, DC, EPA/600/R-08/139F, Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        The ISA concludes that health effects associated with short-term exposures (hours to days) to ambient PM
                        <E T="52">2.5</E>
                         include mortality, cardiovascular effects, such as 
                        <PRTPAGE P="57303"/>
                        altered vasomotor function and hospital admissions and emergency department visits for ischemic heart disease and congestive heart failure, and respiratory effects, such as exacerbation of asthma symptoms in children and hospital admissions and emergency department visits for chronic obstructive pulmonary disease and respiratory infections.
                        <SU>356</SU>
                        <FTREF/>
                         The ISA notes that long-term exposure to PM
                        <E T="52">2.5</E>
                         (months to years) is associated with the development/progression of cardiovascular disease, premature mortality, and respiratory effects, including reduced lung function growth, increased respiratory symptoms, and asthma development.
                        <SU>357</SU>
                        <FTREF/>
                         The ISA concludes that the currently available scientific evidence from epidemiologic, controlled human exposure, and toxicological studies supports a causal association between short- and long-term exposures to PM
                        <E T="52">2.5</E>
                         and cardiovascular effects and mortality. Furthermore, the ISA concludes that the collective evidence supports likely causal associations between short- and long-term PM
                        <E T="52">2.5</E>
                         exposures and respiratory effects. The ISA also concludes that the scientific evidence is suggestive of a causal association for reproductive and developmental effects and cancer, mutagenicity, and genotoxicity and long-term exposure to PM
                        <E T="52">2.5</E>
                        .
                        <SU>358</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>356</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA, 2009 Final PM ISA, Note 355, at Section 2.3.1.1.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>357</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA 2009 Final PM ISA, Note 355, at page 2-12, Sections 7.3.1.1 and 7.3.2.1.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>358</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA 2009 Final PM ISA, Note 355, at Section 2.3.2.
                        </P>
                    </FTNT>
                    <P>
                        For PM
                        <E T="52">10-2.5</E>
                        , the ISA concludes that the current evidence is suggestive of a causal relationship between short-term exposures and cardiovascular effects, such as hospitalization for ischemic heart disease. There is also suggestive evidence of a causal relationship between short-term PM
                        <E T="52">10-2.5</E>
                         exposure and mortality and respiratory effects. Data are inadequate to draw conclusions regarding the health effects associated with long-term exposure to PM
                        <E T="52">10-2.5</E>
                        .
                        <SU>359</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>359</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA 2009 Final PM ISA, Note 355, at Section 2.3.4, Table 2-6.
                        </P>
                    </FTNT>
                    <P>
                        For ultrafine particles, the ISA concludes that there is suggestive evidence of a causal relationship between short-term exposures and cardiovascular effects, such as changes in heart rhythm and blood vessel function. It also concludes that there is suggestive evidence of association between short-term exposure to ultrafine particles and respiratory effects. Data are inadequate to draw conclusions regarding the health effects associated with long-term exposure to ultrafine particles.
                        <SU>360</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>360</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA 2009 Final PM ISA, Note 355, at Section 2.3.5, Table 2-6.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(2) Ozone</HD>
                    <HD SOURCE="HD3">(a) Background</HD>
                    <P>
                        Ground-level ozone pollution is typically formed by the reaction of VOC and NO
                        <E T="52">X</E>
                         in the lower atmosphere in the presence of sunlight. These pollutants, often referred to as ozone precursors, are emitted by many types of pollution sources, such as highway and nonroad motor vehicles and engines, power plants, chemical plants, refineries, makers of consumer and commercial products, industrial facilities, and smaller area sources.
                    </P>
                    <P>
                        The science of ozone formation, transport, and accumulation is complex. Ground-level ozone is produced and destroyed in a cyclical set of chemical reactions, many of which are sensitive to temperature and sunlight. When ambient temperatures and sunlight levels remain high for several days and the air is relatively stagnant, ozone and its precursors can build up and result in more ozone than typically occurs on a single high-temperature day. Ozone can be transported hundreds of miles downwind from precursor emissions, resulting in elevated ozone levels even in areas with low local VOC or NO
                        <E T="52">X</E>
                         emissions.
                    </P>
                    <HD SOURCE="HD3">(b) Health Effects of Ozone</HD>
                    <P>
                        The health and welfare effects of ozone are well documented and are assessed in EPA's 2006 Air Quality Criteria Document and 2007 Staff Paper.
                        <E T="51">361 362</E>
                        <FTREF/>
                         People who are more susceptible to effects associated with exposure to ozone can include children, the elderly, and individuals with respiratory disease such as asthma. Those with greater exposures to ozone, for instance due to time spent outdoors (
                        <E T="03">e.g.,</E>
                         children and outdoor workers), are of particular concern. Ozone can irritate the respiratory system, causing coughing, throat irritation, and breathing discomfort. Ozone can reduce lung function and cause pulmonary inflammation in healthy individuals. Ozone can also aggravate asthma, leading to more asthma attacks that require medical attention and/or the use of additional medication. Thus, ambient ozone may cause both healthy and asthmatic individuals to limit their outdoor activities. In addition, there is suggestive evidence of a contribution of ozone to cardiovascular-related morbidity and highly suggestive evidence that short-term ozone exposure directly or indirectly contributes to non-accidental and cardiopulmonary-related mortality, but additional research is needed to clarify the underlying mechanisms causing these effects. In a recent report on the estimation of ozone-related premature mortality published by NRC, a panel of experts and reviewers concluded that short-term exposure to ambient ozone is likely to contribute to premature deaths and that ozone-related mortality should be included in estimates of the health benefits of reducing ozone exposure.
                        <SU>363</SU>
                        <FTREF/>
                         Animal toxicological evidence indicates that with repeated exposure, ozone can inflame and damage the lining of the lungs, which may lead to permanent changes in lung tissue and irreversible reductions in lung function. The respiratory effects observed in controlled human exposure studies and animal studies are coherent with the evidence from epidemiologic studies supporting a causal relationship between acute ambient ozone exposures and increased respiratory-related emergency room visits and hospitalizations in the warm season. In addition, there is suggestive evidence of a contribution of ozone to cardiovascular-related morbidity and non-accidental and cardiopulmonary mortality.
                    </P>
                    <FTNT>
                        <P>
                            <SU>361</SU>
                             U.S. EPA. (2006). Air Quality Criteria for Ozone and Related Photochemical Oxidants (Final). EPA/600/R-05/004aF-cF. Washington, DC: U.S. EPA. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>362</SU>
                             U.S. EPA. (2007). Review of the National Ambient Air Quality Standards for Ozone: Policy Assessment of Scientific and Technical Information, OAQPS Staff Paper. EPA-452/R-07-003. Washington, DC, U.S. EPA. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>363</SU>
                             National Research Council (NRC), 2008. 
                            <E T="03">Estimating Mortality Risk Reduction and Economic Benefits from Controlling Ozone Air Pollution.</E>
                             The National Academies Press: Washington, DC Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(3) Nitrogen Oxides and Sulfur Oxides</HD>
                    <HD SOURCE="HD3">(a) Background</HD>
                    <P>
                        Nitrogen dioxide (NO
                        <E T="52">2</E>
                        ) is a member of the NO
                        <E T="52">X</E>
                         family of gases. Most NO
                        <E T="52">2</E>
                         is formed in the air through the oxidation of nitric oxide (NO) emitted when fuel is burned at a high temperature. SO
                        <E T="52">2</E>
                        , a member of the sulfur oxide (SO
                        <E T="52">X</E>
                        ) family of gases, is formed from burning fuels containing sulfur (
                        <E T="03">e.g.,</E>
                         coal or oil derived), extracting gasoline from oil, or extracting metals from ore.
                    </P>
                    <P>
                        SO
                        <E T="52">2</E>
                         and NO
                        <E T="52">2</E>
                         can dissolve in water droplets and further oxidize to form sulfuric and nitric acid which react with ammonia to form sulfates and nitrates, both of which are important components of ambient PM. The health effects of ambient PM are discussed in Section 0 of this preamble. NO
                        <E T="52">X</E>
                         and NMHC are the two major precursors of 
                        <PRTPAGE P="57304"/>
                        ozone. The health effects of ozone are covered in Section 0.
                    </P>
                    <HD SOURCE="HD3">
                        (b) Health Effects of NO
                        <E T="52">2</E>
                    </HD>
                    <P>
                        Information on the health effects of NO
                        <E T="52">2</E>
                         can be found in the EPA Integrated Science Assessment (ISA) for Nitrogen Oxides.
                        <SU>364</SU>
                        <FTREF/>
                         The EPA has concluded that the findings of epidemiologic, controlled human exposure, and animal toxicological studies provide evidence that is sufficient to infer a likely causal relationship between respiratory effects and short-term NO
                        <E T="52">2</E>
                         exposure. The ISA concludes that the strongest evidence for such a relationship comes from epidemiologic studies of respiratory effects including symptoms, emergency department visits, and hospital admissions. The ISA also draws two broad conclusions regarding airway responsiveness following NO
                        <E T="52">2</E>
                         exposure. First, the ISA concludes that NO
                        <E T="52">2</E>
                         exposure may enhance the sensitivity to allergen-induced decrements in lung function and increase the allergen-induced airway inflammatory response following 30-minute exposures of asthmatics to NO
                        <E T="52">2</E>
                         concentrations as low as 0.26 ppm. In addition, small but significant increases in non-specific airway hyperresponsiveness were reported following 1-hour exposures of asthmatics to 0.1 ppm NO
                        <E T="52">2</E>
                        . Second, exposure to NO
                        <E T="52">2</E>
                         has been found to enhance the inherent responsiveness of the airway to subsequent nonspecific challenges in controlled human exposure studies of asthmatic subjects. Enhanced airway responsiveness could have important clinical implications for asthmatics since transient increases in airway responsiveness following NO
                        <E T="52">2</E>
                         exposure have the potential to increase symptoms and worsen asthma control. Together, the epidemiologic and experimental data sets form a plausible, consistent, and coherent description of a relationship between NO
                        <E T="52">2</E>
                         exposures and an array of adverse health effects that range from the onset of respiratory symptoms to hospital admission.
                    </P>
                    <FTNT>
                        <P>
                            <SU>364</SU>
                             U.S. EPA (2008). 
                            <E T="03">Integrated Science Assessment for Oxides of Nitrogen—Health Criteria (Final Report).</E>
                             EPA/600/R-08/071. Washington, DC: U.S.EPA. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Although the weight of evidence supporting a causal relationship is somewhat less certain than that associated with respiratory morbidity, NO
                        <E T="52">2</E>
                         has also been linked to other health endpoints. These include all-cause (nonaccidental) mortality, hospital admissions or emergency department visits for cardiovascular disease, and decrements in lung function growth associated with chronic exposure.
                    </P>
                    <HD SOURCE="HD3">
                        (c) Health Effects of SO
                        <E T="52">2</E>
                    </HD>
                    <P>
                        Information on the health effects of SO
                        <E T="52">2</E>
                         can be found in the EPA Integrated Science Assessment for Sulfur Oxides.
                        <SU>365</SU>
                        <FTREF/>
                         SO
                        <E T="52">2</E>
                         has long been known to cause adverse respiratory health effects, particularly among individuals with asthma. Other potentially sensitive groups include children and the elderly. During periods of elevated ventilation, asthmatics may experience symptomatic bronchoconstriction within minutes of exposure. Following an extensive evaluation of health evidence from epidemiologic and laboratory studies, the EPA has concluded that there is a causal relationship between respiratory health effects and short-term exposure to SO
                        <E T="52">2</E>
                        . Separately, based on an evaluation of the epidemiologic evidence of associations between short-term exposure to SO
                        <E T="52">2</E>
                         and mortality, the EPA has concluded that the overall evidence is suggestive of a causal relationship between short-term exposure to SO
                        <E T="52">2</E>
                         and mortality.
                    </P>
                    <FTNT>
                        <P>
                            <SU>365</SU>
                             U.S. EPA. (2008). 
                            <E T="03">Integrated Science Assessment (ISA) for Sulfur Oxides—Health Criteria (Final Report).</E>
                             EPA/600/R-08/047F. Washington, DC: U.S. Environmental Protection Agency. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(4) Carbon Monoxide</HD>
                    <P>
                        Information on the health effects of CO can be found in the EPA Integrated Science Assessment (ISA) for Carbon Monoxide.
                        <SU>366</SU>
                        <FTREF/>
                         The ISA concludes that ambient concentrations of CO are associated with a number of adverse health effects.
                        <SU>367</SU>
                        <FTREF/>
                         This section provides a summary of the health effects associated with exposure to ambient concentrations of CO.
                        <SU>368</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>366</SU>
                             U.S. EPA, 2010. Integrated Science Assessment for Carbon Monoxide (Final Report). U.S. Environmental Protection Agency, Washington, DC, EPA/600/R-09/019F, 2010. Available at 
                            <E T="03">http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=218686.</E>
                             Docket EPA-HQ-OAR-2010-0162
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>367</SU>
                             The ISA evaluates the health evidence associated with different health effects, assigning one of five “weight of evidence” determinations: causal relationship, likely to be a causal relationship, suggestive of a causal relationship, inadequate to infer a causal relationship, and not likely to be a causal relationship. For definitions of these levels of evidence, please refer to Section 1.6 of the ISA.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>368</SU>
                             Personal exposure includes contributions from many sources, and in many different environments. Total personal exposure to CO includes both ambient and nonambient components; and both components may contribute to adverse health effects.
                        </P>
                    </FTNT>
                    <P>Human clinical studies of subjects with coronary artery disease show a decrease in the time to onset of exercise-induced angina (chest pain) and electrocardiogram changes following CO exposure. In addition, epidemiologic studies show associations between short-term CO exposure and cardiovascular morbidity, particularly increased emergency room visits and hospital admissions for coronary heart disease (including ischemic heart disease, myocardial infarction, and angina). Some epidemiologic evidence is also available for increased hospital admissions and emergency room visits for congestive heart failure and cardiovascular disease as a whole. The ISA concludes that a causal relationship is likely to exist between short-term exposures to CO and cardiovascular morbidity. It also concludes that available data are inadequate to conclude that a causal relationship exists between long-term exposures to CO and cardiovascular morbidity.</P>
                    <P>Animal studies show various neurological effects with in-utero CO exposure. Controlled human exposure studies report inconsistent neural and behavioral effects following low-level CO exposures. The ISA concludes the evidence is suggestive of a causal relationship with both short- and long-term exposure to CO and central nervous system effects.</P>
                    <P>A number of epidemiologic and animal toxicological studies cited in the ISA have evaluated associations between CO exposure and birth outcomes such as preterm birth or cardiac birth defects. The epidemiologic studies provide limited evidence of a CO-induced effect on preterm births and birth defects, with weak evidence for a decrease in birth weight. Animal toxicological studies have found associations between perinatal CO exposure and decrements in birth weight, as well as other developmental outcomes. The ISA concludes these studies are suggestive of a causal relationship between long-term exposures to CO and developmental effects and birth outcomes.</P>
                    <P>
                        Epidemiologic studies provide evidence of effects on respiratory morbidity such as changes in pulmonary function, respiratory symptoms, and hospital admissions associated with ambient CO concentrations. A limited number of epidemiologic studies considered copollutants such as ozone, SO
                        <E T="52">2</E>
                        , and PM in two-pollutant models and found that CO risk estimates were generally robust, although this limited evidence makes it difficult to disentangle effects attributed to CO itself from those of the larger complex air pollution mixture. Controlled human exposure studies have not extensively evaluated the effect of CO on respiratory morbidity. Animal studies at levels of 50-100 ppm CO show preliminary evidence of altered pulmonary vascular remodeling and 
                        <PRTPAGE P="57305"/>
                        oxidative injury. The ISA concludes that the evidence is suggestive of a causal relationship between short-term CO exposure and respiratory morbidity, and inadequate to conclude that a causal relationship exists between long-term exposure and respiratory morbidity.
                    </P>
                    <P>Finally, the ISA concludes that the epidemiologic evidence is suggestive of a causal relationship between short-term exposures to CO and mortality. Epidemiologic studies provide evidence of an association between short-term exposure to CO and mortality, but limited evidence is available to evaluate cause-specific mortality outcomes associated with CO exposure. In addition, the attenuation of CO risk estimates which was often observed in copollutant models contributes to the uncertainty as to whether CO is acting alone or as an indicator for other combustion-related pollutants. The ISA also concludes that there is not likely to be a causal relationship between relevant long-term exposures to CO and mortality.</P>
                    <HD SOURCE="HD3">(5) Air Toxics</HD>
                    <P>
                        Heavy-duty vehicle emissions contribute to ambient levels of air toxics known or suspected as human or animal carcinogens, or that have noncancer health effects. The population experiences an elevated risk of cancer and other noncancer health effects from exposure to the class of pollutants known collectively as “air toxics.” 
                        <SU>369</SU>
                        <FTREF/>
                         These compounds include, but are not limited to, benzene, 1,3-butadiene, formaldehyde, acetaldehyde, acrolein, diesel particulate matter and exhaust organic gases, polycyclic organic matter, and naphthalene. These compounds were identified as national or regional risk drivers or contributors in the 2005 National-scale Air Toxics Assessment and have significant inventory contributions from mobile sources.
                        <SU>370</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>369</SU>
                             U.S. EPA. 2002 National-Scale Air Toxics Assessment. 
                            <E T="03">http://www.epa.gov/ttn/atw/nata12002/risksum.html</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>370</SU>
                             U.S. EPA 2009. National-Scale Air Toxics Assessment for 2002. 
                            <E T="03">http://www.epa.gov/ttn/atw/nata2002/</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(a) Diesel Exhaust</HD>
                    <P>Heavy-duty diesel engines emit diesel exhaust, a complex mixture composed of carbon dioxide, oxygen, nitrogen, water vapor, carbon monoxide, nitrogen compounds, sulfur compounds and numerous low-molecular-weight hydrocarbons. A number of these gaseous hydrocarbon components are individually known to be toxic, including aldehydes, benzene and 1,3-butadiene. The diesel particulate matter present in diesel exhaust consists mostly of fine particles (&lt; 2.5 µm), including a significant fraction of ultrafine particles (&lt; 0.1 µm). These particles have a large surface area which makes them an excellent medium for adsorbing organics and their small size makes them highly respirable. Many of the organic compounds present in the gases and on the particles, such as polycyclic organic matter, are individually known to have mutagenic and carcinogenic properties.</P>
                    <P>
                        Diesel exhaust varies significantly in chemical composition and particle sizes between different engine types (heavy-duty, light-duty), engine operating conditions (idle, accelerate, decelerate), and fuel formulations (high/low sulfur fuel). Also, there are emissions differences between on-road and nonroad engines because the nonroad engines are generally of older technology. After being emitted in the engine exhaust, diesel exhaust undergoes dilution as well as chemical and physical changes in the atmosphere. The lifetime for some of the compounds present in diesel exhaust ranges from hours to days.
                        <SU>371</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>371</SU>
                             U.S. EPA (2002). 
                            <E T="03">Health Assessment Document for Diesel Engine Exhaust.</E>
                             EPA/600/8-90/057F Office of Research and Development, Washington DC. Retrieved on March 17, 2009, from 
                            <E T="03">http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(i) Diesel Exhaust: Potential Cancer Effects</HD>
                    <P>
                        In EPA's 2002 Diesel Health Assessment Document (Diesel HAD),
                        <SU>372</SU>
                        <FTREF/>
                         exposure to diesel exhaust was classified as likely to be carcinogenic to humans by inhalation from environmental exposures, in accordance with the revised draft 1996/1999 EPA cancer guidelines. A number of other agencies (National Institute for Occupational Safety and Health, the International Agency for Research on Cancer, the World Health Organization, California EPA, and the U.S. Department of Health and Human Services) have made similar classifications. However, EPA also concluded in the Diesel HAD that it is not possible currently to calculate a cancer unit risk for diesel exhaust due to a variety of factors that limit the current studies, such as limited quantitative exposure histories in occupational groups investigated for lung cancer.
                    </P>
                    <FTNT>
                        <P>
                            <SU>372</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA (2002) Diesel HAD, Note 371, at pp. 1-1, 1-2.
                        </P>
                    </FTNT>
                    <P>
                        For the Diesel HAD, EPA reviewed 22 epidemiologic studies on the subject of the carcinogenicity of workers exposed to diesel exhaust in various occupations, finding increased lung cancer risk, although not always statistically significant, in 8 out of 10 cohort studies and 10 out of 12 case-control studies within several industries. Relative risk for lung cancer associated with exposure ranged from 1.2 to 1.5, although a few studies show relative risks as high as 2.6. Additionally, the Diesel HAD also relied on two independent meta-analyses, which examined 23 and 30 occupational studies respectively, which found statistically significant increases in smoking-adjusted relative lung cancer risk associated with exposure to diesel exhaust of 1.33 to 1.47. These meta-analyses demonstrate the effect of pooling many studies and in this case show the positive relationship between diesel exhaust exposure and lung cancer across a variety of diesel exhaust-exposed occupations.
                        <E T="51">373 374</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>373</SU>
                             Bhatia, R., Lopipero, P., Smith, A. (1998). Diesel exposure and lung cancer. 
                            <E T="03">Epidemiology, 9(1),</E>
                             84-91. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>374</SU>
                             Lipsett, M. Campleman, S. (1999). Occupational exposure to diesel exhaust and lung cancer: a meta-analysis
                            <E T="03">. Am J Public Health, 80(7),</E>
                             1009-1017. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        In the absence of a cancer unit risk, the Diesel HAD sought to provide additional insight into the significance of the diesel exhaust-cancer hazard by estimating possible ranges of risk that might be present in the population. An exploratory analysis was used to characterize a possible risk range by comparing a typical environmental exposure level for highway diesel sources to a selected range of occupational exposure levels. The occupationally observed risks were then proportionally scaled according to the exposure ratios to obtain an estimate of the possible environmental risk. A number of calculations are needed to accomplish this, and these can be seen in the EPA Diesel HAD. The outcome was that environmental risks from diesel exhaust exposure could range from a low of 10
                        <E T="51">-4</E>
                         to 10
                        <E T="51">-5</E>
                         to as high as 10
                        <SU>3</SU>
                        , reflecting the range of occupational exposures that could be associated with the relative and absolute risk levels observed in the occupational studies. Because of uncertainties, the analysis acknowledged that the risks could be lower than 10
                        <E T="51">-4</E>
                         or 10
                        <E T="51">-5</E>
                        , and a zero risk from diesel exhaust exposure was not ruled out.
                    </P>
                    <HD SOURCE="HD3">(ii) Diesel Exhaust: Other Health Effects</HD>
                    <P>
                        Noncancer health effects of acute and chronic exposure to diesel exhaust emissions are also of concern to the EPA. EPA derived a diesel exhaust reference concentration (RfC) from 
                        <PRTPAGE P="57306"/>
                        consideration of four well-conducted chronic rat inhalation studies showing adverse pulmonary effects.
                        <E T="51">375 376 377 378</E>
                        <FTREF/>
                         The RfC is 5 µg/m
                        <SU>3</SU>
                         for diesel exhaust as measured by diesel particulate matter. This RfC does not consider allergenic effects such as those associated with asthma or immunologic effects. There is growing evidence, discussed in the Diesel HAD, that exposure to diesel exhaust can exacerbate these effects, but the exposure-response data are presently lacking to derive an RfC. The EPA Diesel HAD states, “With [diesel particulate matter] being a ubiquitous component of ambient PM, there is an uncertainty about the adequacy of the existing [diesel exhaust] noncancer database to identify all of the pertinent [diesel exhaust]-caused noncancer health hazards.” (p. 9-19). The Diesel HAD concludes “that acute exposure to [diesel exhaust] has been associated with irritation of the eye, nose, and throat, respiratory symptoms (cough and phlegm), and neurophysiological symptoms such as headache, lightheadedness, nausea, vomiting, and numbness or tingling of the extremities.” 
                        <SU>379</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>375</SU>
                             Ishinishi, N. Kuwabara, N. Takaki, Y., 
                            <E T="03">et al.</E>
                             (1988). Long-term inhalation experiments on diesel exhaust. In: 
                            <E T="03">Diesel exhaust and health risks.</E>
                             Results of the HERP studies. Ibaraki, Japan: Research Committee for HERP Studies; pp.11-84. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>376</SU>
                             Heinrich, U., Fuhst, R., Rittinghausen, S., 
                            <E T="03">et al.</E>
                             (1995). Chronic inhalation exposure of Wistar rats and two different strains of mice to diesel engine exhaust, carbon black, and titanium dioxide. 
                            <E T="03">Inhal Toxicol, 7,</E>
                             553-556. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>377</SU>
                             Mauderly, J.L., Jones, R.K., Griffith, W.C., 
                            <E T="03">et al.</E>
                             (1987). Diesel exhaust is a pulmonary carcinogen in rats exposed chronically by inhalation. 
                            <E T="03">Fundam. Appl. Toxicol., 9,</E>
                             208-221. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>378</SU>
                             Nikula, K.J., Snipes, M.B., Barr, E.B., 
                            <E T="03">et al.</E>
                             (1995). Comparative pulmonary toxicities and carcinogenicities of chronically inhaled diesel exhaust and carbon black in F344 rats. 
                            <E T="03">Fundam. Appl. Toxicol, 25,</E>
                             80-94. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>379</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA (2002), Diesel HAD at Note 371, at p. 9-9.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">
                        (iii) Ambient PM
                        <E T="52">2.5</E>
                         Levels and Exposure to Diesel Exhaust PM
                    </HD>
                    <P>
                        The Diesel HAD also briefly summarizes health effects associated with ambient PM and discusses the EPA's annual PM
                        <E T="52">2.5</E>
                         NAAQS of 15 µg/m
                        <SU>3</SU>
                        . There is a much more extensive body of human data showing a wide spectrum of adverse health effects associated with exposure to ambient PM, of which diesel exhaust is an important component. The PM
                        <E T="52">2.5</E>
                         NAAQS is designed to provide protection from the noncancer and premature mortality effects of PM
                        <E T="52">2.5</E>
                         as a whole.
                    </P>
                    <HD SOURCE="HD3">(iv) Diesel Exhaust PM Exposures</HD>
                    <P>Exposure of people to diesel exhaust depends on their various activities, the time spent in those activities, the locations where these activities occur, and the levels of diesel exhaust pollutants in those locations. The major difference between ambient levels of diesel particulate and exposure levels for diesel particulate is that exposure accounts for a person moving from location to location, proximity to the emission source, and whether the exposure occurs in an enclosed environment.</P>
                    <HD SOURCE="HD3">Occupational Exposures</HD>
                    <P>Occupational exposures to diesel exhaust from mobile sources can be several orders of magnitude greater than typical exposures in the non-occupationally exposed population.</P>
                    <P>
                        Over the years, diesel particulate exposures have been measured for a number of occupational groups. A wide range of exposures has been reported, from 2 μg/m
                        <SU>3</SU>
                         to 1,280 μg/m
                        <SU>3</SU>
                        , for a variety of occupations. As discussed in the Diesel HAD, the National Institute of Occupational Safety and Health has estimated a total of 1,400,000 workers are occupationally exposed to diesel exhaust from on-road and nonroad vehicles.
                    </P>
                    <HD SOURCE="HD3">Elevated Concentrations and Ambient Exposures in Mobile Source-Impacted Areas</HD>
                    <P>
                        Regions immediately downwind of highways or truck stops may experience elevated ambient concentrations of directly-emitted PM
                        <E T="52">2.5</E>
                         from diesel engines. Due to the unique nature of highways and truck stops, emissions from a large number of diesel engines are concentrated in a small area. Studies near roadways with high truck traffic indicate higher concentrations of components of diesel PM than other locations.
                        <E T="51">380, 381, 382</E>
                        <FTREF/>
                         High ambient particle concentrations have also been reported near trucking terminals, truck stops, and bus garages.
                        <E T="51">383, 384, 385</E>
                        <FTREF/>
                         Additional discussion of exposure and health effects associated with traffic is included below in Section 0.
                    </P>
                    <FTNT>
                        <P>
                            <SU>380</SU>
                             Zhu, Y.; Hinds, W.C.; Kim, S.; Shen, S.; Sioutas, C. (2002) Study of ultrafine particles near a major highway with heavy-duty diesel traffic. Atmospheric Environment 36: 4323-4335. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>381</SU>
                             Lena, T.S; Ochieng, V.; Holguín-Veras, J.; Kinney, P.L. (2002) Elemental carbon and PM
                            <E T="52">2.5</E>
                             levels in an urban community heavily impacted by truck traffic. Environ Health Perspect 110: 1009-1015. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>382</SU>
                             Soliman, A.S.M.; Jacko, J.B.; Palmer, G.M. (2006) Development of an empirical model to estimate real-world fine particulate matter emission factors: the Traffic Air Quality model. J Air &amp; Waste Manage Assoc 56: 1540-1549. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>383</SU>
                             Davis, M.E.; Smith, T.J.; Laden, F.; Hart, J.E.; Ryan, L.M.; Garshick, E. (2006) Modeling particle exposure in U.S. trucking terminals. Environ Sci Techol 40: 4226-4232. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>384</SU>
                             Miller, T.L.; Fu, J.S.; Hromis, B.; Storey, J.M. (2007) Diesel truck idling emissions—measurements at a PM
                            <E T="52">2.5</E>
                             hot spot. Proceedings of the Annual Conference of the Transportation Research Board, paper no. 07-2609. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>385</SU>
                             Ramachandran, G.; Paulsen, D.; Watts, W.; Kittelson, D. (2005) Mass, surface area, and number metrics in diesel occupational exposure assessment. J Environ Monit 7: 728-735. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(b) Benzene</HD>
                    <P>
                        The EPA's Integrated Risk Information System (IRIS) database lists benzene as a known human carcinogen (causing leukemia) by all routes of exposure, and concludes that exposure is associated with additional health effects, including genetic changes in both humans and animals and increased proliferation of bone marrow cells in mice.
                        <E T="51">386, 387, 388</E>
                        <FTREF/>
                         EPA states in its IRIS database that data indicate a causal relationship between benzene exposure and acute lymphocytic leukemia and suggest a relationship between benzene exposure and chronic non-lymphocytic leukemia and chronic lymphocytic leukemia. The International Agency for Research on Carcinogens (IARC) has determined that benzene is a human carcinogen and the U.S. Department of Health and Human Services (DHHS) has characterized benzene as a known human carcinogen.
                        <E T="51">389, 390</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>386</SU>
                             U.S. EPA. 2000. Integrated Risk Information System File for Benzene. This material is available electronically at 
                            <E T="03">http://www.epa.gov/iris/subst/0276.htm.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>387</SU>
                             International Agency for Research on Cancer. 1982. Monographs on the evaluation of carcinogenic risk of chemicals to humans, Volume 29. Some industrial chemicals and dyestuffs, World Health Organization, Lyon, France, p. 345-389. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>388</SU>
                             Irons, R.D.; Stillman, W.S.; Colagiovanni, D.B.; Henry, V.A. 1992. Synergistic action of the benzene metabolite hydroquinone on myelopoietic stimulating activity of granulocyte/macrophage colony-stimulating factor in vitro, Proc. Natl. Acad. Sci. 89:3691-3695. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>389</SU>
                             
                            <E T="03">See</E>
                             IARC, Note 387, above.
                        </P>
                        <P>
                            <SU>390</SU>
                             U.S. Department of Health and Human Services National Toxicology Program 11th Report on Carcinogens available at: 
                            <E T="03">http://ntp.niehs.nih.gov/go/16183.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        A number of adverse noncancer health effects including blood disorders, such as preleukemia and aplastic anemia, have also been associated with long-term exposure to benzene.
                        <E T="51">391, 392</E>
                        <FTREF/>
                          
                        <PRTPAGE P="57307"/>
                        The most sensitive noncancer effect observed in humans, based on current data, is the depression of the absolute lymphocyte count in blood.
                        <E T="51">393, 394</E>
                        <FTREF/>
                         In addition, recent work, including studies sponsored by the Health Effects Institute (HEI), provides evidence that biochemical responses are occurring at lower levels of benzene exposure than previously known.
                        <E T="51">395, 396, 397, 398</E>
                        <FTREF/>
                         EPA's IRIS program has not yet evaluated these new data.
                    </P>
                    <FTNT>
                        <P>
                            <SU>391</SU>
                             Aksoy, M. (1989). Hematotoxicity and carcinogenicity of benzene. Environ. Health Perspect. 82: 193-197. Docket EPA-HQ-OAR-2010-0162.
                            <PRTPAGE/>
                        </P>
                        <P>
                            <SU>392</SU>
                             Goldstein, B.D. (1988). Benzene toxicity. Occupational medicine. State of the Art Reviews. 3: 541-554. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>393</SU>
                             Rothman, N., G.L. Li, M. Dosemeci, W.E. Bechtold, G.E. Marti, Y.Z. Wang, M. Linet, L.Q. Xi, W. Lu, M.T. Smith, N. Titenko-Holland, L.P. Zhang, W. Blot, S.N. Yin, and R.B. Hayes (1996) Hematotoxicity among Chinese workers heavily exposed to benzene. Am. J. Ind. Med. 29: 236-246. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>394</SU>
                             U.S. EPA (2002) Toxicological Review of Benzene (Noncancer Effects). Environmental Protection Agency, Integrated Risk Information System, Research and Development, National Center for Environmental Assessment, Washington DC. This material is available electronically at 
                            <E T="03">http://www.epa.gov/iris/subst/0276.htm.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>395</SU>
                             Qu, O.; Shore, R.; Li, G.; Jin, X.; Chen, C.L.; Cohen, B.; Melikian, A.; Eastmond, D.; Rappaport, S.; Li, H.; Rupa, D.; Suramaya, R.; Songnian, W.; Huifant, Y.; Meng, M.; Winnik, M.; Kwok, E.; Li, Y.; Mu, R.; Xu, B.; Zhang, X.; Li, K. (2003) HEI Report 115, Validation &amp; Evaluation of Biomarkers in Workers Exposed to Benzene in China. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>396</SU>
                             Qu, Q., R. Shore, G. Li, X. Jin, L.C. Chen, B. Cohen, et al. (2002) Hematological changes among Chinese workers with a broad range of benzene exposures. Am. J. Industr. Med. 42: 275-285. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>397</SU>
                             Lan, Qing, Zhang, L., Li, G., Vermeulen, R., et al. (2004) Hematotoxically in Workers Exposed to Low Levels of Benzene. Science 306: 1774-1776. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>398</SU>
                             Turtletaub, K.W. and Mani, C. (2003) Benzene metabolism in rodents at doses relevant to human exposure from Urban Air. Research Reports Health Effect Inst. Report No.113. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(c) 1,3-Butadiene</HD>
                    <P>
                        EPA has characterized 1,3-butadiene as carcinogenic to humans by inhalation.
                        <E T="51">399 400</E>
                        <FTREF/>
                         The IARC has determined that 1,3-butadiene is a human carcinogen and the U.S. DHHS has characterized 1,3-butadiene as a known human carcinogen.
                        <E T="51">401 402</E>
                        <FTREF/>
                         There are numerous studies consistently demonstrating that 1,3-butadiene is metabolized into genotoxic metabolites by experimental animals and humans. The specific mechanisms of 1,3-butadiene-induced carcinogenesis are unknown; however, the scientific evidence strongly suggests that the carcinogenic effects are mediated by genotoxic metabolites. Animal data suggest that females may be more sensitive than males for cancer effects associated with 1,3-butadiene exposure; there are insufficient data in humans from which to draw conclusions about sensitive subpopulations. 1,3-butadiene also causes a variety of reproductive and developmental effects in mice; no human data on these effects are available. The most sensitive effect was ovarian atrophy observed in a lifetime bioassay of female mice.
                        <SU>403</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>399</SU>
                             U.S. EPA (2002) Health Assessment of 1,3-Butadiene. Office of Research and Development, National Center for Environmental Assessment, Washington Office, Washington, DC. Report No. EPA600-P-98-001F. This document is available electronically at 
                            <E T="03">http://www.epa.gov/iris/supdocs/buta-sup.pdf.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>400</SU>
                             U.S. EPA (2002) Full IRIS Summary for 1,3-butadiene (CASRN 106-99-0). Environmental Protection Agency, Integrated Risk Information System (IRIS), Research and Development, National Center for Environmental Assessment, Washington, DC 
                            <E T="03">http://www.epa.gov/iris/subst/0139.htm.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>401</SU>
                             International Agency for Research on Cancer (1999) Monographs on the evaluation of carcinogenic risk of chemicals to humans, Volume 71, Re-evaluation of some organic chemicals, hydrazine and hydrogen peroxide and Volume 97 (in preparation), World Health Organization, Lyon, France. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>402</SU>
                             U.S. Department of Health and Human Services (2005) National Toxicology Program 11th Report on Carcinogens available at: ntp.niehs.nih.gov/index.cfm?objectid=32BA9724-F1F6-975E-7FCE50709CB4C932. Docket EPA-HQ-OAR-2010-0162
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>403</SU>
                             Bevan, C.; Stadler, J.C.; Elliot, G.S.; et al. (1996) Subchronic toxicity of 4-vinylcyclohexene in rats and mice by inhalation. Fundam. Appl. Toxicol. 32:1-10. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(d) Formaldehyde</HD>
                    <P>
                        Since 1987, EPA has classified formaldehyde as a probable human carcinogen based on evidence in humans and in rats, mice, hamsters, and monkeys.
                        <SU>404</SU>
                        <FTREF/>
                         EPA is currently reviewing recently published epidemiological data. For instance, research conducted by the National Cancer Institute found an increased risk of nasopharyngeal cancer and lymphohematopoietic malignancies such as leukemia among workers exposed to formaldehyde.
                        <E T="51">405 406</E>
                        <FTREF/>
                         In an analysis of the lymphohematopoietic cancer mortality from an extended follow-up of these workers, the National Cancer Institute confirmed an association between lymphohematopoietic cancer risk and peak exposures.
                        <SU>407</SU>
                        <FTREF/>
                         A recent National Institute of Occupational Safety and Health study of garment workers also found increased risk of death due to leukemia among workers exposed to formaldehyde.
                        <SU>408</SU>
                        <FTREF/>
                         Extended follow-up of a cohort of British chemical workers did not find evidence of an increase in nasopharyngeal or lymphohematopoietic cancers, but a continuing statistically significant excess in lung cancers was reported.
                        <SU>409</SU>
                        <FTREF/>
                         Recently, the IARC re-classified formaldehyde as a human carcinogen (Group 1).
                        <SU>410</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>404</SU>
                             U.S. EPA (1987) Assessment of Health Risks to Garment Workers and Certain Home Residents from Exposure to Formaldehyde, Office of Pesticides and Toxic Substances, April 1987. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>405</SU>
                             Hauptmann, M.; Lubin, J. H.; Stewart, P. A.; Hayes, R. B.; Blair, A. 2003. Mortality from lymphohematopoetic malignancies among workers in formaldehyde industries. Journal of the National Cancer Institute 95: 1615-1623. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>406</SU>
                             Hauptmann, M.; Lubin, J. H.; Stewart, P. A.; Hayes, R. B.; Blair, A. 2004. Mortality from solid cancers among workers in formaldehyde industries. American Journal of Epidemiology 159: 1117-1130. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>407</SU>
                             Beane Freeman, L. E.; Blair, A.; Lubin, J. H.; Stewart, P. A.; Hayes, R. B.; Hoover, R. N.; Hauptmann, M. 2009. Mortality from lymphohematopoietic malignancies among workers in formaldehyde industries: The National Cancer Institute cohort. J. National Cancer Inst. 101: 751-761. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>408</SU>
                             Pinkerton, L. E. 2004. Mortality among a cohort of garment workers exposed to formaldehyde: an update. Occup. Environ. Med. 61: 193-200. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>409</SU>
                             Coggon, D, EC Harris, J Poole, KT Palmer. 2003. Extended follow-up of a cohort of British chemical workers exposed to formaldehyde. J National Cancer Inst. 95:1608-1615. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>410</SU>
                             International Agency for Research on Cancer. 2006. Formaldehyde, 2-Butoxyethanol and 1-tert-Butoxypropan-2-ol. Volume 88. (in preparation), World Health Organization, Lyon, France. Docket EPA-HQ-OAR-2010-0162
                        </P>
                    </FTNT>
                    <P>
                        Formaldehyde exposure also causes a range of noncancer health effects, including irritation of the eyes (burning and watering of the eyes), nose and throat. Effects from repeated exposure in humans include respiratory tract irritation, chronic bronchitis and nasal epithelial lesions such as metaplasia and loss of cilia. Animal studies suggest that formaldehyde may also cause airway inflammation—including eosinophil infiltration into the airways. There are several studies that suggest that formaldehyde may increase the risk of asthma—particularly in the young.
                        <E T="51">411 412</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>411</SU>
                             Agency for Toxic Substances and Disease Registry (ATSDR). 1999. Toxicological profile for Formaldehyde. Atlanta, GA: U.S. Department of Health and Human Services, Public Health Service. 
                            <E T="03">http://www.atsdr.cdc.gov/toxprofiles/tp111.html</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>412</SU>
                             WHO (2002) Concise International Chemical Assessment Document 40: Formaldehyde. Published under the joint sponsorship of the United Nations Environment Programme, the International Labour Organization, and the World Health Organization, and produced within the framework of the Inter-Organization Programme for the Sound Management of Chemicals. Geneva. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(e) Acetaldehyde</HD>
                    <P>
                        Acetaldehyde is classified in EPA's IRIS database as a probable human carcinogen, based on nasal tumors in rats, and is considered toxic by the inhalation, oral, and intravenous 
                        <PRTPAGE P="57308"/>
                        routes.
                        <SU>413</SU>
                        <FTREF/>
                         Acetaldehyde is reasonably anticipated to be a human carcinogen by the U.S. DHHS in the 11th Report on Carcinogens and is classified as possibly carcinogenic to humans (Group 2B) by the IARC.
                        <E T="51">414 415</E>
                        <FTREF/>
                         EPA is currently conducting a reassessment of cancer risk from inhalation exposure to acetaldehyde.
                    </P>
                    <FTNT>
                        <P>
                            <SU>413</SU>
                             U.S. EPA. 1991. Integrated Risk Information System File of Acetaldehyde. Research and Development, National Center for Environmental Assessment, Washington, DC. 
                            <E T="03">Available at http://www.epa.gov/iris/subst/0290.htm.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>414</SU>
                             U.S. Department of Health and Human Services National Toxicology Program 11th Report on Carcinogens available at: 
                            <E T="03">ntp.niehs.nih.gov/index.cfm?objectid=32BA9724-F1F6-975E-7FCE50709CB4C932.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>415</SU>
                             International Agency for Research on Cancer. 1999. Re-evaluation of some organic chemicals, hydrazine, and hydrogen peroxide. IARC Monographs on the Evaluation of Carcinogenic Risk of Chemical to Humans, Vol 71. Lyon, France. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        The primary noncancer effects of exposure to acetaldehyde vapors include irritation of the eyes, skin, and respiratory tract.
                        <SU>416</SU>
                        <FTREF/>
                         In short-term (4 week) rat studies, degeneration of olfactory epithelium was observed at various concentration levels of acetaldehyde exposure.
                        <E T="51">417 418</E>
                        <FTREF/>
                         Data from these studies were used by EPA to develop an inhalation reference concentration. Some asthmatics have been shown to be a sensitive subpopulation to decrements in functional expiratory volume (FEV1 test) and bronchoconstriction upon acetaldehyde inhalation.
                        <SU>419</SU>
                        <FTREF/>
                         The agency is currently conducting a reassessment of the health hazards from inhalation exposure to acetaldehyde.
                    </P>
                    <FTNT>
                        <P>
                            <SU>416</SU>
                             
                            <E T="03">See</E>
                             Integrated Risk Information System File of Acetaldehyde, Note 413, above.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>417</SU>
                             Appleman, L. M., R. A. Woutersen, V. J. Feron, R. N. Hooftman, and W. R. F. Notten. 1986. Effects of the variable versus fixed exposure levels on the toxicity of acetaldehyde in rats. 
                            <E T="03">J. Appl. Toxicol.</E>
                             6: 331-336. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>418</SU>
                             Appleman, L.M., R.A. Woutersen, and V.J. Feron. 1982. Inhalation toxicity of acetaldehyde in rats. I. Acute and subacute studies. 
                            <E T="03">Toxicology.</E>
                             23: 293-297. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>419</SU>
                             Myou, S.; Fujimura, M.; Nishi K.; Ohka, T.; and Matsuda, T. 1993. Aerosolized acetaldehyde induces histamine-mediated bronchoconstriction in asthmatics. 
                            <E T="03">Am. Rev. Respir.Dis.</E>
                            148(4 Pt 1): 940-3. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(f) Acrolein</HD>
                    <P>
                        Acrolein is extremely acrid and irritating to humans when inhaled, with acute exposure resulting in upper respiratory tract irritation, mucus hypersecretion and congestion. The intense irritancy of this carbonyl has been demonstrated during controlled tests in human subjects, who suffer intolerable eye and nasal mucosal sensory reactions within minutes of exposure.
                        <SU>420</SU>
                        <FTREF/>
                         These data and additional studies regarding acute effects of human exposure to acrolein are summarized in EPA's 2003 IRIS Human Health Assessment for acrolein.
                        <SU>421</SU>
                        <FTREF/>
                         Evidence available from studies in humans indicate that levels as low as 0.09 ppm (0.21 mg/m
                        <SU>3</SU>
                        ) for five minutes may elicit subjective complaints of eye irritation with increasing concentrations leading to more extensive eye, nose and respiratory symptoms.
                        <SU>422</SU>
                        <FTREF/>
                         Lesions to the lungs and upper respiratory tract of rats, rabbits, and hamsters have been observed after subchronic exposure to acrolein.
                        <SU>423</SU>
                        <FTREF/>
                         Acute exposure effects in animal studies report bronchial hyper-responsiveness.
                        <SU>424</SU>
                        <FTREF/>
                         In a recent study, the acute respiratory irritant effects of exposure to 1.1 ppm acrolein were more pronounced in mice with allergic airway disease by comparison to non-diseased mice which also showed decreases in respiratory rate.
                        <SU>425</SU>
                        <FTREF/>
                         Based on these animal data and demonstration of similar effects in humans (
                        <E T="03">e.g.,</E>
                         reduction in respiratory rate), individuals with compromised respiratory function (
                        <E T="03">e.g.,</E>
                         emphysema, asthma) are expected to be at increased risk of developing adverse responses to strong respiratory irritants such as acrolein.
                    </P>
                    <FTNT>
                        <P>
                            <SU>420</SU>
                             U.S. EPA (U.S. Environmental Protection Agency). (2003) Toxicological review of acrolein in support of summary information on Integrated Risk Information System (IRIS) National Center for Environmental Assessment, Washington, DC. EPA/635/R-03/003. p. 10. Available online at: 
                            <E T="03">http://www.epa.gov/ncea/iris/toxreviews/0364tr.pdf.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>421</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA 2003 Toxicological review of acrolein, Note 420, above.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>422</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA 2003 Toxicological review of acrolein, Note 420, at p. 11.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>423</SU>
                             Integrated Risk Information System File of Acrolein. Office of Research and Development, National Center for Environmental Assessment, Washington, DC. This material is available at 
                            <E T="03">http://www.epa.gov/iris/subst/0364.htm</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>424</SU>
                             
                            <E T="03">See</E>
                             U.S. 2003 Toxicological review of acrolein, Note 420, at p. 15.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>425</SU>
                             Morris JB, Symanowicz PT, Olsen JE, et al. 2003. Immediate sensory nerve-mediated respiratory responses to irritants in healthy and allergic airway-diseased mice. J Appl Physiol 94(4):1563-1571. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        EPA determined in 2003 that the human carcinogenic potential of acrolein could not be determined because the available data were inadequate. No information was available on the carcinogenic effects of acrolein in humans and the animal data provided inadequate evidence of carcinogenicity.
                        <SU>426</SU>
                        <FTREF/>
                         The IARC determined in 1995 that acrolein was not classifiable as to its carcinogenicity in humans.
                        <SU>427</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>426</SU>
                             U.S. EPA. 2003. Integrated Risk Information System File of Acrolein. Research and Development, National Center for Environmental Assessment, Washington, DC. This material is available at 
                            <E T="03">http://www.epa.gov/iris/subst/0364.htm</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>427</SU>
                             International Agency for Research on Cancer. 1995. Monographs on the evaluation of carcinogenic risk of chemicals to humans, Volume 63. Dry cleaning, some chlorinated solvents and other industrial chemicals, World Health Organization, Lyon, France. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(g) Polycyclic Organic Matter</HD>
                    <P>
                        The term polycyclic organic matter (POM) defines a broad class of compounds that includes the polycyclic aromatic hydrocarbon compounds (PAHs). One of these compounds, naphthalene, is discussed separately below. POM compounds are formed primarily from combustion and are present in the atmosphere in gas and particulate form. Cancer is the major concern from exposure to POM. Epidemiologic studies have reported an increase in lung cancer in humans exposed to diesel exhaust, coke oven emissions, roofing tar emissions, and cigarette smoke; all of these mixtures contain POM compounds.
                        <SU>428,429</SU>
                        <FTREF/>
                         Animal studies have reported respiratory tract tumors from inhalation exposure to benzo[a]pyrene and alimentary tract and liver tumors from oral exposure to benzo[a]pyrene. EPA has classified seven PAHs (benzo[a]pyrene, benz[a]anthracene, chrysene, benzo[b]fluoranthene, benzo[k]fluoranthene, dibenz[a,h]anthracene, and indeno[1,2,3-cd]pyrene) as Group B2, probable human carcinogens.
                        <SU>430</SU>
                        <FTREF/>
                         Recent studies have found that maternal exposures to PAHs in a population of pregnant women were associated with several adverse birth outcomes, including low birth weight and reduced length at birth, as well as impaired cognitive development in preschool children (3 years of age).
                        <SU>431,432</SU>
                        <FTREF/>
                        EPA has not yet evaluated these recent studies.
                    </P>
                    <FTNT>
                        <P>
                            <SU>428</SU>
                             Agency for Toxic Substances and Disease Registry (ATSDR). 1995. Toxicological profile for Polycyclic Aromatic Hydrocarbons (PAHs). Atlanta, GA: U.S. Department of Health and Human Services, Public Health Service. Available electronically at 
                            <E T="03">http://www.atsdr.cdc.gov/ToxProfiles/TP.asp?id=122&amp;tid=25.</E>
                        </P>
                        <P>
                            <SU>429</SU>
                             U.S. EPA (2002). 
                            <E T="03">Health Assessment Document for Diesel Engine Exhaust.</E>
                             EPA/600/8-90/057F Office of Research and Development, Washington DC. 
                            <E T="03">http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>430</SU>
                             U.S. EPA (1997). Integrated Risk Information System File of indeno(1,2,3-cd)pyrene. Research and Development, National Center for Environmental Assessment, Washington, DC. This material is available electronically at 
                            <E T="03">http://www.epa.gov/ncea/iris/subst/0457.htm.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>431</SU>
                             Perera, F.P.; Rauh, V.; Tsai, W-Y.; et al. (2002) Effect of transplacental exposure to environmental pollutants on birth outcomes in a multiethnic population. Environ Health Perspect. 111: 201-205.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>432</SU>
                             Perera, F.P.; Rauh, V.; Whyatt, R.M.; Tsai, W.Y.; Tang, D.; Diaz, D.; Hoepner, L.; Barr, D.; Tu, Y.H.; Camann, D.; Kinney, P. (2006) Effect of prenatal exposure to airborne polycyclic aromatic hydrocarbons on neurodevelopment in the first 3 years of life among inner-city children. Environ Health Perspect 114: 1287-1292.
                        </P>
                    </FTNT>
                    <PRTPAGE P="57309"/>
                    <HD SOURCE="HD3">(h) Naphthalene</HD>
                    <P>
                        Naphthalene is found in small quantities in gasoline and diesel fuels. Naphthalene emissions have been measured in larger quantities in both gasoline and diesel exhaust compared with evaporative emissions from mobile sources, indicating it is primarily a product of combustion. EPA released an external review draft of a reassessment of the inhalation carcinogenicity of naphthalene based on a number of recent animal carcinogenicity studies.
                        <SU>433</SU>
                        <FTREF/>
                         The draft reassessment completed external peer review.
                        <SU>434</SU>
                        <FTREF/>
                         Based on external peer review comments received, additional analyses are being undertaken. This external review draft does not represent official agency opinion and was released solely for the purposes of external peer review and public comment. The National Toxicology Program listed naphthalene as “reasonably anticipated to be a human carcinogen” in 2004 on the basis of bioassays reporting clear evidence of carcinogenicity in rats and some evidence of carcinogenicity in mice.
                        <SU>435</SU>
                        <FTREF/>
                         California EPA has released a new risk assessment for naphthalene, and the IARC has reevaluated naphthalene and re-classified it as Group 2B: possibly carcinogenic to humans.
                        <SU>436</SU>
                        <FTREF/>
                         Naphthalene also causes a number of chronic non-cancer effects in animals, including abnormal cell changes and growth in respiratory and nasal tissues.
                        <SU>437</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>433</SU>
                             U. S. EPA. 2004. Toxicological Review of Naphthalene (Reassessment of the Inhalation Cancer Risk), Environmental Protection Agency, Integrated Risk Information System, Research and Development, National Center for Environmental Assessment, Washington, DC. This material is available electronically at 
                            <E T="03">http://www.epa.gov/iris/subst/0436.htm.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>434</SU>
                             Oak Ridge Institute for Science and Education. (2004). External Peer Review for the IRIS Reassessment of the Inhalation Carcinogenicity of Naphthalene. August 2004. 
                            <E T="03">http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=84403 Docket EPA-HQ-OAR-2010-0162.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>435</SU>
                             National Toxicology Program (NTP). (2004). 11th Report on Carcinogens. Public Health Service, U.S. Department of Health and Human Services, Research Triangle Park, NC. Available from: 
                            <E T="03">http://ntp-server.niehs.nih.gov.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>436</SU>
                             International Agency for Research on Cancer. (2002). Monographs on the Evaluation of the Carcinogenic Risk of Chemicals for Humans. Vol. 82. Lyon, France. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>437</SU>
                             U. S. EPA. 1998. Toxicological Review of Naphthalene, Environmental Protection Agency, Integrated Risk Information System, Research and Development, National Center for Environmental Assessment, Washington, DC. This material is available electronically at 
                            <E T="03">http://www.epa.gov/iris/subst/0436.htm</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(i) Other Air Toxics</HD>
                    <P>
                        In addition to the compounds described above, other compounds in gaseous hydrocarbon and PM emissions from heavy-duty vehicles will be affected by this final action. Mobile source air toxic compounds that would potentially be impacted include ethylbenzene, propionaldehyde, toluene, and xylene. Information regarding the health effects of these compounds can be found in EPA's IRIS database.
                        <SU>438</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>438</SU>
                             U.S. EPA Integrated Risk Information System (IRIS) database is available at: 
                            <E T="03">http://www.epa.gov/iris.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(j) Exposure and Health Effects Associated with Traffic</HD>
                    <P>Populations who live, work, or attend school near major roads experience elevated exposure concentrations to a wide range of air pollutants, as well as higher risks for a number of adverse health effects. While the previous sections of this preamble have focused on the health effects associated with individual criteria pollutants or air toxics, this section discusses the mixture of different exposures near major roadways, rather than the effects of any single pollutant. As such, this section emphasizes traffic-related air pollution, in general, as the relevant indicator of exposure rather than any particular pollutant.</P>
                    <P>
                        Concentrations of many traffic-generated air pollutants are elevated for up to 300-500 meters downwind of roads with high traffic volumes.
                        <SU>439</SU>
                        <FTREF/>
                         Numerous sources on roads contribute to elevated roadside concentrations, including exhaust and evaporative emissions, and resuspension of road dust and tire and brake wear. Concentrations of several criteria and hazardous air pollutants are elevated near major roads. Furthermore, different semi-volatile organic compounds and chemical components of particulate matter, including elemental carbon, organic material, and trace metals, have been reported at higher concentrations near major roads.
                    </P>
                    <FTNT>
                        <P>
                            <SU>439</SU>
                             
                        </P>
                        Zhou, Y.; Levy, J.I. (2007) Factors influencing the spatial extent of mobile source air pollution impacts: A meta-analysis. BMC Public Health 7:89. doi:10.1186/1471-2458-7-89 Docket EPA-HQ-OAR-2010-0162.
                    </FTNT>
                    <P>
                        Populations near major roads experience greater risk of certain adverse health effects. The Health Effects Institute published a report on the health effects of traffic-related air pollution.
                        <SU>440</SU>
                        <FTREF/>
                         It concluded that evidence is “sufficient to infer the presence of a causal association” between traffic exposure and exacerbation of childhood asthma symptoms. The HEI report also concludes that the evidence is either “sufficient” or “suggestive but not sufficient” for a causal association between traffic exposure and new childhood asthma cases. A review of asthma studies by Salam 
                        <E T="03">et al.</E>
                         (2008) reaches similar conclusions.
                        <SU>441</SU>
                        <FTREF/>
                         The HEI report also concludes that there is “suggestive” evidence for pulmonary function deficits associated with traffic exposure, but concluded that there is “inadequate and insufficient” evidence for causal associations with respiratory health care utilization, adult-onset asthma, chronic obstructive pulmonary disease symptoms, and allergy. A review by Holguin (2008) notes that the effects of traffic on asthma may be modified by nutrition status, medication use, and genetic factors.
                        <SU>442</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>440</SU>
                             HEI Panel on the Health Effects of Air Pollution. (2010) Traffic-related air pollution: a critical review of the literature on emissions, exposure, and health effects. [Online at 
                            <E T="03">http://www.healtheffects.org</E>
                            ] Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>441</SU>
                             Salam, M.T.; Islam, T.; Gilliland, F.D. (2008) Recent evidence for adverse effects of residential proximity to traffic sources on asthma. Current Opin Pulm Med 14: 3-8. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>442</SU>
                             Holguin, F. (2008) Traffic, outdoor air pollution, and asthma. Immunol Allergy Clinics North Am 28: 577-588. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        The HEI report also concludes that evidence is “suggestive” of a causal association between traffic exposure and all-cause and cardiovascular mortality. There is also evidence of an association between traffic-related air pollutants and cardiovascular effects such as changes in heart rhythm, heart attack, and cardiovascular disease. The HEI report characterizes this evidence as “suggestive” of a causal association, and an independent epidemiological literature review by Adar and Kaufman (2007) concludes that there is “consistent evidence” linking traffic-related pollution and adverse cardiovascular health outcomes.
                        <SU>443</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>443</SU>
                             Adar, S.D.; Kaufman, J.D. (2007) Cardiovascular disease and air pollutants: evaluating and improving epidemiological data implicating traffic exposure. Inhal Toxicol 19: 135-149. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Some studies have reported associations between traffic exposure and other health effects, such as birth outcomes (
                        <E T="03">e.g.,</E>
                         low birth weight) and childhood cancer. The HEI report concludes that there is currently “inadequate and insufficient” evidence for a causal association between these effects and traffic exposure. A review by Raaschou-Nielsen and Reynolds (2006) concluded that evidence of an association between childhood cancer and traffic-related air pollutants is weak, 
                        <PRTPAGE P="57310"/>
                        but noted the inability to draw firm conclusions based on limited evidence.
                        <SU>444</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>444</SU>
                             Raaschou-Nielsen, O.; Reynolds, P. (2006) Air pollution and childhood cancer: a review of the epidemiological literature. Int J Cancer 118: 2920-2929. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        There is a large population in the United States living in close proximity of major roads. According to the Census Bureau's American Housing Survey for 2007, approximately 20 million residences in the United States, 15.6 percent of all homes, are located within 300 feet (91 m) of a highway with 4+ lanes, a railroad, or an airport.
                        <SU>445</SU>
                        <FTREF/>
                         Therefore, at current population of approximately 309 million, assuming that population and housing are similarly distributed, there are over 48 million people in the United States living near such sources. The HEI report also notes that in two North American cities, Los Angeles and Toronto, over 40 percent of each city's population live within 500 meters of a highway or 100 meters of a major road. It also notes that about 33 percent of each city's population resides within 50 meters of major roads. Together, the evidence suggests that a large U.S. population lives in areas with elevated traffic-related air pollution.
                    </P>
                    <FTNT>
                        <P>
                            <SU>445</SU>
                             U.S. Census Bureau (2008) American Housing Survey for the United States in 2007. Series H-150 (National Data), Table 1A-7. [Accessed at 
                            <E T="03">http://www.census.gov/hhes/www/housing/ahs/ahs07/ahs07.html</E>
                             on January 22, 2009] Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        People living near roads are often socioeconomically disadvantaged. According to the 2007 American Housing Survey, a renter-occupied property is over twice as likely as an owner-occupied property to be located near a highway with 4+ lanes, railroad or airport. In the same survey, the median household income of rental housing occupants was less than half that of owner-occupants ($28,921/$59,886). Numerous studies in individual urban areas report higher levels of traffic-related air pollutants in areas with high minority or poor populations.
                        <E T="51">446 447 448</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>446</SU>
                             Lena, T.S.; Ochieng, V.; Carter, M.; Holguín-Veras, J.; Kinney, P.L. (2002) Elemental carbon and PM
                            <E T="52">2.5</E>
                             levels in an urban community heavily impacted by truck traffic. Environ Health Perspect 110: 1009-1015. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>447</SU>
                             Wier, M.; Sciammas, C.; Seto, E.; Bhatia, R.; Rivard, T. (2009) Health, traffic, and environmental justice: collaborative research and community action in San Francisco, California. Am J Public Health 99: S499-S504. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>448</SU>
                             Forkenbrock, D.J. and L.A. Schweitzer, 
                            <E T="03">Environmental Justice and Transportation Investment Policy.</E>
                             Iowa City: University of Iowa, 1997. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Students may also be exposed in situations where schools are located near major roads. In a study of nine metropolitan areas across the United States, Appatova 
                        <E T="03">et al.</E>
                         (2008) found that on average greater than 33 percent of schools were located within 400 m of an Interstate, U.S., or state highway, while 12 percent were located within 100 m.
                        <SU>449</SU>
                        <FTREF/>
                         The study also found that among the metropolitan areas studied, schools in the Eastern United States were more often sited near major roadways than schools in the Western United States.
                    </P>
                    <FTNT>
                        <P>
                            <SU>449</SU>
                             Appatova, A.S.; Ryan, P.H.; LeMasters, G.K.; Grinshpun, S.A. (2008) Proximal exposure of public schools and students to major roadways: a nationwide U.S. survey. J Environ Plan Mgmt Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Demographic studies of students in schools near major roadways suggest that this population is more likely than the general student population to be of non-white race or Hispanic ethnicity, and more often live in low socioeconomic status locations.
                        <E T="51">450 451 452</E>
                        <FTREF/>
                         There is some inconsistency in the evidence, which may be due to different local development patterns and measures of traffic and geographic scale used in the studies.
                        <SU>449</SU>
                    </P>
                    <FTNT>
                        <P>
                            <SU>450</SU>
                             Green, R.S.; Smorodinsky, S.; Kim, J.J.; McLaughlin, R.; Ostro, B. (2004) Proximity of California public schools to busy roads. Environ Health Perspect 112: 61-66. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>451</SU>
                             Houston, D.; Ong, P.; Wu, J.; Winer, A. (2006) Proximity of licensed child care facilities to near-roadway vehicle pollution. Am J Public Health 96: 1611-1617. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>452</SU>
                             Wu, Y.; Batterman, S. (2006) Proximity of schools in Detroit, Michigan to automobile and truck traffic. J Exposure Sci Environ Epidemiol 16: 457-470. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">C. Environmental Effects of Non-GHG Pollutants</HD>
                    <P>In this section we discuss some of the environmental effects of PM and its precursors such as visibility impairment, atmospheric deposition, and materials damage and soiling, as well as environmental effects associated with the presence of ozone in the ambient air, such as impacts on plants, including trees, agronomic crops and urban ornamentals, and environmental effects associated with air toxics.</P>
                    <HD SOURCE="HD3">(1) Visibility</HD>
                    <P>
                        Visibility can be defined as the degree to which the atmosphere is transparent to visible light.
                        <SU>453</SU>
                        <FTREF/>
                         Visibility impairment is caused by light scattering and absorption by suspended particles and gases. Visibility is important because it has direct significance to people's enjoyment of daily activities in all parts of the country. Individuals value good visibility for the well-being it provides them directly, where they live and work, and in places where they enjoy recreational opportunities. Visibility is also highly valued in significant natural areas, such as national parks and wilderness areas, and special emphasis is given to protecting visibility in these areas. For more information on visibility see the final 2009 PM ISA.
                        <SU>454</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>453</SU>
                             National Research Council, 1993. Protecting Visibility in National Parks and Wilderness Areas. National Academy of Sciences Committee on Haze in National Parks and Wilderness Areas. National Academy Press, Washington, DC. Docket EPA-HQ-OAR-2010-0162. This book can be viewed on the National Academy Press Web site at 
                            <E T="03">http://www.nap.edu/books/0309048443/html/.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>454</SU>
                             
                            <E T="03">See</E>
                             U.S. EPA 2009 Final PM ISA, Note 355.
                        </P>
                    </FTNT>
                    <P>
                        EPA is pursuing a two-part strategy to address visibility impairment. First, EPA developed the regional haze program (64 FR 35714) which was put in place in July 1999 to protect the visibility in Mandatory Class I Federal areas. There are 156 national parks, forests and wilderness areas categorized as Mandatory Class I Federal areas (62 FR 38680-38681, July 18, 1997). These areas are defined in CAA section 162 as those national parks exceeding 6,000 acres, wilderness areas and memorial parks exceeding 5,000 acres, and all international parks which were in existence on August 7, 1977. Second, EPA has concluded that PM
                        <E T="52">2.5</E>
                         causes adverse effects on visibility in other areas that are not protected by the Regional Haze Rule, depending on PM
                        <E T="52">2.5</E>
                         concentrations and other factors that control their visibility impact effectiveness such as dry chemical composition and relative humidity (
                        <E T="03">i.e.,</E>
                         an indicator of the water composition of the particles), and has set secondary PM
                        <E T="52">2.5</E>
                         standards to address these areas. The existing annual primary and secondary PM
                        <E T="52">2.5</E>
                         standards have been remanded by the DC Circuit (see 
                        <E T="03">American Farm Bureau</E>
                         v. EPA, 559 F. 3d 512 (DC Cir. 2009) and are being addressed in the currently ongoing PM NAAQS review.
                    </P>
                    <HD SOURCE="HD3">(2) Plant and Ecosystem Effects of Ozone</HD>
                    <P>
                        Elevated ozone levels contribute to environmental effects, with impacts to plants and ecosystems being of most concern. Ozone can produce both acute and chronic injury in sensitive species depending on the concentration level and the duration of the exposure. Ozone effects also tend to accumulate over the growing season of the plant, so that even low concentrations experienced for a longer duration have the potential to create chronic stress on vegetation. Ozone damage to plants includes visible injury to leaves and impaired photosynthesis, both of which can lead to reduced plant growth and reproduction, resulting in reduced crop yields, forestry production, and use of 
                        <PRTPAGE P="57311"/>
                        sensitive ornamentals in landscaping. In addition, the impairment of photosynthesis, the process by which the plant makes carbohydrates (its source of energy and food), can lead to a subsequent reduction in root growth and carbohydrate storage below ground, resulting in other, more subtle plant and ecosystems impacts.
                    </P>
                    <P>These latter impacts include increased susceptibility of plants to insect attack, disease, harsh weather, interspecies competition and overall decreased plant vigor. The adverse effects of ozone on forest and other natural vegetation can potentially lead to species shifts and loss from the affected ecosystems, resulting in a loss or reduction in associated ecosystem goods and services. Lastly, visible ozone injury to leaves can result in a loss of aesthetic value in areas of special scenic significance like national parks and wilderness areas. The final 2006 Ozone Air Quality Criteria Document presents more detailed information on ozone effects on vegetation and ecosystems.</P>
                    <HD SOURCE="HD3">(3) Atmospheric Deposition</HD>
                    <P>
                        Wet and dry deposition of ambient particulate matter delivers a complex mixture of metals (
                        <E T="03">e.g.,</E>
                         mercury, zinc, lead, nickel, aluminum, cadmium), organic compounds (
                        <E T="03">e.g.,</E>
                         polycyclic organic matter, dioxins, furans) and inorganic compounds (
                        <E T="03">e.g.,</E>
                         nitrate, sulfate) to terrestrial and aquatic ecosystems. The chemical form of the compounds deposited depends on a variety of factors including ambient conditions (
                        <E T="03">e.g.,</E>
                         temperature, humidity, oxidant levels) and the sources of the material. Chemical and physical transformations of the compounds occur in the atmosphere as well as the media onto which they deposit. These transformations in turn influence the fate, bioavailability and potential toxicity of these compounds. Atmospheric deposition has been identified as a key component of the environmental and human health hazard posed by several pollutants including mercury, dioxin and PCBs.
                        <SU>455</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>455</SU>
                             U.S. EPA (2000) Deposition of Air Pollutants to the Great Waters: Third Report to Congress. Office of Air Quality Planning and Standards. EPA-453/R-00-0005. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Adverse impacts on water quality can occur when atmospheric contaminants deposit to the water surface or when material deposited on the land enters a waterbody through runoff. Potential impacts of atmospheric deposition to waterbodies include those related to both nutrient and toxic inputs. Adverse effects to human health and welfare can occur from the addition of excess nitrogen via atmospheric deposition. The nitrogen-nutrient enrichment contributes to toxic algae blooms and zones of depleted oxygen, which can lead to fish kills, frequently in coastal waters. Deposition of heavy metals or other toxics may lead to the human ingestion of contaminated fish, impairment of drinking water, damage to the marine ecology, and limits to recreational uses. Several studies have been conducted in U.S. coastal waters and in the Great Lakes Region in which the role of ambient PM deposition and runoff is investigated.
                        <E T="51">456 457 458 459 460</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>456</SU>
                             U.S. EPA (2004) National Coastal Condition Report II. Office of Research and Development/Office of Water. EPA-620/R-03/002. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>457</SU>
                             Gao, Y., E.D. Nelson, M.P. Field, et al. 2002. Characterization of atmospheric trace elements on PM
                            <E T="52">2.5</E>
                             particulate matter over the New York-New Jersey harbor estuary. 
                            <E T="03">Atmos. Environ.</E>
                             36: 1077-1086. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>458</SU>
                             Kim, G., N. Hussain, J.R. Scudlark, and T.M. Church. 2000. Factors influencing the atmospheric depositional fluxes of stable Pb, 210Pb, and 7Be into Chesapeake Bay. 
                            <E T="03">J. Atmos. Chem.</E>
                             36: 65-79. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>459</SU>
                             Lu, R., R.P. Turco, K. Stolzenbach, et al. 2003. Dry deposition of airborne trace metals on the Los Angeles Basin and adjacent coastal waters. 
                            <E T="03">J. Geophys. Res.</E>
                             108(D2, 4074): AAC 11-1 to 11-24. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>460</SU>
                             Marvin, C.H., M.N. Charlton, E.J. Reiner, et al. 2002. Surficial sediment contamination in Lakes Erie and Ontario: A comparative analysis. 
                            <E T="03">J. Great Lakes Res.</E>
                             28(3): 437-450. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Atmospheric deposition of nitrogen and sulfur contributes to acidification, altering biogeochemistry and affecting animal and plant life in terrestrial and aquatic ecosystems across the United States. The sensitivity of terrestrial and aquatic ecosystems to acidification from nitrogen and sulfur deposition is predominantly governed by geology. Prolonged exposure to excess nitrogen and sulfur deposition in sensitive areas acidifies lakes, rivers and soils. Increased acidity in surface waters creates inhospitable conditions for biota and affects the abundance and nutritional value of preferred prey species, threatening biodiversity and ecosystem function. Over time, acidifying deposition also removes essential nutrients from forest soils, depleting the capacity of soils to neutralize future acid loadings and negatively affecting forest sustainability. Major effects include a decline in sensitive forest tree species, such as red spruce (
                        <E T="03">Picea rubens</E>
                        ) and sugar maple (
                        <E T="03">Acer saccharum</E>
                        ), and a loss of biodiversity of fishes, zooplankton, and macro invertebrates.
                    </P>
                    <P>In addition to the role nitrogen deposition plays in acidification, nitrogen deposition also leads to nutrient enrichment and altered biogeochemical cycling. In aquatic systems increased nitrogen can alter species assemblages and cause eutrophication. In terrestrial systems nitrogen loading can lead to loss of nitrogen sensitive lichen species, decreased biodiversity of grasslands, meadows and other sensitive habitats, and increased potential for invasive species. For a broader explanation of the topics treated here, refer to the description in Section 7.1.2 of the RIA.</P>
                    <P>Adverse impacts on soil chemistry and plant life have been observed for areas heavily influenced by atmospheric deposition of nutrients, metals and acid species, resulting in species shifts, loss of biodiversity, forest decline and damage to forest productivity. Potential impacts also include adverse effects to human health through ingestion of contaminated vegetation or livestock (as in the case for dioxin deposition), reduction in crop yield, and limited use of land due to contamination.</P>
                    <P>Atmospheric deposition of pollutants can reduce the aesthetic appeal of buildings and culturally important articles through soiling, and can contribute directly (or in conjunction with other pollutants) to structural damage by means of corrosion or erosion. Atmospheric deposition may affect materials principally by promoting and accelerating the corrosion of metals, by degrading paints, and by deteriorating building materials such as concrete and limestone. Particles contribute to these effects because of their electrolytic, hygroscopic, and acidic properties, and their ability to adsorb corrosive gases (principally sulfur dioxide).</P>
                    <HD SOURCE="HD3">(4) Environmental Effects of Air Toxics</HD>
                    <P>
                        Emissions from producing, transporting and combusting fuel contribute to ambient levels of pollutants that contribute to adverse effects on vegetation. Volatile organic compounds, some of which are considered air toxics, have long been suspected to play a role in vegetation damage.
                        <SU>461</SU>
                        <FTREF/>
                         In laboratory experiments, a wide range of tolerance to VOCs has been observed.
                        <SU>462</SU>
                        <FTREF/>
                         Decreases in harvested seed pod weight have been reported for the more sensitive plants, and some studies have reported effects on seed germination, flowering and fruit 
                        <PRTPAGE P="57312"/>
                        ripening. Effects of individual VOCs or their role in conjunction with other stressors (
                        <E T="03">e.g.,</E>
                         acidification, drought, temperature extremes) have not been well studied. In a recent study of a mixture of VOCs including ethanol and toluene on herbaceous plants, significant effects on seed production, leaf water content and photosynthetic efficiency were reported for some plant species.
                        <SU>463</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>461</SU>
                             U.S. EPA. 1991. Effects of organic chemicals in the atmosphere on terrestrial plants. EPA/600/3-91/001. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>462</SU>
                             Cape JN, ID Leith, J Binnie, J Content, M Donkin, M Skewes, DN Price AR Brown, AD Sharpe. 2003. Effects of VOCs on herbaceous plants in an open-top chamber experiment. Environ. Pollut. 124:341-343. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>463</SU>
                             Cape JN, ID Leith, J Binnie, J Content, M Donkin, M Skewes, DN Price AR Brown, AD Sharpe. 2003. Effects of VOCs on herbaceous plants in an open-top chamber experiment. Environ. Pollut. 124:341-343. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>
                        Research suggests an adverse impact of vehicle exhaust on plants, which has in some cases been attributed to aromatic compounds and in other cases to nitrogen oxides.
                        <E T="51">464 465 466</E>
                        <FTREF/>
                         The impacts of VOCs on plant reproduction may have long-term implications for biodiversity and survival of native species near major roadways. Most of the studies of the impacts of VOCs on vegetation have focused on short-term exposure and few studies have focused on long-term effects of VOCs on vegetation and the potential for metabolites of these compounds to affect herbivores or insects.
                    </P>
                    <FTNT>
                        <P>
                            <SU>464</SU>
                             Viskari E-L. 2000. Epicuticular wax of Norway spruce needles as indicator of traffic pollutant deposition. Water, Air, and Soil Pollut. 121:327-337. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>465</SU>
                             Ugrekhelidze D, F Korte, G Kvesitadze. 1997. Uptake and transformation of benzene and toluene by plant leaves. Ecotox. Environ. Safety 37:24-29. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                        <P>
                            <SU>466</SU>
                             Kammerbauer H, H Selinger, R Rommelt, A Ziegler-Jons, D Knoppik, B Hock. 1987. Toxic components of motor vehicle emissions for the spruce Picea abies. Environ. Pollut. 48:235-243. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">D. Air Quality Impacts of Non-GHG Pollutants</HD>
                    <P>
                        Air quality modeling was performed to assess the impact of the heavy-duty vehicle standards on criteria and air toxic pollutants. In this section, we present information on current modeled levels of pollution as well as projections for 2030, with respect to ambient PM
                        <E T="52">2.5</E>
                        , ozone, selected air toxics, visibility levels and nitrogen and sulfur deposition. The results are discussed in more detail in Section 8.2 of the RIA.
                    </P>
                    <P>We used the Community Multi-scale Air Quality (CMAQ) photochemical model, version 4.7.1, for our analysis. This version of CMAQ includes a number of improvements to previous versions of the model. These improvements are discussed in Section 8.2.2 of the RIA.</P>
                    <HD SOURCE="HD3">(1) Ozone</HD>
                    <HD SOURCE="HD3">(a) Current Levels</HD>
                    <P>8-hour ozone concentrations exceeding the level of the ozone NAAQS occur in many parts of the country. In 2008, the EPA amended the ozone NAAQS (73 FR 16436, March 27, 2008). The final 2008 ozone NAAQS rule set forth revisions to the previous 1997 NAAQS for ozone to provide increased protection of public health and welfare. On January 6, 2010, EPA proposed to reconsider the 2008 ozone NAAQS to ensure that they are requisite to protect public health with an ample margin of safety, and requisite to protect public welfare (75 FR 2938, January 19, 2010). EPA intends to complete the reconsideration by July 31, 2011. If, as a result of the reconsideration, EPA promulgates different ozone standards, the new 2011 ozone standards would replace the 2008 ozone standards and the requirement to designate areas for the replaced 2008 standards would no longer apply.</P>
                    <P>As of April 21, 2011 there are 44 areas designated as nonattainment for the 1997 8-hour ozone NAAQS, comprising 242 full or partial counties with a total population of over 118 million people. These numbers do not include the people living in areas where there is a future risk of failing to maintain or attain the 1997 8-hour ozone NAAQS. The numbers above likely underestimate the number of counties that are not meeting the ozone NAAQS because the nonattainment areas associated with the more stringent 2008 8-hour ozone NAAQS have not yet been designated. Table VII-7 provides an estimate, based on 2006-08 air quality data, of the counties with design values greater than the 2008 8-hour ozone NAAQS of 0.075 ppm.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,12,12">
                        <TTITLE>Table VII-7—Counties With Design Values Greater Than the Ozone NAAQS</TTITLE>
                        <BOXHD>
                            <CHED H="1">Standard</CHED>
                            <CHED H="1">Number of counties</CHED>
                            <CHED H="1">
                                Population 
                                <SU>a</SU>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1997 Ozone Standard: counties within the 54 areas currently designated as nonattainment (as of 1/6/10)</ENT>
                            <ENT>266</ENT>
                            <ENT>122,343,799</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                2008 Ozone Standard: additional counties that would not meet the 2008 NAAQS (based on 2006-2008 air quality data) 
                                <SU>b</SU>
                            </ENT>
                            <ENT>156</ENT>
                            <ENT>36,678,478</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total</ENT>
                            <ENT>422</ENT>
                            <ENT>159,022,277</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Population numbers are from 2000 census data.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Area designations for the 2008 ozone NAAQS have not yet been made. Nonattainment for the 2008 Ozone NAAQS would be based on three years of air quality data from later years. Also, the county numbers in this row include only the counties with monitors violating the 2008 Ozone NAAQS. The numbers in this table may be an underestimate of the number of counties and populations that will eventually be included in areas with multiple counties designated nonattainment.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(b) Projected Levels Without This Final Action</HD>
                    <P>States with 8-hour ozone nonattainment areas are required to take action to bring those areas into compliance in the future. Based on the final rule designating and classifying 8-hour ozone nonattainment areas for the 1997 standard (69 FR 23951, April 30, 2004), most 8-hour ozone nonattainment areas will be required to attain the ozone NAAQS in the 2007 to 2013 time frame and then maintain the NAAQS thereafter. As noted, EPA is reconsidering the 2008 ozone NAAQS. If EPA promulgates different ozone NAAQS in 2011 as a result of the reconsideration, these standards would replace the 2008 ozone NAAQS and there would no longer be a requirement to designate areas for the 2008 NAAQS. Attainment dates for any 2011 ozone NAAQS would range from 3 to 20 years from designation, depending on the area's classification.</P>
                    <P>
                        EPA has already adopted many emission control programs that are expected to reduce ambient ozone levels and assist in reducing the number of areas that fail to achieve the ozone NAAQS. Even so, our air quality modeling projects that in 2030, with all current controls but excluding the impacts of the heavy-duty standards, up to 10 counties with a population of over 30 million may not attain the 2008 ozone standard of 0.075 ppm (75 ppb). These numbers do not account for those 
                        <PRTPAGE P="57313"/>
                        areas that are close to (
                        <E T="03">e.g.,</E>
                         within 10 percent of) the 2008 ozone standard. These areas, although not violating the standards, will also be impacted by changes in ozone as they work to ensure long-term maintenance of the ozone NAAQS.
                    </P>
                    <HD SOURCE="HD3">(c) Projected Levels With This Final Action</HD>
                    <P>
                        Our modeling indicates ozone design value concentrations will decrease in many areas of the country due to this action. The decreases in ozone design values are likely due to projected tailpipe reductions in NO
                        <E T="52">X</E>
                         and projected upstream emissions decreases in NO
                        <E T="52">X</E>
                         and VOCs from reduced gasoline production. The majority of the ozone design value decreases are less than 1 ppb. The maximum projected decrease in an 8-hour ozone design value is 1.57 ppb in Jefferson County, Tennessee. On a population-weighted basis, the average modeled 8-hour ozone design values are projected to decrease by 0.39 ppb in 2030 and the design values for those counties that are projected to be above the 2008 ozone standard in 2030 will see population-weighted decreases of 0.16 ppb due to the heavy-duty standards.
                    </P>
                    <HD SOURCE="HD3">(2) Particulate Matter</HD>
                    <HD SOURCE="HD3">(a) Current Levels</HD>
                    <P>
                        PM
                        <E T="52">2.5</E>
                         concentrations exceeding the level of the PM
                        <E T="52">2.5</E>
                         NAAQS occur in many parts of the country. In 2005, EPA designated 39 nonattainment areas for the 1997 PM
                        <E T="52">2.5</E>
                         NAAQS (70 FR 943, January 5, 2005). These areas are composed of 208 full or partial counties with a total population exceeding 88 million. The 1997 PM
                        <E T="52">2.5</E>
                         NAAQS was revised in 2006 and the 2006 24-hour PM
                        <E T="52">2.5</E>
                         NAAQS became effective on December 18, 2006. On October 8, 2009, the EPA issued final nonattainment area designations for the 2006 24-hour PM
                        <E T="52">2.5</E>
                         NAAQS (74 FR 58688, November 13, 2009). These designations include 32 areas composed of 121 full or partial counties with a population of over 70 million. In total, there are 54 PM
                        <E T="52">2.5</E>
                         nonattainment areas composed of 243 counties with a population of almost 102 million people.
                    </P>
                    <HD SOURCE="HD3">(b) Projected Levels Without This Final Action</HD>
                    <P>
                        States with PM
                        <E T="52">2.5</E>
                         nonattainment areas are required to take action to bring those areas into compliance in the future. Areas designated as not attaining the 1997 PM
                        <E T="52">2.5</E>
                         NAAQS will need to attain the 1997 standards in the 2010 to 2015 time frame, and then maintain them thereafter. The 2006 24-hour PM
                        <E T="52">2.5</E>
                         nonattainment areas will be required to attain the 2006 24-hour PM
                        <E T="52">2.5</E>
                         NAAQS in the 2014 to 2019 time frame and then be required to maintain the 2006 24-hour PM
                        <E T="52">2.5</E>
                         NAAQS thereafter. The heavy-duty standards finalized in this action become effective in 2012 and therefore may be useful to states in attaining or maintaining the PM
                        <E T="52">2.5</E>
                         NAAQS.
                    </P>
                    <P>
                        EPA has already adopted many emission control programs that are expected to reduce ambient PM
                        <E T="52">2.5</E>
                         levels and which will assist in reducing the number of areas that fail to achieve the PM
                        <E T="52">2.5</E>
                         NAAQS. Even so, our air quality modeling projects that in 2030, with all current controls but excluding the impacts of the heavy-duty standards adopted here, at least 4 counties with a population of almost 7 million may not attain the 1997 annual PM
                        <E T="52">2.5</E>
                         standard of 15 µg/m
                        <SU>3</SU>
                         and 22 counties with a population of over 33 million may not attain the 2006 24-hour PM
                        <E T="52">2.5</E>
                         standard of 35 µg/m
                        <SU>3</SU>
                        . These numbers do not account for those areas that are close to (
                        <E T="03">e.g.,</E>
                         within 10 percent of) the PM
                        <E T="52">2.5</E>
                         standards. These areas, although not violating the standards, will also benefit from any reductions in PM
                        <E T="52">2.5</E>
                         ensuring long-term maintenance of the PM
                        <E T="52">2.5</E>
                         NAAQS.
                    </P>
                    <HD SOURCE="HD3">(c) Projected Levels With This Final Action</HD>
                    <P>
                        Air quality modeling performed for this final action shows that in 2030 the majority of the modeled counties will see decreases of less than 0.01 µg/m
                        <SU>3</SU>
                         in their annual PM
                        <E T="52">2.5</E>
                         design values. The decreases in annual PM
                        <E T="52">2.5</E>
                         design values that we see in some counties are likely due to emission reductions related to lower fuel production at existing oil refineries and/or reductions in PM
                        <E T="52">2.5</E>
                         precursor emissions (NO
                        <E T="52">X,</E>
                         SO
                        <E T="52">X</E>
                        , and VOCs) due to improvements in road load. The maximum projected decrease in an annual PM
                        <E T="52">2.5</E>
                         design value is 0.03 µg/m
                        <SU>3</SU>
                         in Allen County, Indiana and Canyon County, Idaho. On a population-weighted basis, the average modeled 2030 annual PM
                        <E T="52">2.5</E>
                         design value is projected to decrease by 0.01 µg/m
                        <SU>3</SU>
                         due to this final action.
                    </P>
                    <P>
                        In addition to looking at annual PM
                        <E T="52">2.5</E>
                         design values, we also modeled the impact of the standards on 24-hour PM
                        <E T="52">2.5</E>
                         design values. Air quality modeling performed for this final action shows that in 2030 the majority of the modeled counties will see changes of between −0.05 µg/m
                        <SU>3</SU>
                         and 0 µg/m
                        <SU>3</SU>
                         in their 24-hour PM
                        <E T="52">2.5</E>
                         design values. The decreases in annual PM
                        <E T="52">2.5</E>
                         design values that we see in some counties are likely due to emission reductions related to lower fuel production at existing oil refineries and/or reductions in PM
                        <E T="52">2.5</E>
                         precursor emissions (NO
                        <E T="52">X,</E>
                         SO
                        <E T="52">X</E>
                        , and VOCs) due to improvements in road load. The maximum projected decrease in a 24-hour PM
                        <E T="52">2.5</E>
                         design value is 0.27 µg/m
                        <SU>3</SU>
                         in Canyon County, ID. There are also some counties that are projected to see increases of less than 0.1 µg/m
                        <SU>3</SU>
                         in their 24-hour PM
                        <E T="52">2.5</E>
                         design values. These small increases in 24-hour PM
                        <E T="52">2.5</E>
                         design values are likely related to downstream emission increases from APUs. On a population-weighted basis, the average modeled 2030 24-hour PM
                        <E T="52">2.5</E>
                         design value is projected to decrease by 0.03 µg/m
                        <SU>3</SU>
                         due to this final action. Those counties that are projected to be above the 24-hour PM
                        <E T="52">2.5</E>
                         standard in 2030 will see slightly smaller population-weighted decreases of 0.01 µg/m
                        <SU>3</SU>
                         in their design values due to this final action.
                    </P>
                    <HD SOURCE="HD3">(3) Air Toxics</HD>
                    <HD SOURCE="HD3">(a) Current Levels</HD>
                    <P>
                        The majority of Americans continue to be exposed to ambient concentrations of air toxics at levels which have the potential to cause adverse health effects.
                        <SU>467</SU>
                        <FTREF/>
                         The levels of air toxics to which people are exposed vary depending on where people live and work and the kinds of activities in which they engage, as discussed in detail in U.S. EPA's most recent Mobile Source Air Toxics Rule.
                        <SU>468</SU>
                        <FTREF/>
                         According to the National Air Toxic Assessment (NATA) for 2005,
                        <SU>469</SU>
                        <FTREF/>
                         mobile sources were responsible for 43 percent of outdoor toxic emissions and over 50 percent of the cancer risk and noncancer hazard. Benzene is the largest contributor to cancer risk of all 124 pollutants quantitatively assessed in the 2002 NATA and mobile sources were responsible for 59 percent of benzene emissions in 2002. Over the years, EPA has implemented a number of mobile source and fuel controls resulting in VOC reductions, which also reduce benzene and other air toxic emissions.
                    </P>
                    <FTNT>
                        <P>
                            <SU>467</SU>
                             U.S. Environmental Protection Agency (2007). Control of Hazardous Air Pollutants from Mobile Sources; Final Rule. 72 FR 8434, February 26, 2007.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>468</SU>
                             U.S. Environmental Protection Agency (2007). Control of Hazardous Air Pollutants from Mobile Sources; Final Rule. 72 FR 8434, February 26, 2007.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>469</SU>
                             U.S. EPA. (2011) 2005 National-Scale Air Toxics Assessment. 
                            <E T="03">http://www.epa.gov/ttn/atw/nata2005/.</E>
                             Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(b) Projected Levels</HD>
                    <P>
                        Our modeling indicates that the heavy-duty standards have relatively little impact on national average ambient concentrations of the modeled air toxics. Additional detail on the air toxics results can be found in Section 8.2.3.3 of the RIA.
                        <PRTPAGE P="57314"/>
                    </P>
                    <HD SOURCE="HD3">(4) Nitrogen and Sulfur Deposition</HD>
                    <HD SOURCE="HD3">(a) Current Levels</HD>
                    <P>
                        Over the past two decades, the EPA has undertaken numerous efforts to reduce nitrogen and sulfur deposition across the U.S. Analyses of long-term monitoring data for the U.S. show that deposition of both nitrogen and sulfur compounds has decreased over the last 17 years although many areas continue to be negatively impacted by deposition. Deposition of inorganic nitrogen and sulfur species routinely measured in the U.S. between 2005 and 2007 were as high as 9.6 kilograms of nitrogen per hectare (kg N/ha) averaged over three years and 20.8 kilograms of sulfur per hectare (kg S/ha) averaged over three years.
                        <SU>470</SU>
                        <FTREF/>
                         The data show that reductions were more substantial for sulfur compounds than for nitrogen compounds. These numbers are generated by the U.S. national monitoring network and they likely underestimate nitrogen deposition because neither ammonia nor organic nitrogen is measured. In the eastern U.S., where data are most abundant, total sulfur deposition decreased by about 44 percent between 1990 and 2007, while total nitrogen deposition decreased by 25 percent over the same timeframe.
                        <SU>471</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>470</SU>
                             U.S. EPA. U.S. EPA's Report on the Environment (Final Report). U.S. Environmental Protection Agency, Washington, DC, EPA/600/R-07/045F (NTIS PB2008-112484). Docket EPA-HQ-OAR-2010-0162. Updated data available online at: 
                            <E T="03">http://cfpub.epa.gov/eroe/index.cfm?fuseaction=detail.viewInd&amp;ch=46&amp;subtop=341&amp;lv=list.listByChapter&amp;r=201744.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>471</SU>
                             U.S. EPA. U.S. EPA's 2008 Report on the Environment (Final Report). U.S. Environmental Protection Agency, Washington, DC, EPA/600/R-07/045F (NTIS PB2008-112484). Docket EPA-HQ-OAR-2010-0162. Updated data available online at: 
                            <E T="03">http://cfpub.epa.gov/eroe/index.cfm?fuseaction=detail.viewInd&amp;ch=46&amp;subtop=341&amp;lv=list.listByChapter&amp;r=201744.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(b) Projected Levels</HD>
                    <P>Our air quality modeling projects decreases in nitrogen deposition, especially in the Midwest, as a result of the heavy-duty standards required by this final action. The heavy-duty standards will result in annual percent decreases of 0.5 percent to more than 2 percent in some cities in the Midwest, Phoenix, Albuquerque, and some areas in Texas. The remainder of the country will see only minimal changes in nitrogen deposition, ranging from decreases of less than 0.5 percent to increases of less than 0.5 percent. For a map of 2030 nitrogen deposition impacts and additional information on these impacts, see Section 8.2.3.4 of the RIA. The impacts of the heavy-duty standards on sulfur deposition are minimal, ranging from decreases of up to 0.5 percent to increases of up to 0.5 percent.</P>
                    <HD SOURCE="HD3">(5) Visibility</HD>
                    <HD SOURCE="HD3">(a) Current Levels</HD>
                    <P>
                        As mentioned in Section VII.D(1)(a), millions of people live in nonattainment areas for the PM
                        <E T="52">2.5</E>
                         NAAQS. These populations, as well as large numbers of individuals who travel to these areas, are likely to experience visibility impairment. In addition, while visibility trends have improved in mandatory class I federal areas, the most recent data show that these areas continue to suffer from visibility impairment. In summary, visibility impairment is experienced throughout the U.S., in multi-state regions, urban areas, and remote mandatory class I federal areas.
                    </P>
                    <HD SOURCE="HD3">(b) Projected Levels</HD>
                    <P>
                        Air quality modeling conducted for this final action was used to project visibility conditions in 138 mandatory class I federal areas across the U.S. in 2030. The results show that all the modeled areas will continue to have annual average deciview levels above background in 2030.
                        <SU>472</SU>
                        <FTREF/>
                         The results also indicate that the majority of the modeled mandatory class I federal areas will see very little change in their visibility, but some mandatory class I federal areas will see improvements in visibility due to the heavy-duty standards and a few mandatory class I federal areas will see visibility decreases. The average visibility at all modeled mandatory class I federal areas on the 20 percent worst days is projected to improve by 0.01 deciviews, or 0.06 percent, in 2030. Section 8.2.3.5 of the RIA contains more detail on the visibility portion of the air quality modeling.
                    </P>
                    <FTNT>
                        <P>
                            <SU>472</SU>
                             The level of visibility impairment in an area is based on the light-extinction coefficient and a unitless visibility index, called a “deciview,” which is used in the valuation of visibility. The deciview metric provides a scale for perceived visual changes over the entire range of conditions, from clear to hazy. Under many scenic conditions, the average person can generally perceive a change of one deciview. The higher the deciview value, the worse the visibility. Thus, an improvement in visibility is a decrease in deciview value.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD1">VIII. What are the agencies' estimated cost, economic, and other impacts of the final program?</HD>
                    <P>In this section, we present the costs and impacts of the final HD National Program. It is important to note that NHTSA's final fuel consumption standards and EPA's final GHG emissions standards will both be in effect, and each will lead to average fuel efficiency increases and GHG emission reductions. The two agencies' final standards comprise the HD National Program.</P>
                    <P>The net benefits of the final HD National Program consist of the effects of the program on:</P>
                    <FP SOURCE="FP-1">
                        • The vehicle program costs (costs of complying with the vehicle CO
                        <E T="52">2</E>
                         standards),
                    </FP>
                    <FP SOURCE="FP-1">• Fuel savings associated with reduced fuel usage resulting from the program,</FP>
                    <FP SOURCE="FP-1">• Reductions in greenhouse gas emissions,</FP>
                    <FP SOURCE="FP-1">• The reductions in other (non-GHG) pollutants,</FP>
                    <FP SOURCE="FP-1">• Costs associated with increases in noise, congestion, and accidents resulting from increased vehicle use,</FP>
                    <FP SOURCE="FP-1">• Improvements in U.S. energy security impacts,</FP>
                    <FP SOURCE="FP-1">• Benefits associated with increased vehicle use due to the “rebound” effect.</FP>
                    <P>
                        We also present the cost-effectiveness of the standards, or the cost per ton of emissions reduced. Where possible, we identify the uncertain aspects of these economic impacts and attempt to quantify them when and if possible (
                        <E T="03">e.g.,</E>
                         sensitivity ranges associated with quantified and monetized GHG impacts; probabilistic uncertainty associated with non-GHG health benefits). For some impacts, however, there is a lack of adequate information to inform a probabilistic assessment of uncertainty. EPA continues to work toward developing a comprehensive strategy for characterizing the aggregate impact of uncertainty in key elements of its analyses and we will continue to work to refine these uncertainty analyses in the future as time and resources permit.
                    </P>
                    <P>
                        The program may have other effects that are not included here. The agencies sought comment on whether any costs or benefits were omitted from this analysis, so that they could be explicitly recognized in the final rules. In particular, as discussed in Section III and in Chapter 2 of the RIA, the technology cost estimates developed here take into account the costs to hold other vehicle attributes, such as size and performance, constant. In addition, the analysis assumes that the full technology costs are passed along to vehicle buyers. With these assumptions, because welfare losses are monetary estimates of how much buyers would have to be compensated to be made as well off as in the absence of the change,
                        <SU>473</SU>
                        <FTREF/>
                         the price increase measures 
                        <PRTPAGE P="57315"/>
                        the loss to the buyer.
                        <SU>474</SU>
                        <FTREF/>
                         Assuming that the full technology cost gets passed along to the buyer as an increase in price, the technology cost thus measures the welfare loss to the buyer. Increasing fuel efficiency would have to lead to other changes in the vehicles that buyers find undesirable for there to be additional losses not included in the technology costs.
                    </P>
                    <FTNT>
                        <P>
                            <SU>473</SU>
                             This approach describes the economic concept of compensating variation, a payment of money after a change that would make a consumer as well off after the change as before it. A related concept, equivalent variation, estimates the income change 
                            <PRTPAGE/>
                            that would be an alternative to the change taking place. The difference between them is whether the consumer's point of reference is her welfare before the change (compensating variation) or after the change (equivalent variation). In practice, these two measures are typically very close together.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>474</SU>
                             Indeed, it is likely to be an overestimate of the loss to the buyer, because the buyer has choices other than buying the same vehicle with a higher price; she could choose a different vehicle, or decide not to buy a new vehicle. The buyer would choose one of those options only if the alternative involves less loss than paying the higher price. Thus, the increase in price that the buyer faces would be the upper bound of loss of consumer welfare, unless there are other changes to the vehicle due to the fuel economy improvements that make the vehicle less desirable to buyers.
                        </P>
                    </FTNT>
                    <P>The agencies sought comments, including supporting data and quantitative analyses, of any additional impacts of the final standards on vehicle attributes and performance, and other potential aspects that could positively or negatively affect the welfare implications of this final rulemaking, not addressed in this analysis.</P>
                    <P>The comments received by the agencies did not provide any clear insights into this question. Some comments noted the diversity of the trucking industry and expressed a request that the program continue the great variety of options for the industry, because of the variation in needs for different customers. Additional comments noted that the separate engine and vehicle programs support the maintenance of variety and current market structure. Though a few commenters raised concerns, no information was offered to indicate that choice will in fact be limited by the program, or that other vehicle attributes are adversely affected.</P>
                    <P>The total monetized benefits (excluding fuel savings) under the program are projected to be $4.3 to $11.1 billion in 2030, depending on the value used for the social cost of carbon. These benefits are summarized below in Table 0-31. The costs of the program in 2030, presented in Table 0-29 are estimated to be approximately $2.2 billion for new engine and truck technology. The program is also estimated to provide $20.6 billion in savings realized by trucking operations through fewer fuel expenditures (calculated using pre-tax fuel prices), as shown in Table 0-30. The present value of the total monetized benefits (excluding fuel savings) under the program is expected to range from $48.7 billion to $180.1 billion with a 3 percent discount rate; with a 7 percent discount rate, the total monetized benefits are expected to range from $24.3 billion to $155.7 billion. These values, summarized in Table 0-31, depend on the value used for the social cost of carbon. The present value of costs of the program for new engine and truck technology, in Table 0-32, are expected to be $47.4 billion using a 3 percent discount rate, and $24.7 billion with a 7 percent discount rate. The present value of fuel savings (calculated using pre-tax fuel prices) is estimated at $375.3 billion with a 3 percent discount rate, and $166.5 billion with a 7 percent discount rate, as shown in Table 0-32. Total net present benefits (in Table 0-32) are thus expected to range from $376.6 billion to $508 billion with a 3 percent discount rate, and $166.1 billion to $297.5 billion with a 7 percent discount rate.</P>
                    <P>The estimates developed here are measured against a baseline fuel efficiency associated with MY 2010 vehicles. The agencies also considered an alternate baseline associated with AEO 2011 projections, which is further discussed in Section IX. All calculations presented in Section VIII use the constant 2010 vehicle baseline. The extent to which fuel efficiency improvements may have occurred in the absence of the rules affects the net benefits associated with the program. If trucks were to install technologies to achieve the fuel savings and reduced GHG emissions in the absence of this program, then both the costs and benefits of these fuel savings could be attributed to market forces, not the rules. As a baseline for estimates of the extent of fuel-saving technologies that might have been adopted in the absence of the program, the proposal used the level of these technologies in MY 2010 vehicles. We sought comment on whether the agencies should use an alternative baseline based on data provided by commenters to estimate the degree to which the technologies discussed in the proposal would have been adopted in the absence of these rules. No comments were received on this issue. One comment cites the EPA draft RIA as noting a historic 1 percent per year improvement in fuel efficiency, and argues that the rules are therefore not needed; the actual figure in the draft RIA, however, was a 0.09 percent per year improvement.</P>
                    <P>
                        EPA has undertaken an analysis of the economy-wide impacts of the final heavy-duty truck fuel efficiency and GHG standards as an exploratory exercise that EPA believes could provide additional insights into the potential impacts of the program.
                        <SU>475</SU>
                        <FTREF/>
                         These results were not a factor regarding the appropriateness of the final standards. It is important to note that the results of this modeling exercise are dependent on the assumptions associated with how manufacturers would make fuel efficiency improvements and how trucking operations would respond to increases in higher vehicle costs and improved vehicle fuel efficiency as a result of the final program.
                    </P>
                    <FTNT>
                        <P>
                            <SU>475</SU>
                             
                            <E T="03">See</E>
                             Memorandum to Docket, “Economy-Wide Impacts of Heavy-Duty Truck Greenhouse Gas Emissions and Fuel Efficiency Standards”, May 20, 2011. Docket EPA-HQ-OAR-2010-0162.
                        </P>
                    </FTNT>
                    <P>Further information on these and other aspects of the economic impacts of our rules are summarized in the following sections and are presented in more detail in the RIA for this final rulemaking.</P>
                    <HD SOURCE="HD2">A. Conceptual Framework for Evaluating Impacts</HD>
                    <P>This regulation is motivated primarily by the goals of reducing emissions of greenhouse gases and promoting U.S. energy security by reducing consumption and imports of petroleum-based fuels. These motivations involve classic externalities, meaning that private decisions do not incorporate all of the costs associated with these problems; these costs are not borne completely by the households or businesses whose actions are responsible for them. In the absence of some mechanism to “internalize” these costs—that is, to transfer their burden to individuals or firms whose decisions impose them—individuals and firms will consume more petroleum-based fuels than is socially optimal. Externalities are a classic motivation for government intervention in markets. These externalities, as well as effects due to changes in emissions of other pollutants and other impacts, are discussed in Sections VIII.H—VIII.K.</P>
                    <P>
                        In some cases, these classic externalities are by themselves enough to justify the costs of imposing fuel efficiency standards. For some discount rates and some projected social costs of carbon, however, the reductions in these external costs are less than the costs of new fuel saving technologies needed to meet the standards. (See Tables 9-24 and 9-25 in the RIA.) Nevertheless, this regulation reduces trucking companies' fuel costs; according to our estimates, these savings in fuel costs are 
                        <E T="03">by themselves</E>
                         sufficient to pay for the 
                        <PRTPAGE P="57316"/>
                        technologies over periods of time considerably shorter than vehicles' expected lifetimes under the assumptions used for this analysis (
                        <E T="03">e.g.,</E>
                         AEO 2011 projected fuel prices). If these estimates are correct, then the 
                        <E T="03">entire</E>
                         value of the reductions in external costs represents additional net benefits of the program, beyond those resulting from the fact that the value of fuel savings exceeds the costs of technologies necessary to achieve them.
                    </P>
                    <P>It is often asserted that there are cost-effective fuel-saving technologies that markets do not take advantage of. This is commonly known as the “energy gap” or “energy paradox.” Standard economic theory suggests that in normally functioning competitive markets, interactions between vehicle buyers and producers would lead producers to incorporate all cost-effective technology into the vehicles that they offer, without government intervention. Unlike in the light-duty vehicle market, the vast majority of vehicles in the medium- and heavy-duty truck market are purchased and operated by businesses with narrow profit margins, and for which fuel costs represent a substantial operating expense.</P>
                    <P>
                        Even in the presence of uncertainty and imperfect information—conditions that hold to some degree in every market—we generally expect firms to attempt to minimize their costs in an effort to survive in a competitive marketplace, and therefore to make decisions that are in the best interest of the company and its owners and/or shareholders. In this case, the benefits of the rules would be due exclusively to reducing the economic costs of externalities resulting from fuel production and consumption. However, as discussed below in Section VIII.E, the agencies have estimated that the application of fuel-saving technologies in response to the final standards would, on average, yield significant private returns to truck owners (see Tables VIII-9 through VIII-11, below). The agencies have also estimated that the application of these technologies would be significantly lower in the absence of the final standards (
                        <E T="03">i.e.,</E>
                         under the “no action” regulatory alternative), meaning that truck buyers and operators ignore opportunities to make investments in higher fuel efficiency that appear to offer significant cost savings.
                    </P>
                    <P>
                        As discussed in the NPRM, there are several possible explanations in the economics literature for why trucking companies do not adopt technologies that would be expected to increase their profits: there could be a classic market failure in the trucking industry—market power, externalities, or asymmetric or incomplete (
                        <E T="03">i.e.,</E>
                         missing market) information; there could be institutional or behavioral rigidities in the industry (union rules, standard operating procedures, statutory requirements, loss aversion, 
                        <E T="03">etc.</E>
                        ), whereby participants collectively do not minimize costs; or the engineering estimates of fuel savings and costs for these technologies might overstate their benefits or understate their costs in real-world applications. See 75 FR at 74303-307.
                    </P>
                    <P>To try to understand why trucking companies have not adopted these seemingly cost-effective fuel-saving technologies, the agencies surveyed published literature about the energy paradox, and held discussions with numerous truck market participants. The proposal discussed five categories of possible explanations derived from these sources. Collectively, these five hypotheses may explain the apparent inconsistency between the engineering analysis, which finds a number of cost-effective methods of improving fuel efficiency, and the observation that many of these technologies are not widely adopted.</P>
                    <P>These hypotheses include imperfect information in the original and resale markets, split incentives, uncertainty about future fuel prices, and adjustment and transactions costs. As the discussion indicated, some of these explanations suggest failures in the private market for fuel-saving technology in addition to the externalities caused by producing and consuming fuel that are the primary motivation for the rules. Other explanations suggest market-based behaviors that may imply additional costs of regulating truck fuel efficiency that are not accounted for in this analysis. As noted above, an additional explanation—adverse effects on other vehicle attributes—did not elicit supporting information in the public comments. Anecdotal evidence from various segments of the trucking industry suggests that many of the hypotheses discussed here may play a role in explaining the puzzle of why truck purchasers appear to under-invest in fuel efficiency, although different explanations may apply to different segments, or even different companies. The published literature does not appear to include empirical analysis or data related to this question.</P>
                    <P>The agencies invited comment on these explanations, and on any data or information that could be used to investigate the role of any or all of these five hypotheses in explaining this energy paradox as it applies specifically to trucks. Some comments expressed dissatisfaction about the explanations presented; they argued that these arguments were not sufficient to explain the phenomenon. These comments argued that the truck owners and operators are better judges of the appropriate amount of fuel efficiency than are government agencies; they choose not to invest because of warranted skepticism about these technologies. The agencies also requested comment and information regarding any other hypotheses that could explain the appearance that cost-effective fuel-saving technologies have not been widely incorporated into trucks. The following discussion summarizes the fuller discussion provided in the NPRM and includes discussion of the comments received.</P>
                    <HD SOURCE="HD3">(1) Information Issues in the Original Sale Markets</HD>
                    <P>One potential hypothesis for why the trucking industry does not adopt what appear to be inexpensive fuel saving technologies is that there is inadequate or unreliable information available about the effectiveness of many fuel-saving technologies for new vehicles. If reliable information on the effectiveness of many new technologies is absent, truck buyers will understandably be reluctant to spend additional money to purchase vehicles equipped with unproven technologies.</P>
                    <P>This lack of information can manifest itself in multiple ways. For instance, the problem may arise purely because collecting reliable information on technologies is costly (also see Section VIII.A.5 below on transaction costs). Moreover, information has aspects of a public good, in that no single firm has the incentive to do the costly experimentation to determine whether or not particular technologies are cost-effective, while all firms benefit from the knowledge that would be gained from that experimentation. Similarly, if multiple firms must conduct the same tests to get the same information, costs could be reduced by some form of coordination of information gathering.</P>
                    <P>
                        While its effect on information is indirect, we expect the requirement for the use of new technologies included in this program will circumvent these information issues, resulting in their adoption, thus providing more readily available information about their benefits. The agencies appreciate, however, that the diversity of truck uses, driving situations, and driver behavior will lead to variation in the fuel savings that individual trucks or fleets experience from using specific technologies.
                        <PRTPAGE P="57317"/>
                    </P>
                    <P>One commenter noted that the SmartWay program targets combination tractor owners and thus should have the largest impact on that sector, rather than vocational or medium-duty trucks. However, the gap between actual investment in fuel efficiency and the agencies' estimates of optimal investment is largest for combination tractors. Some of the difference in magnitude is likely to be due to the higher vehicle miles traveled for combination tractors compared to medium-duty and vocational vehicles: more driving means more fuel savings. Additionally, not even a majority of semi-trucks are owned by participants in SmartWay; non-participants are unlikely to get all the benefits of participants. Other explanations, noted below, are also likely to play a role. This observation may also suggest some limitations of improved information provision as a means of addressing the “efficiency gap.”</P>
                    <HD SOURCE="HD3">(2) Information Issues in the Resale Market</HD>
                    <P>
                        In addition to issues in the new vehicle market, a second hypothesis for why trucking companies may not adopt what appear to be cost-effective technologies to save fuel is that the resale market may not adequately reward the addition of fuel-saving technology to vehicles to ensure their original purchase by new truck buyers. This inadequate payback for users beyond the original owner may contribute to the short payback period that new purchasers appear to expect.
                        <SU>476</SU>
                        <FTREF/>
                         The agencies requested data and information on the extent to which costs of fuel saving equipment can be recovered in the resale truck market. No data were received. One reviewer disputed this theory on the basis that people are willing to pay more for better vehicles, new or used. It is not clear, however, whether buyers of used vehicles can tell which are the better vehicles.
                        <SU>477</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>476</SU>
                             
                            <E T="03">See</E>
                             NAS 2010, Note 197, at p. 188.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>477</SU>
                             Akerlof, George A. “The Market for `Lemons' Quality Uncertainty and the Market Mechanism,” 
                            <E T="03">Quarterly Journal of Economics</E>
                             84(3) (1970): 488-500 points out that asymmetric information—the seller has better information than the buyer—can potentially lead to complete failure of a market, even when both buyers and sellers would benefit from trade.
                        </P>
                    </FTNT>
                    <P>Some of this unwillingness to pay for fuel-saving technology may be due to the extension of the information problems in the new vehicle market into resale markets. Buyers in the resale market have no more reason to trust information on fuel-saving technologies than buyers in the original market. Because actual fuel efficiency of trucks on the road depends on many factors, including geography and driving styles or habits, even objective sources such as logs of truck performance for used vehicles may not provide reliable information about the fuel efficiency that potential purchasers of used trucks will experience.</P>
                    <P>A related possibility is that vehicles will be used for different purposes by their second owners than those for which they were originally designed, and the fuel-saving technology is therefore of less value.</P>
                    <P>It is possible, though, that the fuel savings experienced by the secondary purchasers may not match those experienced by their original owners if the optimal secondary new use of the vehicle does not earn as many benefits from the technologies. One commenter asks whether the fuel-saving technology is unvalued because it is unproven or overrated. In that case, the premium for fuel-saving technology in the secondary market should accurately reflect its value to potential buyers participating in that market, even if it is lower than its value in the original market, and the market has not failed. Because the information necessary to optimize use in the secondary market may not be readily available or reliable, however, buyers in the resale market may have less ability than purchasers of new vehicles to identify and gain the advantages of new fuel-saving technologies, and may thus be even less likely to pay a premium for them.</P>
                    <P>For these reasons, purchasers' willingness to pay for fuel efficiency technologies may be even lower in the resale market than in the original equipment market. Even when fuel-saving technologies will provide benefits in the resale markets, purchasers of used vehicles may not be willing to compensate their original owners fully for their remaining value. As a result, the purchasers of original equipment may expect the resale market to provide inadequate appropriate compensation for the new technologies, even when those technologies would reduce costs for the new buyers. This information issue may partially explain what appears to be the very short payback periods required for new technologies in the new vehicle market.</P>
                    <HD SOURCE="HD3">(3) Split Incentives in the Medium- and Heavy-Duty Truck Industry</HD>
                    <P>A third hypothesis explaining the energy paradox as applied to trucking involves split incentives. When markets work effectively, signals provided by transactions in one market are quickly transmitted to related markets and influence the decisions of buyers and sellers in those related markets. For instance, in a well-functioning market system, changes in the expected future price of fuel should be transmitted rapidly to those who purchase trucks, who will then reevaluate the amount of fuel-saving technology to purchase for new vehicles. If for some reason a truck purchaser will not be directly responsible for future fuel costs, or the individual who will be responsible for fuel costs does not decide which truck characteristics to purchase, then those price signals may not be transmitted effectively, and incentives can be described as “split.”</P>
                    <P>One place where such a split may occur is between the owners and operators of trucks. Because they are generally responsible for purchasing fuel, truck operators have strong incentives to economize on its use, and are thus likely to support the use of fuel-saving technology. However, the owners of trucks or trailers are often different from operators, and may be more concerned about their longevity or maintenance costs than about their fuel efficiency, when purchasing vehicles. As a result, capital investments by truck owners may be channeled into equipment that improves vehicles' durability or reduces their maintenance costs, rather than into fuel-saving technology. If operators can choose freely among the trucks they drive, competition among truck owners to employ operators would encourage owners to invest in fuel-saving technology. However, if truck owners have more ability to choose among operators, then market signals for improved fuel savings that would normally be transmitted to truck owners may be muted. Truck fleets that rent their vehicles may provide an example: renters may observe the cost of renting the truck, but not its fuel efficiency; if so, then the purchasers will aim for vehicles with lower costs, to lower the cost of the rental. It might be possible to test this theory by comparing the fuel efficiency of trucks by owner-operators with those that are leased by operators. The agencies have not had the data to conduct such a test.</P>
                    <P>
                        One commenter noted that there are always tradeoffs in an investment decision: a purchaser may prefer to invest in other vehicle attributes than fuel efficiency. In an efficient market, however, a purchaser should invest in fuel-saving technology as long as the increase in fuel-saving technology costs less than the expected fuel savings. This result should hold regardless of the level of investment in other attributes, unless there are constraints on a 
                        <PRTPAGE P="57318"/>
                        purchaser's access to investment capital. The agencies believe that truck fleets do have an incentive to make investments in fuel efficiency, and that this assumption is reflected in the regulatory analysis. The agencies also believe, however, that sufficient evidence suggests that truck fleets are not availing themselves of all the opportunities for efficiency improvements.
                    </P>
                    <P>
                        In addition, the NAS report notes that split incentives can arise between tractor and trailer operators.
                        <SU>478</SU>
                        <FTREF/>
                         Trailers affect the fuel efficiency of shipping, but trailer owners do not face strong incentives to coordinate with truck owners. EPA and NHTSA are not regulating trailers in this action.
                    </P>
                    <FTNT>
                        <P>
                            <SU>478</SU>
                             
                            <E T="03">See</E>
                             NAS 2010, Note 197, at p. 182.
                        </P>
                    </FTNT>
                    <P>By itself, information provision may be inadequate to address the potential underinvestment in fuel efficiency resulting from such split incentives. In this setting, regulation may contribute to fuel savings that otherwise may be difficult to achieve.</P>
                    <HD SOURCE="HD3">(4) Uncertainty About Future Cost Savings</HD>
                    <P>Another hypothesis for the lack of adoption of seemingly fuel saving technologies may be uncertainty about future fuel prices or truck maintenance costs. When purchasers have less than perfect foresight about future operating expenses, they may implicitly discount future savings in those costs due to uncertainty about potential returns from investments that reduce future costs. In contrast, the immediate costs of the fuel-saving or maintenance-reducing technologies are certain and immediate, and thus not subject to discounting. In this situation, both the expected return on capital investments in higher fuel efficiency and potential variance about its expected rate may play a role in a firm's calculation of its payback period on such investments.</P>
                    <P>
                        In the context of energy efficiency investments for the home, Metcalf and Rosenthal (1995) and Metcalf and Hassett (1995) observe that households weigh known, up-front costs that are essentially irreversible against an unknown stream of future fuel savings.
                        <SU>479</SU>
                        <FTREF/>
                         Notably, in this situation, requiring households to adopt technologies more quickly may make them worse off by imposing additional risk on them.
                    </P>
                    <FTNT>
                        <P>
                            <SU>479</SU>
                             Metcalf, G., and D. Rosenthal (1995). “The `New' View of Investment Decisions and Public Policy Analysis: An Application to Green Lights and Cold Refrigerators,” Journal of Policy Analysis and Management 14: 517-531. Hassett and Metcalf (1995). “Energy Tax Credits and Residential Conservation Investment: Evidence from Panel Data” Journal of Public Economics 57 (1995): 201-217. Metcalf, G., and K. Hassett (1999). “Measuring the Energy Savings from Home Improvement Investments: Evidence from Monthly Billing Data.” The Review of Economics and Statistics 81(3): 516-528.
                        </P>
                    </FTNT>
                    <P>
                        Greene 
                        <E T="03">et al</E>
                         (2009) also finds support for this explanation in the context of light-duty fuel economy decisions: a loss-averse consumer's expected net present value of increasing the fuel economy of a passenger car can be very close to zero, even if a risk-neutral expected value calculation shows that its buyer can expect significant net benefits from purchasing a more fuel-efficient car.
                        <SU>480</SU>
                        <FTREF/>
                         Supporting this hypothesis is a finding by Dasgupta et al. (2007) that consumers are more likely to lease than buy a vehicle with higher maintenance costs because it provides them with the option to return it before those costs become too high.
                        <SU>481</SU>
                        <FTREF/>
                         However, the agencies know of no studies that have estimated the impact of uncertainty on perceived future savings for medium- and heavy-duty vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>480</SU>
                             Greene, D., J. German, and M. Delucchi (2009). “Fuel Economy: The Case for Market Failure” in Reducing Climate Impacts in the Transportation Sector, Sperling, D., and J. Cannon, eds. Springer Science.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>481</SU>
                             Dasgupta, S., S. Siddarth, and J. Silva-Risso (2007). “To Lease or to Buy? A Structural Model of a Consumer's Vehicle and Contract Choice Decisions.” Journal of Marketing Research 44: 490-502.
                        </P>
                    </FTNT>
                    <P>Purchasers' uncertainty about future fuel prices implies that mandating improvements in fuel efficiency can reduce the expected utility associated with truck purchases. This is because adopting such regulation requires purchasers to assume a greater level of risk than they would in its absence, even if the future fuel savings predicted by a risk-neutral calculation actually materialize. One commenter expressed support for this argument. Thus the mere existence of uncertainty about future savings in fuel costs does not by itself assure that regulations requiring improved fuel efficiency will necessarily provide economic benefits for truck purchasers and operators. On the other hand, because risk aversion reduces expected returns for businesses, competitive pressures can reduce risk aversion: risk-neutral companies can make higher average profits over time. Thus, significant risk aversion is unlikely to survive competitive pressures.</P>
                    <HD SOURCE="HD3">(5) Adjustment and Transactions Costs</HD>
                    <P>
                        Another hypothesis is that transactions costs of changing to new technologies (how easily drivers will adapt to the changes, 
                        <E T="03">e.g.</E>
                        ) may slow or prevent their adoption. Because of the diversity in the trucking industry, truck owners and fleets may like to see how a new technology works in the field, when applied to their specific operations, before they adopt it. One commenter expressed support for this argument. If a conservative approach to new technologies leads truck buyers to adopt new technologies slowly, then successful new technologies are likely to be adopted over time without market intervention, but with potentially significant delays in achieving fuel saving, environment, and energy security benefits.
                    </P>
                    <P>In addition, there may be costs associated with training drivers to realize the potential fuel savings enabled by new technologies, or with accelerating fleet operators' scheduled fleet turnover and replacement to hasten their acquisition of vehicles equipped with new fuel-saving technologies. Here, again, there may be no market failure; requiring the widespread use of these technologies may impose adjustment and transactions costs not included in this analysis. As in the discussion of the role of risk, these adjustment and transactions costs are typically immediate and undiscounted, while their benefits are future and uncertain; risk or loss aversion may further discourage companies from adopting new technologies.</P>
                    <P>To the extent that there may be transactions costs associated with the new technologies, then regulation gives all new truck purchasers a level playing field, because it will require all of them to adjust on approximately the same time schedule. If experience with the new technologies serves to reduce uncertainty and risk, the industry as a whole may become more accepting of new technologies. This could increase demand for future new technologies and induce additional benefits in the legacy fleet through complementary efforts such as SmartWay.</P>
                    <HD SOURCE="HD3">(6) Additional Hypotheses</HD>
                    <P>
                        In the public comments, two additional ideas were raised for the lack of adoption of what appears to be cost-effective fuel-saving technology. The first suggestion is that tighter diesel emissions standards caused engine manufacturers to invest heavily (both financially and with personnel) in emissions reduction technologies, and hence, were unable to invest in fuel efficiency technologies. A second suggestion is that a truck may be a “positional good”—that is, a good whose value depends on how it compares to the goods owned by others. If trucks confer status on their owners or operators, and if that status depends on easily observable characteristics, 
                        <PRTPAGE P="57319"/>
                        then owners may invest disproportionately in status-granting characteristics rather than less visible characteristics, such as fuel efficiency. Because status depends on comparisons to others, an “arms race” may develop in which all parties spend additional money on visible characteristics but may not manage to make themselves better off. In this case, regulation may improve welfare: by increasing the requirements for non-positional fuel efficiency, regulation could reduce expenditures made purely for competition rather than actual increase in welfare. In a competitive business, cost reduction provides a major opportunity cost to investing in status rather than in fuel-saving technology; thus, this argument may play less of a role in the heavy-duty market than in the consumer market for vehicles.
                    </P>
                    <P>Both these hypotheses leave open the question, though, why additional investments were not made in fuel efficiency if they would provide rapid payback. Truck purchasers should, in principle, be willing to buy additional fuel-saving technology as long as it is cost-effective, regardless of other vehicle attributes. Limited access to capital, if it is a problem in this sector, might provide some reason for the “crowding out” of the purchase of fuel-saving technology. The agencies received no evidence indicating that constrained access to capital might explain the efficiency gap in this market.</P>
                    <HD SOURCE="HD3">(7) Summary</HD>
                    <P>On the one hand, commercial vehicle operators are under competitive pressure to reduce operating costs, and thus their purchasers would be expected to pursue and rapidly adopt cost-effective fuel-saving technologies. On the other hand, the short payback period required by buyers of new trucks is a symptom that suggests some combination of uncertainty about future cost savings, transactions costs, and imperfectly functioning markets. In addition, widespread use of tractor-trailer combinations introduces the possibility that owners of trailers may have weaker incentives than truck owners or operators to adopt fuel-saving technology for their trailers. The market for medium- and heavy-duty trucks may face these problems, both in the new vehicle market and in the resale market.</P>
                    <P>Provision of information about fuel-saving technologies through voluntary programs such as SmartWay will assist in the adoption of new cost-saving technologies, but diffusion of new technologies can still be obstructed. Those who are willing to experiment with new technologies expect to find cost savings, but those may be difficult to prove. As noted above, because individual results of new technologies vary, new truck purchasers may find it difficult to identify or verify the effects of fuel-saving technologies. Those who are risk-averse are likely to avoid new technologies out of concerns over the possibility of inadequate returns on the investment, or with other adverse impacts. Competitive pressures in the freight transport industry can provide a strong incentive to reduce fuel consumption and improve environmental performance. However, not every driver or trucking fleet operating today has the requisite ability or interest to access the technical information, some of which is already provided by SmartWay, nor the resources necessary to evaluate this information within the context of his or her own freight operation.</P>
                    <P>It is unclear, as discussed above, whether some or many of the technologies would be adopted in the absence of the program. To the extent that they would have been adopted, the costs and the benefits attributed to those technologies may not in fact be due to the program and may therefore be overstated. Both baselines used project substantially less adoption than the agencies consider to be cost-effective. The agencies will continue to explore reasons for this slow adoption of cost-effective technologies.</P>
                    <HD SOURCE="HD2">B. Costs Associated With the Final Program</HD>
                    <P>In this section, the agencies present the estimated costs associated with the final program. The presentation here summarizes the costs associated with new technology expected to be added to meet the new GHG and fuel consumption standards. The analysis summarized here provides the estimate of incremental costs on a per truck basis and on an annual total basis.</P>
                    <P>The presentation here summarizes the best estimate by EPA and NHTSA staff as to the technology mix expected to be employed for compliance. For details behind the cost estimates associated with individual technologies, the reader is directed to Section III of this preamble and to Chapter 2 of the RIA.</P>
                    <P>With respect to the cost estimates presented here, the agencies note that, because these estimates relate to technologies which are in most cases already available, these cost estimates are technically robust.</P>
                    <HD SOURCE="HD3">(1) Costs per Truck</HD>
                    <P>For the heavy-duty pickup trucks and vans, the agencies have used a methodology consistent with that used for our recent light-duty joint rulemaking since most of the technologies expected for heavy-duty pickup trucks and vans is consistent with that expected for the larger light-duty trucks. The cost estimates presented in the recent light-duty joint rulemaking were then scaled upward to account for the larger weight, towing capacity, and work demands of the trucks in these heavier classes. For details on that scaling process and the resultant costs for individual technologies, the reader is directed to Section III of this preamble and to Chapter 2 of the RIA. Note also that all cost estimates have been updated to 2009 dollars for this analysis while the heavy-duty GHG emissions and fuel efficiency proposal was presented in 2008 dollars and the light-duty rule was presented in 2007 dollars.</P>
                    <P>For the loose heavy-duty gasoline engines, we have generally used engine-related costs from the heavy-duty pickup truck and van estimates since the loose heavy-duty gasoline engines are essentially the same engines as those sold into the heavy-duty pickup truck and van market.</P>
                    <P>For heavy-duty diesel engines, the agencies have estimated costs using a different methodology than that employed in the recent light-duty joint rulemaking. In the light-duty 2012-2016 MY vehicle rule, the fixed costs were included in the hardware costs via an indirect cost multiplier. As such, the hardware costs presented in that analysis, and in the cost estimates for Class 2b and 3 trucks, included both the actual hardware and the associated fixed costs. For this analysis, some of the fixed costs are estimated separately for HD diesel engines and are presented separately from the hardware costs. For details, the reader is directed to Chapter 2 of the RIA. Importantly, both methodologies after the figures are totaled account for all the costs associated with the program. As noted above, all costs are presented in 2009 dollars.</P>
                    <P>
                        The estimates of vehicle compliance costs cover the years leading up to—2012 and 2013—and including implementation of the program—2014 through 2018. Also presented are costs for the years following implementation to shed light on the long term (2022 and later) cost impacts of the program. The year 2022 was chosen here consistent with the light-duty 2012-2016 MY vehicle rule. That year was considered long term in that analysis because the short-term and long-term markup factors described shortly below are applied in five year increments with the 2012 through 2016 implementation span and 
                        <PRTPAGE P="57320"/>
                        the 2017 through 2021 span both representing the short-term. Since many of the costs used in this analysis are based on costs in the light-duty rule analysis, consistency with that analysis seems appropriate.
                    </P>
                    <P>
                        Some of the individual technology cost estimates are presented in brief in Section III, and account for both the direct and indirect costs incurred in the manufacturing and dealer industries (for a complete presentation of technology costs, please refer to Chapter 2 of the RIA). To account for the indirect costs on Class 2b and 3 pickup trucks and vans, the agencies have applied an ICM factor to all of the direct costs to arrive at the estimated technology cost. The ICM factor used was 1.24 in the short-term (2014 through 2021) to account for differences in the levels of R&amp;D, tooling, and other indirect costs that will be incurred. Once the program has been fully implemented, some of the indirect costs will no longer be attributable to these standards and, as such, a lower ICM factor is applied to direct costs in 2022 and later. The agencies have also applied ICM factors to Class 4 through 8 trucks and to heavy-duty diesel engine technologies. Markup factors in these categories range from 1.15 to 1.30 in the short term (2014 through 2021) depending on the complexity of the given technology. We have modified the manner in which ICMs are applied in that they are no longer applied as a simple multiplicative factor on top of the direct manufacturing costs. Instead, we have broken out the warranty cost portion of the ICM and apply it in a multiplicative manner then add the non-warranty cost portion of the ICM to that. The latter portion, that for non-warranty costs, is determined for a given year and held constant rather than decreasing year-over-year. This new approach, which responds to criticisms from some that the multiplicative approach used in the past essentially double counts learning effects, is discussed in Section VIII.C and is detailed in chapter 2 of the RIA. Note that, for the HD diesel engines, the agencies have applied the ICMs to ensure that our estimates are conservative since we have estimated fixed costs separately for technologies applied to these categories—effectively making the use of markups a double counting of indirect costs. For the details on the background and the concept behind our use of ICMs to calculate indirect costs, please refer to the report that has been placed in the docket for this final action.
                        <SU>482</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>482</SU>
                             RTI International. Heavy-duty Truck Retail Price Equivalent and Indirect Cost Multipliers. July 2010.
                        </P>
                    </FTNT>
                    <P>
                        The agencies have also considered the impacts of manufacturer learning on the technology cost estimates by reflecting the phenomenon of volume-based learning curve cost reductions in our modeling using two algorithms depending on where in the learning cycle (
                        <E T="03">i.e.,</E>
                         on what portion of the learning curve) we consider a technology to be—“steep” portion of the curve for newer technologies and “flat” portion of the curve for mature technologies. The observed phenomenon in the economic literature which supports manufacturer learning cost reductions are based on reductions in costs as production volumes increase, and the economic literature suggests these cost reductions occur indefinitely, though the absolute magnitude of the cost reductions decrease as production volumes increase (with the highest absolute cost reduction occurring with the first doubling of production). The agencies use the terminology “steep” and “flat” portion of the curve to distinguish among newer technologies and more mature technologies, respectively, and how learning cost reductions are applied in cost analyses. The steep learning algorithm applies for the early, steep portion of the learning curve and is estimated to result in 20 percent lower costs after two full years of implementation (
                        <E T="03">i.e.,</E>
                         a 2016 MY cost would be 20 percent lower than the 2014 and 2015 model year costs for a new technology being implemented in 2014). The flat learning algorithm applies for the flatter portion of the learning curve and is estimated to result in 3 percent lower costs in each of the five years following first introduction of a mature technology added in response to this final action. Once two steep learning steps have occurred (for technologies having steep learning applied), flat learning would begin. For technologies to which flat learning is applied, learning would begin in year 2 at 3 percent per year for 5 years. Beyond 5 years of flat learning at 3 percent per year, 5 years of flat learning at 2 percent per year, then 5 at 1 percent per year become effective.
                    </P>
                    <P>Learning impacts have been considered on most but not all of the technologies expected to be used because some of the expected technologies are already used rather widely in the industry and, presumably, learning impacts have already occurred. The agencies have applied the steep learning algorithm for only a handful of technologies considered to be new or emerging technologies such as energy recovery systems and thermal storage units which might one day be used on big trucks. For most technologies, the agencies have considered them to be more established and, hence, the agencies have applied the lower flat learning algorithm. For more discussion of the learning approach and the technologies to which each type of learning has been applied the reader is directed to chapter 2 of the RIA.</P>
                    <P>
                        The technology cost estimates discussed in Section III and detailed in Chapter 2 of the RIA are used to build up technology package cost estimates. For each engine and truck class, a single package for each was developed capable of complying with the final standards and the costs for each package was generated. The technology packages and package costs are discussed in more detail in Chapter 2 of the RIA. The compliance cost estimates take into account all credits and trading programs and include costs associated with air conditioning controls. Table VIII-1 presents the average incremental costs per truck for this final action. For HD pickup trucks and vans (Class 2b and 3), costs increase as the standards become more stringent in 2014 through 2018. Following 2018, costs then decrease going forward as learning effects result in decreased costs for individual technologies. By 2022, the long term ICMs take effect and costs decrease yet again. For vocational vehicles, cost trends are more difficult to discern as diesel engines begin adding technology in 2014, gasoline engines begin adding technology in 2016, and the trucks themselves begin adding technology in 2014. With learning effects the costs, in general, decrease each year except for the heavy-duty gasoline engine changes in 2016. Long term ICMs take effect in 2022 to provide more cost reductions. 
                        <PRTPAGE P="57321"/>
                        For combination tractors, costs generally decrease each year due to learning effects with the exception of 2017 when the engines placed in sleeper cab tractors add turbo compounding. Following that, learning impacts result in cost reductions and the long term ICMs take effect in 2022 for further cost reductions. By 2030 and later, cost-per-truck estimates remain constant for all classes. Regarding the long term ICMs taking effect in 2022, the agencies consider this the point at which some indirect costs decrease or are no longer considered attributable to the program (
                        <E T="03">e.g.,</E>
                         warranty costs go down). Costs per truck remain essentially constant thereafter.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table VIII-1—Estimated Cost per Truck</TTITLE>
                        <TDESC>[2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">HD Pickups &amp; vans</CHED>
                            <CHED H="1">Vocational</CHED>
                            <CHED H="1">Combination</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2014</ENT>
                            <ENT>$165</ENT>
                            <ENT>$329</ENT>
                            <ENT>$6,019</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>215</ENT>
                            <ENT>320</ENT>
                            <ENT>5,871</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016</ENT>
                            <ENT>422</ENT>
                            <ENT>397</ENT>
                            <ENT>5,677</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017</ENT>
                            <ENT>631</ENT>
                            <ENT>387</ENT>
                            <ENT>6,413</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>1,048</ENT>
                            <ENT>378</ENT>
                            <ENT>6,215</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>985</ENT>
                            <ENT>366</ENT>
                            <ENT>6,004</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>977</ENT>
                            <ENT>311</ENT>
                            <ENT>5,075</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>977</ENT>
                            <ENT>305</ENT>
                            <ENT>5,075</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>977</ENT>
                            <ENT>304</ENT>
                            <ENT>5,075</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        These costs would, presumably, have some impact on new truck prices, although the agencies make no attempt at determining what the impact of increased costs would be on new truck prices. Nonetheless, on a percentage basis, the costs shown in Table VIII-1 for 2018 MY trucks (when all final requirements are fully implemented) would be roughly three percent for a typical HD pickup truck or van, less than one percent for a typical vocational vehicle, and roughly six percent for a typical combination truck/tractor using new truck prices of $40,000, $100,000 and $100,000, respectively. The costs would represent lower or higher percentages of new truck prices for new trucks with higher or lower prices, respectively. Given the wide range of new truck prices in these categories—a Class 4 vocational work truck might be $40,000 when new while a Class 8 refuse truck (
                        <E T="03">i.e.,</E>
                         a large vocational vehicle) might be as much as $200,000 when new—it is very difficult to reflect incremental costs as percentages of new truck prices for all trucks. What is presented here is the average cost (Table VIII-1) compared with typical new truck prices.
                    </P>
                    <P>
                        As noted above, the fixed costs were estimated separately from the hardware costs for HD diesel engines that are placed in vocational vehicles and combination tractors. Those fixed costs are not included in Table VIII-1. The agencies have estimated the R&amp;D costs at $6.8 million per manufacturer per year for five years and the new test cell costs (to accommodate measurement of N
                        <E T="52">2</E>
                        O emissions) at $63,087 per manufacturer. The test cell costs of N
                        <E T="52">2</E>
                        O emissions measurement has been adjusted for the final rulemaking to reflect comments which stated approximately 75 percent of manufacturers would be required to update existing equipment while the other 25 percent would require new equipment. These costs apply individually for LHD, MHD and HHD engines. Given the 14 manufacturers impacted by the final standards, 11 of which are estimated to sell both MHD and HHD engines and 3 of which are estimated to sell LHD engines, we have estimated a five year annual R&amp;D cost of $170.3 million dollars (2 × 11 × $6.8 million plus 3 × $7.75 million for each year 2012-2016) and a one-time test cell cost of $1.6 million dollars (2 × 11 × $63,087 plus 3 × $63,087 in 2013). Estimating annual sales of HD diesel engines at roughly 600,000 units results in roughly $284 per engine per year for five years beginning in 2012 and ending in 2016. Again, these costs are not reflected in Table VIII-1, but are included in Table VIII-2 as “Other Engineering Costs.”
                    </P>
                    <P>
                        The certification and compliance program costs, for all engine and truck types, are estimated at $6.5 million in the first year dropping to $2.3 million in each year thereafter and continuing indefinitely. These costs are detailed in the “Draft Supporting Statement for Information Collection Request” which is contained in the docket for this final action.
                        <SU>483</SU>
                        <FTREF/>
                         The costs are higher in the first year due to capital expenses required to comply with new reporting burdens (facility upgrade costs are included in engineering costs as described above). Estimating annual sales of heavy-duty trucks at roughly 1.5 million units would result in just over $4 per engine/truck in the first year and less than $2 per engine/truck per year thereafter. These costs are not reflected in Table VIII-1, but are included in Table VIII-2 below as “Compliance Program” costs.
                    </P>
                    <FTNT>
                        <P>
                            <SU>483</SU>
                             “Draft Supporting Statement for Information Collection Request,” Control of Greenhouse Gas Emissions from New Motor Vehicles: Proposed Heavy-Duty Engine and Vehicle Standards, EPA ICR Tracking Number 2394.01.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(2) Annual Costs of the HD National Program</HD>
                    <P>
                        The costs presented here represent the incremental costs for newly added technology to comply with the program. Together with the projected increases in truck sales, the increases in per-truck average costs shown in Table VIII-1, above result in the total annual costs presented in Table VIII-2 below. Note that the costs presented in Table VIII-2 do not include the savings that will occur as a result of the improvements to fuel consumption. Those impacts are presented in Section 0. Note also that the costs presented here represent costs estimated to occur presuming that the final standards will continue in perpetuity. Any changes to the final standards would be considered as part of a future rulemaking. In other words, the final standards do not apply only to 2014-2018 model year trucks—they do, in fact, apply to all 2014 and later model year trucks. We present more detail regarding the 2014-2018 model year trucks in Sections VIII.L, where we summarize all monetized costs and benefits.
                        <PRTPAGE P="57322"/>
                    </P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,12,12,12,12,12,12">
                        <TTITLE>Table VIII-2—Annual Costs Associated With the Program </TTITLE>
                        <TDESC>[$Millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">HD Pickup and vans</CHED>
                            <CHED H="1">Vocational vehicles</CHED>
                            <CHED H="1">Combination tractors</CHED>
                            <CHED H="1">Other engineering costs</CHED>
                            <CHED H="1">Compliance program costs</CHED>
                            <CHED H="1">Annual costs</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                2012 
                                <SU>a</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$0</ENT>
                            <ENT>$0</ENT>
                            <ENT>$170</ENT>
                            <ENT>$0</ENT>
                            <ENT>$170</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2013</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>172</ENT>
                            <ENT>0</ENT>
                            <ENT>172</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2014</ENT>
                            <ENT>130</ENT>
                            <ENT>185</ENT>
                            <ENT>1,078</ENT>
                            <ENT>170</ENT>
                            <ENT>6.5</ENT>
                            <ENT>1,569</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>157</ENT>
                            <ENT>170</ENT>
                            <ENT>922</ENT>
                            <ENT>170</ENT>
                            <ENT>2.3</ENT>
                            <ENT>1,422</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016</ENT>
                            <ENT>300</ENT>
                            <ENT>202</ENT>
                            <ENT>820</ENT>
                            <ENT>170</ENT>
                            <ENT>2.3</ENT>
                            <ENT>1,495</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017</ENT>
                            <ENT>447</ENT>
                            <ENT>198</ENT>
                            <ENT>951</ENT>
                            <ENT>0</ENT>
                            <ENT>2.3</ENT>
                            <ENT>1,598</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>751</ENT>
                            <ENT>201</ENT>
                            <ENT>1,000</ENT>
                            <ENT>0</ENT>
                            <ENT>2.3</ENT>
                            <ENT>1,955</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>754</ENT>
                            <ENT>202</ENT>
                            <ENT>1,001</ENT>
                            <ENT>0</ENT>
                            <ENT>2.3</ENT>
                            <ENT>1,959</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>918</ENT>
                            <ENT>216</ENT>
                            <ENT>1,076</ENT>
                            <ENT>0</ENT>
                            <ENT>2.3</ENT>
                            <ENT>2,212</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>1,024</ENT>
                            <ENT>281</ENT>
                            <ENT>1,372</ENT>
                            <ENT>0</ENT>
                            <ENT>2.3</ENT>
                            <ENT>2,679</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>1,156</ENT>
                            <ENT>354</ENT>
                            <ENT>1,777</ENT>
                            <ENT>0</ENT>
                            <ENT>2.3</ENT>
                            <ENT>3,290</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 3%</ENT>
                            <ENT>17,070</ENT>
                            <ENT>4,950</ENT>
                            <ENT>24,487</ENT>
                            <ENT>793</ENT>
                            <ENT>52</ENT>
                            <ENT>47,352</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 7%</ENT>
                            <ENT>8,467</ENT>
                            <ENT>2,588</ENT>
                            <ENT>12,855</ENT>
                            <ENT>724</ENT>
                            <ENT>30</ENT>
                            <ENT>24,665</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             As explained in the text, “Other Engineering Costs” are estimated for years 2012 through 2016. These costs represent facility related costs and engineering development costs, much of which will have to begin prior to implementation of the new standards.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD2">C. Indirect Cost Multipliers</HD>
                    <HD SOURCE="HD3">(1) Markup Factors To Estimate Indirect Costs</HD>
                    <P>For all segments in this analysis, indirect costs are estimated by applying indirect cost multipliers (ICM) to direct cost estimates. ICMs were calculated by EPA as a basis for estimating the impact on indirect costs of individual vehicle technology changes that would result from regulatory actions. Separate ICMs were derived for low, medium, and high complexity technologies, thus enabling estimates of indirect costs that reflect the variation in research, overhead, and other indirect costs that can occur among different technologies. ICMs were also applied in the light-duty rule.</P>
                    <P>Prior to developing the ICM methodology, EPA and NHTSA both applied a retail price equivalent (RPE) factor to estimate indirect costs. RPEs are estimated by dividing the total revenue of a manufacturer by the direct manufacturing costs. As such, it includes all forms of indirect costs for a manufacturer and assumes that the ratio applies equally for all technologies. ICMs are based on RPE estimates that are then modified to reflect only those elements of indirect costs that would be expected to change in response to a regulatory-induced technology change. For example, warranty costs would be reflected in both RPE and ICM estimates, while marketing costs might only be reflected in an RPE estimate but not an ICM estimate for a particular technology, if the new regulatory-induced technology change is not one expected to be marketed to consumers. Because ICMs calculated by EPA are for individual technologies, many of which are small in scale, they often reflect a subset of RPE costs; as a result, the RPE is typically higher than an ICM. This is not always the case, as ICM estimates for complex technologies may reflect higher than average indirect costs, with the resulting ICM larger than the averaged RPE for the industry.</P>
                    <P>
                        There is some level of uncertainty surrounding both the ICM and RPE markup factors. The ICM estimates used in this final action group all technologies into three broad categories and treat them as if individual technologies within each of the three categories (low, medium, and high complexity) will have the same ratio of indirect costs to direct costs. This simplification means it is likely that the direct cost for some technologies within a category will be higher and some lower than the estimate for the category in general. More importantly, the ICM estimates have not been validated through a direct accounting of actual indirect costs for individual technologies. Rather, the ICM estimates were developed using adjustment factors developed in two separate occasions: the first, a consensus process, was reported in the RTI report; the second, a modified Delphi method, was conducted separately and reported in an EPA memo.
                        <SU>484</SU>
                        <FTREF/>
                         Both these panels were composed of EPA staff members with previous background in the automobile industry; the memberships of the two panels overlapped but were not the same.
                        <SU>485</SU>
                        <FTREF/>
                         The panels evaluated each element of the industry's RPE estimates and estimated the degree to which those elements would be expected to change in proportion to changes in direct manufacturing costs. The method and estimates in the RTI report were peer reviewed by three industry experts and subsequently by reviewers for the International Journal of Production Economics.
                        <SU>486</SU>
                        <FTREF/>
                         RPEs themselves are inherently difficult to estimate because the accounting statements of manufacturers do not neatly categorize all cost elements as either direct or indirect costs. Hence, each researcher developing an RPE estimate must apply a certain amount of judgment to the allocation of the costs. Moreover, RPEs for heavy- and medium-duty trucks and for engine manufacturers are not as well studied as they are for the light-duty automobile industry. Since empirical estimates of ICMs are ultimately derived from the same data used to measure RPEs, this affects both measures. However, the value of RPE has not been measured for specific technologies, or for groups of specific technologies. Thus applying a single average RPE to any given technology by definition overstates costs for very simple technologies, or understates them for advanced technologies.
                    </P>
                    <FTNT>
                        <P>
                            <SU>484</SU>
                             Helfand, Gloria, and Sherwood, Todd. “Documentation of the Development of Indirect Cost Multipliers for Three Automotive Technologies.” Memorandum, Assessment and Standards Division, Office of Transportation and Air Quality, U.S. Environmental Protection Agency, August 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>485</SU>
                             NHTSA staff participated in the development of the process for the second, modified Delphi panel, and reviewed the results as they were developed, but did not serve on the panel.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>486</SU>
                             The results of the RTI report were published in Alex Rogozhin, Michael Gallaher, Gloria Helfand, and Walter McManus, “Using Indirect Cost Multipliers to Estimate the Total Cost of Adding New Technology in the Automobile Industry.” 
                            <E T="03">International Journal of Production Economics</E>
                             124 (2010): 360-368.
                        </P>
                    </FTNT>
                    <P>
                        In the proposal, we requested comment on our ICM factors and whether it was most appropriate to use ICMs or RPEs. We received no comment on the issue specifically, other than 
                        <PRTPAGE P="57323"/>
                        basic comments that perhaps our ICM factors were low. In response, for this final action, we have adjusted our ICM factors such that they are slightly higher and, importantly, we have changed the way in which the factors are applied. The first change—increased ICM factors—has been done as a result of further thought among the EPA and NHTSA team that the ICM factors presented in the original RTI report 
                        <SU>487</SU>
                        <FTREF/>
                         for low and medium complexity technologies should no longer be used and that we should rely solely on the modified-Delphi values for these complexity levels.
                        <SU>488</SU>
                        <FTREF/>
                         For that reason, we have eliminated the averaging of original RTI values with modified-Delphi values and instead are relying solely on the modified-Delphi values for low and medium complexity technologies. The second change—the way the factors are applied—results in the warranty portion of the indirect costs being applied as a multiplicative factor (thereby decreasing going forward as direct manufacturing costs decrease due to learning), and the remainder of the indirect costs being applied as an additive factor (thereby remaining constant year-over-year and not being reduced due to learning). This second change has a comparatively large impact on the resultant technology costs and, we believe, more appropriately estimates costs over time. In addition to these changes, a secondary-level change was also made as part of this ICM recalculation to the light-duty ICMs and, therefore, to the ICMs used in this analysis for heavy-duty pickups and vans. That change was to revise upward the RPE level reported in the original RTI report from an original value of 1.46 to 1.5 to reflect the long term average RPE. The original RTI study was based on 2008 data. However, an analysis of historical RPE data indicates that, although there is year to year variation, the average RPE has remained constant at roughly 1.5. ICMs will be applied to future year's data and therefore NHTSA and EPA staff believe that it would be appropriate to base ICMs on the historical average rather than a single year's result. Therefore, ICMs were adjusted to reflect this average level since the original value excluded net income. As a result, even the High 1 and High 2 ICMs used for heavy-duty pickups and vans have also changed. These changes to our ICMs and the methodology are described in greater detail in Chapter 2 of the final RIA.
                    </P>
                    <FTNT>
                        <P>
                            <SU>487</SU>
                             Rogozhin, Alex, Michael Gallaher, and Walter McManus. “Automobile Industry Retail Price Equivalent and Indirect Cost Multipliers.” Report prepared for EPA by RTI International. EPA Report EPA-420-R-09-003, February 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>488</SU>
                             Helfand, Gloria, and Sherwood, Todd. “Documentation of the Development of Indirect Cost Multipliers for Three Automotive Technologies.” Memorandum, Assessment and Standards Division, Office of Transportation and Air Quality, U.S. Environmental Protection Agency, August 2009.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">D. Cost per Ton of Emissions Reductions</HD>
                    <P>
                        The agencies have calculated the cost per ton of GHG reductions associated with this program on a CO
                        <E T="52">2</E>
                        eq basis using the above costs and the emissions reductions described in Sections VI and VII. These values are presented in Table VIII-3 through Table VIII-5 for HD pickups &amp; vans, vocational vehicles and combination trucks/tractors, respectively. The cost per metric ton of GHG emissions reductions has been calculated in the years 2020, 2030, 2040, and 2050 using the annual vehicle compliance costs and emission reductions for each of those years. The value in 2050 represents the long-term cost per ton of the emissions reduced. The agencies have also calculated the cost per metric ton of GHG emission reductions including the savings associated with reduced fuel consumption (presented below in Section 0). This latter calculation does not include the other benefits associated with this program such as those associated with energy security benefits as discussed later in Section VIII.I. By including the fuel savings, the cost per ton is generally less than $0 since the estimated value of fuel savings outweighs the program costs. The results for CO
                        <E T="52">2</E>
                        eq costs per ton under the HD National Program across all regulated categories are shown in Table VIII-6.
                    </P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,12,12,12,12,12">
                        <TTITLE>
                            Table VIII-3—Annual Cost per Metric Ton of CO
                            <E T="52">2</E>
                            eq Reduced—HD Pickup Trucks &amp; Vans 
                        </TTITLE>
                        <TDESC>[2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Program cost</CHED>
                            <CHED H="1">Fuel savings (pre-tax)</CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                eq
                                <LI>Reduced</LI>
                            </CHED>
                            <CHED H="1">Cost per ton (without fuel Savings)</CHED>
                            <CHED H="1">
                                Cost per ton (with fuel
                                <LI>savings)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>$800</ENT>
                            <ENT>$900</ENT>
                            <ENT>3</ENT>
                            <ENT>$240</ENT>
                            <ENT>−$30</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>900</ENT>
                            <ENT>3,000</ENT>
                            <ENT>10</ENT>
                            <ENT>90</ENT>
                            <ENT>−200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>1,000</ENT>
                            <ENT>4,300</ENT>
                            <ENT>14</ENT>
                            <ENT>70</ENT>
                            <ENT>−240</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>1,200</ENT>
                            <ENT>5,500</ENT>
                            <ENT>16</ENT>
                            <ENT>80</ENT>
                            <ENT>−270</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,12,12,12,12,12">
                        <TTITLE>
                            Table VIII-4—Annual Cost per Metric Ton of CO
                            <E T="52">2</E>
                            eq Reduced—Vocational Vehicles 
                            <E T="01">a</E>
                              
                        </TTITLE>
                        <TDESC>[2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Program cost</CHED>
                            <CHED H="1">Fuel savings (pre-tax)</CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                eq
                                <LI>reduced</LI>
                            </CHED>
                            <CHED H="1">Cost per ton (without fuel savings)</CHED>
                            <CHED H="1">
                                Cost per ton (with fuel
                                <LI>savings)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>$200</ENT>
                            <ENT>$1,100</ENT>
                            <ENT>4</ENT>
                            <ENT>$50</ENT>
                            <ENT>−$210</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>200</ENT>
                            <ENT>2,400</ENT>
                            <ENT>9</ENT>
                            <ENT>20</ENT>
                            <ENT>−250</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>300</ENT>
                            <ENT>3,500</ENT>
                            <ENT>12</ENT>
                            <ENT>30</ENT>
                            <ENT>−270</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>400</ENT>
                            <ENT>4,700</ENT>
                            <ENT>14</ENT>
                            <ENT>30</ENT>
                            <ENT>−310</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             The program costs, fuel savings, and CO
                            <E T="52">2</E>
                            eq reductions of the engines installed in vocational vehicles are embedded in the vehicle standards and analysis.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57324"/>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,12,12,12,12,12">
                        <TTITLE>
                            Table VIII-5—Annual Cost per Metric Ton of CO
                            <E T="52">2</E>
                            eq Reduced—Combination Tractors 
                            <E T="01">
                                <SU>a</SU>
                            </E>
                        </TTITLE>
                        <TDESC>[2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Program cost</CHED>
                            <CHED H="1">Fuel savings (pre-tax)</CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                eq
                                <LI>reduced</LI>
                            </CHED>
                            <CHED H="1">Cost per ton (without fuel savings)</CHED>
                            <CHED H="1">
                                Cost per ton (with fuel
                                <LI>savings)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>$1,000</ENT>
                            <ENT>$7,700</ENT>
                            <ENT>32</ENT>
                            <ENT>$30</ENT>
                            <ENT>−$210</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>1,100</ENT>
                            <ENT>15,300</ENT>
                            <ENT>57</ENT>
                            <ENT>20</ENT>
                            <ENT>−250</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>1,400</ENT>
                            <ENT>20,200</ENT>
                            <ENT>68</ENT>
                            <ENT>20</ENT>
                            <ENT>−280</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>1,800</ENT>
                            <ENT>26,400</ENT>
                            <ENT>78</ENT>
                            <ENT>20</ENT>
                            <ENT>−320</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             The program costs, fuel savings, and CO
                            <E T="52">2</E>
                            eq reductions of the engines installed in tractors are embedded in the tractor standards and analysis.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,12,12,12,12,12">
                        <TTITLE>
                            Table VIII-6—Annual Cost per Metric Ton of CO
                            <E T="52">2</E>
                            eq Reduced—Final 
                        </TTITLE>
                        <TDESC>[2009 dollars]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Program cost</CHED>
                            <CHED H="1">
                                Fuel savings 
                                <LI>(pre-tax)</LI>
                            </CHED>
                            <CHED H="1">
                                CO2eq
                                <LI>reduced</LI>
                            </CHED>
                            <CHED H="1">
                                Cost per ton 
                                <LI>(without fuel savings)</LI>
                            </CHED>
                            <CHED H="1">
                                Cost per ton 
                                <LI>(with fuel</LI>
                                <LI>savings)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>$2,000</ENT>
                            <ENT>$9,600</ENT>
                            <ENT>39</ENT>
                            <ENT>$50</ENT>
                            <ENT>−$190</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>2,200</ENT>
                            <ENT>20,600</ENT>
                            <ENT>76</ENT>
                            <ENT>30</ENT>
                            <ENT>−240</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>2,700</ENT>
                            <ENT>28,000</ENT>
                            <ENT>94</ENT>
                            <ENT>30</ENT>
                            <ENT>−270</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>3,300</ENT>
                            <ENT>36,500</ENT>
                            <ENT>108</ENT>
                            <ENT>30</ENT>
                            <ENT>−310</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">E. Impacts of Reduction in Fuel Consumption</HD>
                    <HD SOURCE="HD3">(1) What are the projected changes in fuel consumption?</HD>
                    <P>
                        The new CO
                        <E T="52">2</E>
                         standards will result in significant improvements in the fuel efficiency of affected trucks. Drivers of those trucks will see corresponding savings associated with reduced fuel expenditures. The agencies have estimated the impacts on fuel consumption for the tailpipe CO
                        <E T="52">2</E>
                         standards. To do this, fuel consumption is calculated using both current CO
                        <E T="52">2</E>
                         emission levels and the new CO
                        <E T="52">2</E>
                         standards. The difference between these estimates represents the net savings from the CO
                        <E T="52">2</E>
                         standards. Note that the total number of miles that vehicles are driven each year is different under the control case scenario than in the reference case due to the “rebound effect,” which is discussed in Section 0. EPA also notes that drivers who drive more than our average estimates for vehicle miles traveled (VMT) will experience more fuel savings; drivers who drive less than our average VMT estimates will experience less fuel savings.
                    </P>
                    <P>
                        The expected impacts on fuel consumption are shown in Table VIII-7. The gallons shown in the tables reflect impacts from the new fuel consumption and CO
                        <E T="52">2</E>
                         standards and include increased consumption resulting from the rebound effect.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,8,8">
                        <TTITLE>Table VIII-7—Fuel Consumption Reductions of the Program</TTITLE>
                        <TDESC>[Million gallons]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Gasoline</CHED>
                            <CHED H="1">Diesel</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2014</ENT>
                            <ENT>1</ENT>
                            <ENT>473</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>3</ENT>
                            <ENT>846</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016</ENT>
                            <ENT>14</ENT>
                            <ENT>1,171</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017</ENT>
                            <ENT>31</ENT>
                            <ENT>1,643</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>58</ENT>
                            <ENT>2,123</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>114</ENT>
                            <ENT>2,986</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>348</ENT>
                            <ENT>5,670</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>453</ENT>
                            <ENT>7,046</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>522</ENT>
                            <ENT>8,158</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(2) Potential Impacts on Global Fuel Use and Emissions</HD>
                    <P>EPA's quantified reductions in fuel consumption focus on the gains from reducing fuel used by heavy-duty vehicles within the United States. However, as discussed in Section VIII.I, EPA also recognizes that this regulation will lower the world price of oil (the “monopsony” effect). Lowering oil prices could lead to an uptick in oil consumption globally, leading to a corresponding increase in GHG emissions in other countries. This global increase in emissions could slightly offset some of the emission reductions achieved domestically as a result of the regulation.</P>
                    <HD SOURCE="HD3">(3) What are the monetized fuel savings?</HD>
                    <P>Using the fuel consumption estimates presented in Table VIII-7, the agencies can calculate the monetized fuel savings associated with the final standards. To do this, reduced fuel consumption is multiplied in each year by the corresponding estimated average fuel price in that year, using the reference case taken from the AEO 2011. These estimates do not account for the significant uncertainty in future fuel prices; the monetized fuel savings will be understated if actual fuel prices are higher (or overstated if fuel prices are lower) than estimated. AEO is a standard reference used by NHTSA and EPA and many other government agencies to estimate the projected price of fuel. This has been done using both the pre-tax and post-tax fuel prices. Since the post-tax fuel prices are the prices paid at fuel pumps, the fuel savings calculated using these prices represent the savings consumers would see. The pre-tax fuel savings are those savings that society would see. Assuming no change in fuel tax rates, the difference between these two columns represents the reduction in fuel tax revenues that will be received by state and federal governments—about $200 million in 2014 and $3 billion by 2050. These results are shown in Table VIII-8. Note that in Section VIII.L, the overall benefits and costs of the rules are presented and, for that reason, only the pre-tax fuel savings are presented there.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,10,10">
                        <TTITLE>Table VIII-8—Estimated Monetized Fuel Savings </TTITLE>
                        <TDESC>[Millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">
                                Fuel
                                <LI>savings </LI>
                                <LI>(pre-tax)</LI>
                            </CHED>
                            <CHED H="1">
                                Fuel
                                <LI>savings </LI>
                                <LI>(post-tax)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2014</ENT>
                            <ENT>$1,200</ENT>
                            <ENT>$1,400</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57325"/>
                            <ENT I="01">2015</ENT>
                            <ENT>2,200</ENT>
                            <ENT>2,600</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016</ENT>
                            <ENT>3,300</ENT>
                            <ENT>3,800</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017</ENT>
                            <ENT>4,800</ENT>
                            <ENT>5,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>6,400</ENT>
                            <ENT>7,400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>9,600</ENT>
                            <ENT>10,900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>20,600</ENT>
                            <ENT>23,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>28,000</ENT>
                            <ENT>30,600</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>36,500</ENT>
                            <ENT>39,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 3%</ENT>
                            <ENT>375,300</ENT>
                            <ENT>415,300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 7%</ENT>
                            <ENT>166,500</ENT>
                            <ENT>185,400</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>As shown in Table VIII-8, the agencies are projecting that truck consumers would realize very large fuel savings as a result of the final standards. As discussed further in the introductory paragraphs of Section VIII, it is a conundrum from an economic perspective that these large fuel savings have not been provided by manufacturers and purchased by consumers of these products. Unlike in the light-duty vehicle market, the vast majority of vehicles in the medium- and heavy-duty truck market are purchased and operated by businesses; for them, fuel costs may represent substantial operating expenses. Even in the presence of uncertainty and imperfect information—conditions that hold to some degree in every market—we generally expect firms to be cost-minimizing to survive in a competitive marketplace and to make decisions that are therefore in the best interest of the company and its owners and/or shareholders.</P>
                    <P>A number of behavioral and market phenomena may lead to a disconnect between how businesses account for fuel savings in their decisions and the way in which we account for the full stream of fuel savings for these rules, including imperfect information in the original and resale markets, split incentives, uncertainty in future fuel prices, and adjustment or transactions costs (see Section VIII.A for a more detailed discussion). As discussed below in the context of rebound in Section VIII.E.5, the nature of the explanation for this gap may influence the actual magnitude of the fuel savings.</P>
                    <HD SOURCE="HD3">(4) Payback Period and Lifetime Savings on New Truck Purchases</HD>
                    <P>Another factor of interest is the payback period on the purchase of a new truck that complies with the new standards. In other words, how long would it take for the expected fuel savings to outweigh the increased cost of a new vehicle? For example, a new 2018 MY HD pickup truck and van is estimated to cost $1,048 more, a vocational vehicle $378 more, and a combination tractor $6,215 more (all values are on average, and relative to the reference case vehicle) due to the addition of new GHG reducing technology. This new technology will result in lower fuel consumption and, therefore, savings in fuel expenditures. But how many months or years would pass before the fuel savings exceed the upfront costs? Table VIII-9 shows the payback period analysis for HD pickup trucks and vans. The table shows fuel consumed under the reference case and fuel consumed by a 2018 model year truck under the program, inclusive of fuel consumed due to rebound miles. The decrease in fuel consumed under the program is then monetized by multiplying by the fuel price reported by AEO (reference case) for 2018 and later. This value represents the fuel savings expected under the program for a HD pickup or van. These savings are then discounted each year since future savings are considered to be of less value than current savings. Shown next are estimated increased costs (costs do not necessarily reflect increased prices which may be higher or lower than costs) for the new truck (refer to Table VIII-1). The next columns of Table VIII-9 show the period required for the fuel savings to exceed the new truck costs. As seen in the table, in the second year of ownership, the discounted fuel savings (at both 3 and 7 percent discount rates) have begun to outweigh the increased cost of the truck. As shown in the table, the full life savings using 3 percent discounting would be $6,138 and at 7 percent discounting would be $4,459.</P>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s40,10,10,10,10,10,10,10">
                        <TTITLE>Table VIII-9—Payback Period for a 2018 Model Year HD Pickup or Van</TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year of ownership</CHED>
                            <CHED H="1">
                                Reduced fuel use 
                                <LI>
                                    (gallons) 
                                    <SU>b</SU>
                                </LI>
                            </CHED>
                            <CHED H="2">Gasoline</CHED>
                            <CHED H="2">Diesel</CHED>
                            <CHED H="1">
                                Fuel savings 
                                <SU>a</SU>
                            </CHED>
                            <CHED H="2">3% discount</CHED>
                            <CHED H="2">7% discount</CHED>
                            <CHED H="1">Increased cost</CHED>
                            <CHED H="1">Cumulative savings</CHED>
                            <CHED H="2">3% discount</CHED>
                            <CHED H="2">7% discount</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>67</ENT>
                            <ENT>122</ENT>
                            <ENT>$627</ENT>
                            <ENT>$616</ENT>
                            <ENT>−$1,048</ENT>
                            <ENT>−$421</ENT>
                            <ENT>−$433</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>67</ENT>
                            <ENT>122</ENT>
                            <ENT>617</ENT>
                            <ENT>583</ENT>
                            <ENT/>
                            <ENT>196</ENT>
                            <ENT>151</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>66</ENT>
                            <ENT>120</ENT>
                            <ENT>600</ENT>
                            <ENT>546</ENT>
                            <ENT/>
                            <ENT>796</ENT>
                            <ENT>696</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>64</ENT>
                            <ENT>117</ENT>
                            <ENT>570</ENT>
                            <ENT>499</ENT>
                            <ENT/>
                            <ENT>1,366</ENT>
                            <ENT>1,196</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>62</ENT>
                            <ENT>113</ENT>
                            <ENT>544</ENT>
                            <ENT>458</ENT>
                            <ENT/>
                            <ENT>1,910</ENT>
                            <ENT>1,654</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6</ENT>
                            <ENT>59</ENT>
                            <ENT>108</ENT>
                            <ENT>507</ENT>
                            <ENT>411</ENT>
                            <ENT/>
                            <ENT>2,417</ENT>
                            <ENT>2,065</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7</ENT>
                            <ENT>56</ENT>
                            <ENT>102</ENT>
                            <ENT>474</ENT>
                            <ENT>370</ENT>
                            <ENT/>
                            <ENT>2,890</ENT>
                            <ENT>2,435</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Full Life</ENT>
                            <ENT>894</ENT>
                            <ENT>1,617</ENT>
                            <ENT>7,187</ENT>
                            <ENT>5,507</ENT>
                            <ENT>−1,048</ENT>
                            <ENT>6,138</ENT>
                            <ENT>4,459</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>a</SU>
                            </E>
                             Fuel savings calculated using the AEO 2011 reference case fuel prices through 2035. Fuel prices beyond 2035 were extrapolated from an average growth rate for the years 2017 to 2035. Gasoline and diesel fuel prices have been weighted by gasoline and diesel fuel reductions estimated for all 2018 MY heavy-duty trucks during their lifetimes. These estimates assume no changes in fuel tax rates. If fuel taxes are increased to offset lost revenues, the post-tax savings will increase.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>b</SU>
                            </E>
                             Gallons under the control case include gallons consumed during rebound driving.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        The story is somewhat different for vocational vehicles and combination tractors. These cases are shown in Table VIII-10 and Table VIII-11, respectively. Since these trucks travel more miles in a given year, their payback periods are shorter and are expected to occur within the second year of ownership under both the 3 and 7 percent discounting cases. As can be seen in Table VIII-10 and Table VIII-11, the lifetime fuel savings are estimated to be considerable with savings of $5,494 (3%) and $4,268 (7%) for the vocational vehicles and $72,875 (3%) and $58,162 (7%) for the combination tractors.
                        <PRTPAGE P="57326"/>
                    </P>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s40,10,10,10,10,10,10,10">
                        <TTITLE>Table VIII-10—Payback Period for a 2018 Model Year Vocational Vehicle</TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year of ownership</CHED>
                            <CHED H="1">
                                Reduced fuel use 
                                <LI>
                                    (gallons) 
                                    <SU>b</SU>
                                </LI>
                            </CHED>
                            <CHED H="2">Gasoline</CHED>
                            <CHED H="2">Diesel</CHED>
                            <CHED H="1">
                                Fuel savings 
                                <SU>a</SU>
                            </CHED>
                            <CHED H="2">3% discount</CHED>
                            <CHED H="2">7% discount</CHED>
                            <CHED H="1">Increased cost</CHED>
                            <CHED H="1">Cumulative savings</CHED>
                            <CHED H="2">3% discount</CHED>
                            <CHED H="2">7% discount</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>51</ENT>
                            <ENT>161</ENT>
                            <ENT>$702</ENT>
                            <ENT>$690</ENT>
                            <ENT>−$378</ENT>
                            <ENT>$325</ENT>
                            <ENT>$312</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>47</ENT>
                            <ENT>146</ENT>
                            <ENT>637</ENT>
                            <ENT>602</ENT>
                            <ENT/>
                            <ENT>962</ENT>
                            <ENT>914</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>44</ENT>
                            <ENT>134</ENT>
                            <ENT>576</ENT>
                            <ENT>524</ENT>
                            <ENT/>
                            <ENT>1,538</ENT>
                            <ENT>1,438</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>41</ENT>
                            <ENT>122</ENT>
                            <ENT>516</ENT>
                            <ENT>452</ENT>
                            <ENT/>
                            <ENT>2,054</ENT>
                            <ENT>1,889</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>38</ENT>
                            <ENT>110</ENT>
                            <ENT>463</ENT>
                            <ENT>390</ENT>
                            <ENT/>
                            <ENT>2,516</ENT>
                            <ENT>2,279</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6</ENT>
                            <ENT>34</ENT>
                            <ENT>98</ENT>
                            <ENT>404</ENT>
                            <ENT>328</ENT>
                            <ENT/>
                            <ENT>2,921</ENT>
                            <ENT>2,607</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7</ENT>
                            <ENT>31</ENT>
                            <ENT>87</ENT>
                            <ENT>359</ENT>
                            <ENT>280</ENT>
                            <ENT/>
                            <ENT>3,279</ENT>
                            <ENT>2,887</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Full Life</ENT>
                            <ENT>550</ENT>
                            <ENT>1,458</ENT>
                            <ENT>5,872</ENT>
                            <ENT>4,646</ENT>
                            <ENT>−378</ENT>
                            <ENT>5,494</ENT>
                            <ENT>4,268</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>a</SU>
                            </E>
                             Fuel savings calculated using the AEO 2011 reference case fuel prices through 2035. Fuel prices beyond 2035 were extrapolated from an average growth rate for the years 2017 to 2035. Gasoline and diesel fuel prices have been weighted by gasoline and diesel fuel reductions estimated for all 2018 MY heavy-duty trucks during their lifetimes. These estimates assume no changes in fuel tax rates. If fuel taxes are increased to offset lost revenues, the post-tax savings will increase.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>b</SU>
                            </E>
                             Gallons under the control case include gallons consumed during rebound driving.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s40,10,10,10,10,10,10,10">
                        <TTITLE>Table VIII-11—Payback Period for a 2018 Model Year Combination Tractor </TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year of ownership</CHED>
                            <CHED H="1">
                                Reduced fuel use 
                                <LI>
                                    (gallons) 
                                    <SU>b</SU>
                                </LI>
                            </CHED>
                            <CHED H="2">Gasoline</CHED>
                            <CHED H="2">Diesel</CHED>
                            <CHED H="1">
                                Fuel savings 
                                <SU>a</SU>
                            </CHED>
                            <CHED H="2">3% discount</CHED>
                            <CHED H="2">7% discount</CHED>
                            <CHED H="1">Increased cost</CHED>
                            <CHED H="1">Cumulative savings</CHED>
                            <CHED H="2">3% discount</CHED>
                            <CHED H="2">7% discount</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0</ENT>
                            <ENT>3,223</ENT>
                            <ENT>$10,736</ENT>
                            <ENT>$10,539</ENT>
                            <ENT>−$6,215</ENT>
                            <ENT>$4,522</ENT>
                            <ENT>$4,324</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0</ENT>
                            <ENT>2,897</ENT>
                            <ENT>9,619</ENT>
                            <ENT>9,089</ENT>
                            <ENT/>
                            <ENT>14,141</ENT>
                            <ENT>13,413</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0</ENT>
                            <ENT>2,619</ENT>
                            <ENT>8,564</ENT>
                            <ENT>7,790</ENT>
                            <ENT/>
                            <ENT>22,705</ENT>
                            <ENT>21,203</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0</ENT>
                            <ENT>2,359</ENT>
                            <ENT>7,532</ENT>
                            <ENT>6,595</ENT>
                            <ENT/>
                            <ENT>30,237</ENT>
                            <ENT>27,797</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0</ENT>
                            <ENT>2,096</ENT>
                            <ENT>6,626</ENT>
                            <ENT>5,585</ENT>
                            <ENT/>
                            <ENT>36,863</ENT>
                            <ENT>33,382</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6</ENT>
                            <ENT>0</ENT>
                            <ENT>1,842</ENT>
                            <ENT>5,684</ENT>
                            <ENT>4,611</ENT>
                            <ENT/>
                            <ENT>42,546</ENT>
                            <ENT>37,993</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7</ENT>
                            <ENT>0</ENT>
                            <ENT>1,617</ENT>
                            <ENT>4,951</ENT>
                            <ENT>3,867</ENT>
                            <ENT/>
                            <ENT>47,497</ENT>
                            <ENT>41,860</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Full Life</ENT>
                            <ENT>0</ENT>
                            <ENT>26,148</ENT>
                            <ENT>79,089</ENT>
                            <ENT>64,376</ENT>
                            <ENT>−6,215</ENT>
                            <ENT>72,875</ENT>
                            <ENT>58,162</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>a</SU>
                            </E>
                             Fuel savings calculated using the AEO 2011 reference case fuel prices through 2035. Fuel prices beyond 2035 were extrapolated from an average growth rate for the years 2017 to 2035. Gasoline and diesel fuel prices have been weighted by gasoline and diesel fuel reductions estimated for all 2018 MY heavy-duty trucks during their lifetimes. These estimates assume no changes in fuel tax rates. If fuel taxes are increased to offset lost revenues, the post-tax savings will increase.
                        </TNOTE>
                        <TNOTE>
                            <E T="03">
                                <SU>b</SU>
                            </E>
                             Gallons under the control case include gallons consumed during rebound driving.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        All of these payback analyses include fuel consumed during rebound VMT in the control case but not in the reference case, consistent with other parts of the analysis. Further, this analysis does not include other societal impacts such as reduced time spent refueling or noise, congestion and accidents since the focus is meant to be on those factors buyers think about most while considering a new truck purchase. Note also that operators that drive more miles per year than the average would realize greater fuel savings than estimated here, and those that drive fewer miles per year would realize lesser savings. The same holds true for operators that keep their vehicles longer (
                        <E T="03">i.e.,</E>
                         more years) than average in that they would realize greater lifetime fuel savings than operators that keep their vehicles for fewer years than average. Likewise, should fuel prices be higher than the AEO 2011 reference case, operators will realize greater fuel savings than estimated here while they would realize lesser fuel savings were fuel prices to be lower than the AEO 2011 reference case.
                    </P>
                    <HD SOURCE="HD3">(5) Rebound Effect</HD>
                    <P>The VMT rebound effect refers to the fraction of fuel savings expected to result from an increase in fuel efficiency that is offset by additional vehicle use. If truck shipping costs decrease as a result of lower fuel costs, an increase in truck VMT may occur. Unlike the light-duty rebound effect, the heavy-duty (HD) rebound effect has not been extensively studied. Because the factors influencing the HD rebound effect are generally different from those affecting the light-duty rebound effect, much of the research on the light-duty rebound effect is not likely to apply to the HD sectors. One of the major differences between the HD rebound effect and the light-duty rebound effect is that HD vehicles are used primarily for business purposes. Since these businesses are profit driven, decision makers are highly likely to be aware of the costs and benefits of different shipping decisions, both in the near term and long term. Therefore, shippers are much more likely to take into account changes in the overall operating costs per mile when making shipping decisions that affect VMT.</P>
                    <P>
                        Another difference from the light-duty case is that, as discussed in the recent NAS Report,
                        <SU>489</SU>
                        <FTREF/>
                         when calculating the percentage change in trucking costs to determine the rebound effect, all changes in the operating costs should be considered. The cost of labor and fuel generally constitute the top two shares of truck operating costs, depending on the price of petroleum,
                        <SU>490</SU>
                        <FTREF/>
                         distance traveled, type of truck, and 
                        <PRTPAGE P="57327"/>
                        commodity.
                        <SU>491</SU>
                        <FTREF/>
                         Finally, the equipment costs associated with the purchase or lease of the truck is also a significant component of total operating costs. Even though vehicle costs are lump-sum purchases, they can be considered operating costs for trucking firms, and these costs are, in many cases, expected to be passed onto the final consumers of shipping services on a variable basis. This shipping cost increase could help temper the rebound effect relative to the case of light-duty vehicles, in which vehicle costs are not considered an operating cost by vehicle owners.
                    </P>
                    <FTNT>
                        <P>
                            <SU>489</SU>
                             
                            <E T="03">See</E>
                             NAS Report, Note 197.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>490</SU>
                             American Transportation Research Institute, 
                            <E T="03">An Analysis of the Operational Costs of Trucking,</E>
                             December 2008 (Docket ID: EPA-HQ-OAR-2010-0162-0007).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>491</SU>
                             Transport Canada, Operating Cost of Trucks, 2005. 
                            <E T="03">See http://www.tc.gc.ca/eng/policy/report-acg-operatingcost2005-2005-e-2-1727.htm,</E>
                             accessed on July 16, 2010 (Docket ID: EPA-HQ-OAR-2010-0162-0006). 
                            <E T="03">See</E>
                             also ATRI, 2008.
                        </P>
                    </FTNT>
                    <P>When calculating the net change in operating costs, both the increase in new vehicle costs and the decrease in fuel costs per mile should be taken into consideration. The higher the net cost savings, the higher the expected rebound effect. Conversely, if the upfront vehicle costs outweighed future cost savings and total costs increased, shipping costs would rise, which would likely result in a decrease in truck VMT. In theory, other changes such as maintenance costs and insurance rates would also be taken into account, although information on these potential cost changes is extremely limited. In the proposal, we invited comments on the most appropriate methodology for factoring new vehicle purchase or leasing costs into the per-mile operating costs. We also invited comment or data on how these regulations could affect maintenance, insurance, or other operating costs. We did not receive any comments on these assumptions.</P>
                    <P>The following sections describe the factors affecting the rebound effect, different methodologies for estimating the rebound effect, and examples of different estimates of the rebound effect to date. According to the NAS study, it is “not possible to provide a confident measure of the rebound effect,” yet NAS concluded that a rebound effect likely exists and that “estimates of fuel savings from regulatory standards will be somewhat misestimated if the rebound effect is not considered.” While we believe the HD rebound effect needs to be studied in more detail, we have attempted to capture the potential impact of the rebound effect in our analysis. In the proposal, we solicited data on the rebound effect and input on the most appropriate estimates to use for the rebound effect. However, we did not receive any new data or substantive comments. Therefore, for this final action, we continue to use a rebound effect for vocational vehicles of 15 percent, a rebound effect for HD pickup trucks and vans of 10 percent, and a rebound effect for combination tractors of 5 percent. These VMT impacts are reflected in the estimates of total GHG and other air pollution reductions presented in Chapter 5 of the RIA.</P>
                    <HD SOURCE="HD3">(a) Factors Affecting the Magnitude of the Rebound Effect</HD>
                    <P>The HD vehicle rebound effect is driven by the interaction of several different factors. In the short-run, decreasing the fuel cost per mile of driving could lead to a decrease in end product prices. Lower prices could stimulate additional demand for those products, which would then result in an increase in VMT. In the long run, shippers could reorganize their logistics and distribution networks to take advantage of lower truck shipping costs. For example, shippers may shift away from other modes of shipping such as rail, barge, or air. In addition, shippers may also choose to reduce the number of warehouses, reduce load rates, and make smaller, more frequent shipments, all of which could also lead to an increase in HD VMT. Finally, the benefits of the fuel savings could ripple through the economy, which could in turn increase overall demand for goods and services shipped by trucks, and therefore increase HD VMT.</P>
                    <P>Conversely, if a fuel efficiency regulation leads to net increases in the cost of trucking because fuel savings do not fully offset the increase in upfront vehicle costs, then the price of trucking services could rise, spurring a decrease in HD VMT and a shift to alternative shipping modes. These effects would also ripple through the economy.</P>
                    <HD SOURCE="HD3">(b) Options for Quantifying the Rebound Effect</HD>
                    <P>As described in the previous section, the fuel efficiency rebound effect for HD vehicles has not been studied as extensively as the rebound effect for light-duty vehicles, and virtually no research has been conducted on the HD pickup truck and van rebound effect. In the proposal, we discussed four options for quantifying the rebound effect and requested comments. We did not receive any substantive comments on the described methodologies.</P>
                    <HD SOURCE="HD3">(i) Aggregate Estimates</HD>
                    <P>
                        The aggregate approximation approach quantifies the overall change in truck VMT as a result of a percentage change in freight rates. It is important to note that most of the aggregate estimates measure the change in freight demanded (tons or ton-miles), rather than a change in fuel consumption or VMT. The change in tons or ton-miles is more accurately characterized as a freight elasticity. Therefore, it may not be entirely appropriate to interpret these freight elasticities as measures of the rebound effect, although these terms are sometimes used interchangeably in the literature.
                        <SU>492</SU>
                        <FTREF/>
                         Given these caveats, freight elasticity estimates rely on estimates of aggregate price elasticity of demand for trucking services, given a percentage change in trucking prices, which is generally referred to as an “own-price elasticity.” Estimates of trucking own-price elasticities vary widely from positive 1.72 to negative 7.92), and there is no general consensus on the most appropriate values to use, though a 2004 literature survey found aggregate elasticity estimates generally fall in the range of −0.5 to −1.5.
                        <SU>493</SU>
                        <FTREF/>
                         In other words, given an own-price elasticity of −1.5, a 10 percent decrease in trucking prices leads to a 15 percent increase in truck shipping demand.
                    </P>
                    <FTNT>
                        <P>
                            <SU>492</SU>
                             Memo from Energy and Environmental Research Associates, LLC Regarding HDV Rebound Effect, dated June 8, 2011.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>493</SU>
                             Graham and Glaister, “Road Traffic Demand Elasticity Estimates: A Review,” Transport Reviews Volume 24, 3, pp. 261-274, 2004 (Docket ID: EPA-HQ-OAR-2010-0162-0005).
                        </P>
                    </FTNT>
                    <P>
                        Another challenge of estimating the rebound effect using freight elasticities is that these values appear to vary substantially based on the demand elasticity measure (
                        <E T="03">e.g.,</E>
                         ton or ton-mile), the model specification (
                        <E T="03">e.g.,</E>
                         linear functional form or log linear), the length of the trip, and the type of cargo. In general, elasticity estimates of longer trips tend to be larger than elasticity estimates for shorter trips. In addition, elasticities tend to be larger for lower-value commodities compared to higher-value commodities. Although these factors explain some of the differences in estimates, much of the observed variation cannot be explained quantitatively. For example, a recent study that controlled for these variables only accounted for about half of the observed variation.
                        <SU>494</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>494</SU>
                             Li, Z., D.A. Hensher, and J.M. Rose, 
                            <E T="03">Identifying sources of systematic variation in direct price elasticities from revealed preference studies of inter-city freight demand.</E>
                             Transport Policy, 2011.
                        </P>
                    </FTNT>
                    <P>
                        Another important variable influencing freight elasticity estimates is whether potential mode shifting is taken into account. Although the total demand for freight transport is generally determined by economic activity, there is often the choice of shipping freight on modes other than truck. This is because the United States has extensive rail, waterway and air transport networks in addition to an extensive highway network; these networks closely parallel 
                        <PRTPAGE P="57328"/>
                        each other and are often both viable choices for freight transport for long-distance routes within the continent. If rates go down for one mode, there will be an increase in demand for that mode and some demand will be shifted from other modes. This “cross-price elasticity” is a measure of the percentage change in demand for shipping by another mode (
                        <E T="03">e.g.,</E>
                         rail) given a percentage change in the price of trucking. Aggregate estimates of cross-price elasticities also vary widely, and there is no general consensus on the most appropriate value to use for analytical purposes. The NAS report cites values ranging from 0.35 to 0.59.
                        <SU>495</SU>
                        <FTREF/>
                         Other reports provide significantly different cross-price elasticities, ranging from 0.1 
                        <SU>496</SU>
                        <FTREF/>
                         to 2.0.
                        <SU>497</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>495</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 197. 
                            <E T="03">See</E>
                             also 2009 Cambridge Systematics, Inc., Draft Final Paper commissioned by the NAS in support of the medium-duty and heavy-duty report. Assessment of Fuel Economy Technologies for Medium and Heavy-duty Vehicles: Commissioned Paper on Indirect Costs and Alternative Approaches Docket ID: EPA-HQ-OAR-2010-0162-0009).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>496</SU>
                             Friedlaender, A. and Spady, R. (1980) A derived demand function for freight transportation, Review of Economics and Statistics, 62, pp. 432-441 (Docket ID: EPA-HQ-OAR-2010-0162-0004).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>497</SU>
                             Christidis and Leduc, “Longer and Heavier Vehicles for freight transport,” European Commission Joint Research Center's Institute for Prospective Technology Studies, 2009 (Docket ID: EPA-HQ-OAR-2010-0162-0010).
                        </P>
                    </FTNT>
                    <P>When considering intermodal shift, the most relevant kinds of shipments are those that are competitive between rail and truck modes. These trips generally include long-haul shipments greater than 500 miles, which weigh between 50,000 and 80,000 pounds (the legal road limit in many states). Special kinds of cargo like coal and short-haul deliveries are of less interest because they are generally not economically transferable between truck and rail modes, and they would not be expected to shift modes except under an extreme price change. However, the total amount of freight that could potentially be subject to mode shifting has also not been studied extensively.</P>
                    <HD SOURCE="HD3">(ii) Sector-Specific Estimates</HD>
                    <P>Given the limited data available regarding the HD rebound effect, the aggregate approach greatly simplifies many of the assumptions associated with calculations of the rebound effect. In reality, however, responses to changes in fuel efficiency and new vehicle costs will vary significantly based on the commodities affected. A detailed, sector-specific approach would be expected to more accurately reflect changes in the trucking market in response to the standards in this program. For example, input-output tables could be used to determine the trucking cost share of the total delivered price of a commodity. Using the change in trucking prices described in the aggregate approach, the product-specific demand elasticities could be used to calculate the change in sales and shipments for each product. The change in shipment increases could then be weighted by the share of the trucking industry total, and then summed to get the total increase in trucking output. A simplifying assumption could then be made that the increase in output results in an increase in VMT. To the best of our knowledge, this type of data has not yet been collected. We did not receive any new information in response to our request for comments in the proposal, therefore we were unable to use this methodology for estimating the rebound effect for this final action.</P>
                    <HD SOURCE="HD3">(iii) Econometric Estimates</HD>
                    <P>
                        Similar to the methodology used to estimate the light-duty rebound effect, the HD rebound effect could be modeled econometrically by estimating truck demand as a function of economic activity (
                        <E T="03">e.g.,</E>
                         GDP) and different input prices (
                        <E T="03">e.g.,</E>
                         vehicle prices, driver wages, and fuel costs per mile). This type of econometric model could be estimated for either truck VMT or ton-miles as a measure of demand. The resulting elasticity estimates could then be used to determine the change in trucking demand, given the change in fuel cost and truck prices per mile from these standards. One of the challenges associated with an econometric analysis is the potential for omitted variable bias, which could either overstate or understate the potential rebound effect if the omitted variable is correlated with the controlled variables.
                    </P>
                    <HD SOURCE="HD3">(iv) Other Modeling Approaches</HD>
                    <P>
                        Regulation of the heavy-duty industry has been studied in more detail in Europe, as the European Commission (EC) has considered allowing longer and heavier trucks for freight transport. Part of the analysis considered by the EC relies on country-specific modeling of changes in the freight sector that would result from changes in regulations.
                        <SU>498</SU>
                        <FTREF/>
                         This approach attempts to explicitly calculate modal shift decisions and impacts on GHG emissions. Although similar types of analysis have not been conducted extensively in the United States, research is currently underway that explores the potential for intermodal shifting in the United States. For example, Winebrake and Corbett have developed the Geospatial Intermodal Freight Transportation model, which evaluates the potential for GHG emissions reductions based on mode shifting, given existing limitations of infrastructure and other route characteristics in the United States.
                        <SU>499</SU>
                        <FTREF/>
                         This model connects multiple road, rail, and waterway transportation networks and embeds activity-based calculations in the model. Within this intermodal network, the model assigns various economic, time-of-delivery, energy, and environmental attributes to real-world goods movement routes. The model can then calculate different network optimization scenarios, based on changes in prices and policies.
                        <SU>500</SU>
                        <FTREF/>
                         However, more work is needed in this area to determine whether this type of methodology is appropriate for the purposes of capturing the rebound effect. Therefore, we have not been able to use this methodology for estimating the rebound effect for this final action.
                    </P>
                    <FTNT>
                        <P>
                            <SU>498</SU>
                             Christidis and Leduc, “Longer and Heavier Vehicles for freight transport,” European Commission Joint Research Center's Institute for Prospective Technology Studies, 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>499</SU>
                             Winebrake, James and Corbett, James J. (2010). “Improving the Energy Efficiency and Environmental Performance of Goods Movement,” in Sperling, Daniel and James S. Cannon (2010) Climate and Transportation Solutions: Findings from the 2009 Asilomar Conference on Transportation and Energy Policy. 
                            <E T="03">See http://www.its.ucdavis.edu/events/2009book/Chapter13.pdf</E>
                             (Docket ID: EPA-HQ-OAR-2010-0162-0011)
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>500</SU>
                             Winebrake, J. J.; Corbett, J. J.; Falzarano, A.; Hawker, J. S.; Korfmacher, K.; Ketha, S.; Zilora, S., Assessing Energy, Environmental, and Economic Tradeoffs in Intermodal Freight Transportation, 
                            <E T="03">Journal of the Air &amp; Waste Management Association,</E>
                             58(8), 2008 (Docket ID: EPA-HQ-OAR-2010-0162-0008).
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(c) Estimates of the Rebound Effect</HD>
                    <P>
                        The aggregate methodology was used by Cambridge Systematics, Inc. (CSI) to show several examples of the magnitude of the rebound effect.
                        <SU>501</SU>
                        <FTREF/>
                         In their paper commissioned by the NAS in support of the recent HD report, CSI calculated an effective rebound effect for two different technology cost and fuel savings scenarios associated with an example Class 8 truck. Scenario 1 increased average fuel economy from 5.59 mpg to 6.8 mpg, with an additional cost of $22,930. Scenario 2 increased the average fuel economy to 9.1 mpg, at an incremental cost of $71,630 per vehicle. The CSI examples provided estimates using a range of own-price elasticities (−0.5 to −1.5) and cross-price elasticities (0.35 to 0.59) from the literature. Based on these two scenarios and a number of simplifying assumptions to aid the calculations, CSI found a rebound effect of 11-31 percent for Scenario 1 and 5-16 percent for 
                        <PRTPAGE P="57329"/>
                        Scenario 2 when the fuel savings from reduced rail usage were not taken into account (“First rebound effect”). When the fuel savings from reduced rail usage were included in the calculations, the overall rebound effect was between 9-13 percent for Scenario 1 and 3-15 percent for Scenario 2 (“Second Rebound Effect”). See Table VIII-12.
                    </P>
                    <FTNT>
                        <P>
                            <SU>501</SU>
                             Cambridge Systematics, Inc., 2009.
                        </P>
                    </FTNT>
                    <P>CSI included a number of caveats associated with these calculations. Namely, the elasticity estimates derived from the literature are “heavily reliant on factors including the type of demand measures analyzed (vehicle-miles of travel, ton-miles, or tons), analysis geography, trip lengths, markets served, and commodities transported.” Furthermore, the CSI example only focused on Class 8 combination tractors and did not attempt to quantify the potential rebound effect for any other truck classes. Finally, these scenarios were characterized as “sketches” and were not included in the final NAS report. In fact, the NAS report asserted that it is “not possible to provide a confident measure of the rebound effect,” yet concluded that a rebound effect likely exists and that “estimates of fuel savings from regulatory standards will be somewhat misestimated if the rebound effect is not considered.”</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,12,12">
                        <TTITLE>Table VIII-12—Range of Rebound Effect Estimates From Cambridge Systematics Aggregate Assessment</TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                Scenario 1 
                                <LI>(6.8 mpg, $22,930)</LI>
                            </CHED>
                            <CHED H="1">
                                Scenario 2
                                <LI>(9.1 mpg, $71,630)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">“First Rebound Effect” (increase in truck VMT resulting from decrease in operating costs)</ENT>
                            <ENT>11-31%</ENT>
                            <ENT>5-16%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">“Second Rebound Effect” (net fuel savings when decreases from rail are taken into account)</ENT>
                            <ENT>9-13%</ENT>
                            <ENT>3-15%</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        As an alternative, using the econometric approach, NHTSA has estimated the rebound effect in the short run and long run for single unit (Class 4-7) and (Class 8) combination tractors. As shown in Table VIII-13, the estimates for the long-run rebound effect are larger than the estimates in the short run, which is consistent with the theory that shippers have more flexibility to change their behavior (
                        <E T="03">e.g.,</E>
                         restructure contracts or logistics) when they are given more time. In addition, the estimates derived from the national data also showed larger rebound effects compared to the state data.
                        <SU>502</SU>
                        <FTREF/>
                         One possible explanation for the difference in the estimates is that the national rebound estimates are capturing some of the impacts of changes in economic activity. Historically, large increases in fuel prices are highly correlated with economic downturns, and there may not be enough variation in the national data to differentiate the impact of fuel price changes from changes in economic activity. In contrast, some states may see an increase in output when energy prices increase (
                        <E T="03">e.g.,</E>
                         large oil producing states such as Texas and Alaska); therefore, the state data may be more accurately isolating the individual impact of fuel price changes.
                    </P>
                    <FTNT>
                        <P>
                            <SU>502</SU>
                             NHTSA's estimates of the rebound effect are derived from econometric analysis of national and state VMT data reported in Federal Highway Administration, 
                            <E T="03">Highway Statistics,</E>
                             various editions, Tables VM-1 and VM-4. Specifically, the estimates of the rebound effect reported in Table VIII-10 are ranges of the estimated short-run and long-run elasticities of annual VMT by single-unit and combination trucks with respect to fuel cost per mile driven. (Fuel cost per mile driven during each year is equal to average fuel price per gallon during that year divided by average fuel economy of the truck fleet during that same year.) These estimates are derived from time-series regression of annual national aggregate VMT for the period 1970-2008 on measures of nationwide economic activity, including aggregate GDP, the value of durable and nondurable goods production, and the volume of U.S. exports and imports of goods, and variables affecting the price of trucking services (driver wage rates, truck purchase prices, and fuel costs), and from regression of VMT for each individual state over the period 1994-2008 on similar variables measured at the state level.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="S50,8,8,8,8">
                        <TTITLE>Table VIII-13—Range of Rebound Effect Estimates From NHTSA Econometric Analysis</TTITLE>
                        <BOXHD>
                            <CHED H="1">Truck type</CHED>
                            <CHED H="1">National data</CHED>
                            <CHED H="2">Short run</CHED>
                            <CHED H="2">Long run</CHED>
                            <CHED H="1">State data</CHED>
                            <CHED H="2">Short run</CHED>
                            <CHED H="2">Long run</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Single Unit</ENT>
                            <ENT>13-22%</ENT>
                            <ENT>28-45%</ENT>
                            <ENT>3-8%</ENT>
                            <ENT>12-21%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Combination</ENT>
                            <ENT>N/A</ENT>
                            <ENT>12-14%</ENT>
                            <ENT>N/A</ENT>
                            <ENT>4-5%</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>As discussed throughout this section, there are multiple methodologies for quantifying the rebound effect, and these different methodologies produce a large range of potential values of the rebound effect. However, for the purposes of quantifying the rebound effect for this program, we have used a rebound effect with respect to changes in fuel costs per mile on the lower range of the long-run estimates. Given the fact that the long-run state estimates are generally more consistent with the aggregate estimates, for this program we have chosen a rebound effect for vocational vehicles (single unit trucks) of 15 percent that is within the range of estimates from both methodologies. Similarly, we have chosen a rebound effect for combination tractors of 5 percent.</P>
                    <P>To date, no estimates of the HD pickup truck and van rebound effect have been cited in the literature. Since these vehicles are used for very different purposes than heavy-duty vehicles, it does not necessarily seem appropriate to apply one of the heavy-duty estimates to the HD pickup trucks and vans. These vehicles are more similar in use to large light-duty vehicles, so for the purposes of our analysis, we have chosen to apply the light-duty rebound effect of 10 percent to this class of vehicles.</P>
                    <P>For the purposes of this program, we have not taken into account any potential fuel savings or GHG emission reductions from the rail sector due to mode shifting. We requested comments on this assumption in the proposal, but we did not receive any new data or input.</P>
                    <P>
                        Furthermore, we have made a number of simplifying assumptions in our calculations, which are discussed in more detail in the RIA. Specifically, we have not attempted to capture how current market failures might impact the rebound effect. The direction and magnitude of the rebound effect in the HD market are expected to vary depending on the existence and types of market failures affecting the fuel efficiency of the trucking fleet. If firms 
                        <PRTPAGE P="57330"/>
                        are already accurately accounting for the costs and benefits of these technologies and fuel savings, then these regulations would increase their net costs, because trucks would already include all the cost-effective technologies. As a result, the rebound effect would actually be negative and truck VMT would decrease as a result of these final regulations. However, if firms are not optimizing their behavior today due to factors such as lack of reliable information (see Section VIII.A. for further discussion), it is more likely that truck VMT would increase. If firms recognize their lower net costs as a result of these regulations and pass those costs along to their customers, then the rebound effect would increase truck VMT. This response assumes that trucking rates include both truck purchase costs and fuel costs, and that the truck purchase costs included in the rates spread those costs over the full expected lifetime of the trucks. If those costs are spread over a shorter period, as the expected short payback period implies, then those purchase costs will inhibit reduction of freight rates, and the rebound effect will be smaller.
                    </P>
                    <P>As discussed in more detail in Section VIII.A, if there are market failures such as split incentives, estimating the rebound effect may depend on the nature of the failures. For example, if the original purchaser cannot fully recoup the higher upfront costs through fuel savings before selling the vehicle nor pass those costs onto the resale buyer, the firm would be expected to raise shipping rates. A firm purchasing the truck second-hand might lower shipping rates if the firm recognizes the cost savings after operating the vehicle, leading to an increase in VMT. Similarly, if there are split incentives and the vehicle buyer isn't the same entity that purchases the fuel, than there would theoretically be a positive rebound effect. In this scenario, fuel savings would lower the net costs to the fuel purchaser, which would result in a larger increase in truck VMT.</P>
                    <P>If all of these scenarios occur in the marketplace, the net effect will depend on the extent and magnitude of their relative effects, which are also likely to vary across truck classes (for instance, split incentives may be a much larger problem for Class 7 and 8 tractors than they are for HD pickup trucks). Additional details on the rebound effect are included in the RIA.</P>
                    <HD SOURCE="HD2">F. Class Shifting and Fleet Turnover Impacts</HD>
                    <P>The agencies considered two additional potential indirect costs, benefits, effects, and externalities which may lead to unintended consequences of the program to improve the fuel efficiency and reduce GHG emissions from HD trucks. The next sections cover the agencies' qualitative discussions on potential class shifting and fleet turnover effects.</P>
                    <HD SOURCE="HD3">(1) Class Shifting</HD>
                    <P>Heavy-duty vehicles are typically configured and purchased to perform a function. For example, a concrete mixer truck is purchased to transport concrete, a combination tractor is purchased to move freight with the use of a trailer, and a Class 3 pickup truck could be purchased by a landscape company to pull a trailer carrying lawnmowers. The purchaser makes decisions based on many attributes of the vehicle, including the gross vehicle weight rating of the vehicle which in part determines the amount of freight or equipment that can be carried. If the final HD National Program impacts either the performance of the vehicle or the marginal cost of the vehicle relative to the other vehicle classes, then consumers may choose to purchase a different vehicle, resulting in the unintended consequence of increased fuel consumption and GHG emissions in-use.</P>
                    <P>
                        The agencies, along with the NAS panel, found that there is little or no literature which evaluates class shifting between trucks.
                        <SU>503</SU>
                        <FTREF/>
                         NHTSA and EPA qualitatively evaluated the final rules in light of potential class shifting. The agencies looked at four potential cases of shifting:—from light-duty pickup trucks to heavy-duty pickup trucks; from sleeper cabs to day cabs; from combination tractors to vocational vehicles; and within vocational vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>503</SU>
                             
                            <E T="03">See</E>
                             2010 NAS Report, Note 197, page 152.
                        </P>
                    </FTNT>
                    <P>Light-duty pickup trucks, those with a GVWR of less than 8,500 pounds, are currently regulated under the existing CAFE program and will meet GHG emissions standards beginning in 2012. The increased stringency of the light-duty 2012-2016 MY vehicle rule has led some to speculate that vehicle consumers may choose to purchase heavy-duty pickup trucks that are currently unregulated if the cost of the light-duty regulation is high relative to the cost to buy the larger heavy-duty pickup trucks. Since fuel consumption and GHG emissions rise significantly with vehicle mass, a shift from light-duty trucks to heavy-duty trucks would likely lead to higher fuel consumption and GHG emissions, an untended consequence of the regulations. Given the significant price premium of a heavy-duty truck (often five to ten thousand dollars more than a light-duty pickup), we believe that such a class shift would be unlikely even absent this program. With these final regulations, any incentive for such a class shift is significantly diminished. The final regulations for the HD pickup trucks, and similarly for vans, are based on similar technologies and therefore reflect a similar expected increase in cost when compared to the light-duty GHG regulation. Hence, the combination of the two regulations provides little incentive for a shift from light-duty trucks to HD trucks. To the extent that our final regulation of heavy-duty pickups and vans could conceivably encourage a class shift towards lighter pickups, this unintended consequence would in fact be expected to lead to lower fuel consumption and GHG emissions as the smaller light-duty pickups are significantly more efficient than heavy-duty pickup trucks.</P>
                    <P>
                        The projected cost increases for this final action differ significantly between Class 8 day cabs and Class 8 sleeper cabs, reflecting our expectation that compliance with the final standards will lead truck consumers to specify sleeper cabs equipped with APUs while day cab consumers will not. Since Class 8 day cab and sleeper cab trucks perform essentially the same function when hauling a trailer, this raises the possibility that the higher cost for an APU equipped sleeper cab could lead to a shift from sleeper cab to day cab trucks. We do not believe that such an intended consequence will occur for the following reasons. The addition of a sleeper berth to a tractor cab is not a consumer-selectable attribute in quite the same way as other vehicle features. The sleeper cab provides a utility that long-distance trucking fleets need to conduct their operations—an on-board sleeping berth that lets a driver comply with federally-mandated rest periods, as required by the Department of Transportation Federal Motor Carrier Safety Administration's hours-of-service regulations. The cost of sleeper trucks is already higher than the cost of day cabs, yet the fleets that need this utility purchase them.
                        <SU>504</SU>
                        <FTREF/>
                         A day cab simply cannot provide this utility. The need for this utility would not be changed even if the marginal costs to reduce greenhouse gas emissions from sleeper cabs exceed the marginal costs to reduce greenhouse gas emissions from day 
                        <PRTPAGE P="57331"/>
                        cabs.
                        <SU>505</SU>
                        <FTREF/>
                         A trucking fleet could decide to put its drivers in hotels in lieu of using sleeper berths, and switch to day cabs. However, this is unlikely to occur in any great number, since the added cost for the hotel stays would far overwhelm differences in the marginal cost between day and sleeper cabs. Even if some fleets do opt to buy hotel rooms and switch to day cabs, they would be highly unlikely to purchase a day cab that was aerodynamically worse than the sleeper cab they replaced, since the need for features optimized for long-distance hauling would not have changed. So in practice, there would likely be little difference to the environment for any switching that might occur. Further, while our projected costs assume the purchase of an APU for compliance, in fact our regulatory structure would allow compliance using a near zero cost software utility that eliminates tractor idling after five minutes. Using this compliance approach, the cost difference between a Class 8 sleeper cab and day cab due to our final regulations is small. We are providing this alternative compliance approach reflecting that some sleeper cabs are used in team driving situations where one driver sleeps while the other drives. In that situation, an APU is unnecessary since the tractor is continually being driven when occupied. When it is parked, it will automatically eliminate any additional idling through the shutdown software. If trucking companies choose this option, then costs based on purchase of APUs may overestimate the costs of this program to this sector.
                    </P>
                    <FTNT>
                        <P>
                            <SU>504</SU>
                             A baseline tractor price of a new day cab is $89,500 versus $113,000 for a new sleeper cab based on information gathered by ICF in the “Investigation of Costs for Strategies to Reduce Greenhouse Gas Emissions for Heavy-Duty On-Road Vehicles”, July 2010. Page 3. Docket Identification Number EPA-HQ-OAR-2010-0162-0044.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>505</SU>
                             The average marginal cost difference between sleeper cabs and day cabs in the proposal is nearly $6,000.
                        </P>
                    </FTNT>
                    <P>Class shifting from combination tractors to vocational vehicles may occur if a customer deems the additional marginal cost of tractors due to the regulation to be greater than the utility provided by the tractor. The agencies initially considered this issue when deciding whether to include Class 7 tractors with the Class 8 tractors or regulate them as vocational vehicles. The agencies' evaluation of the combined vehicle weight rating of the Class 7 shows that if these vehicles were treated significantly differently from the Class 8 tractors, then they could be easily substituted for Class 8 tractors. Therefore, the agencies are finalizing to include both classes in the tractor category. The agencies believe that a shift from tractors to vocational vehicles would be limited because of the ability of tractors to pick up and drop off trailers at locations which cannot be done by vocational vehicles.</P>
                    <P>
                        The agencies do not envision that the final regulatory program will cause class shifting within the vocational class. The marginal cost difference due to the regulation of vocational vehicles is minimal. The cost of LRR tires on a per tire basis is the same for all vocational vehicles so the only difference in marginal cost of the vehicles is due to the number of axles. The agencies believe that the utility gained from the additional load carrying capability of the additional axle will outweigh the additional cost for heavier vehicles.
                        <SU>506</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>506</SU>
                             The final rule projects the difference in costs between the HHD and MHD vocational vehicle technologies is approximately $30.
                        </P>
                    </FTNT>
                    <P>In conclusion, NHTSA and EPA believe that the final regulatory structure for HD trucks does not significantly change the current competitive and market factors that determine purchaser preferences among truck types. Furthermore, even if a small amount of shifting does occur, any resulting GHG impacts are likely to be negligible because any vehicle class that sees an uptick in sales is also being regulated for fuel efficiency. Therefore, the agencies did not include an impact of class shifting on the vehicle populations used to assess the benefits of the program.</P>
                    <HD SOURCE="HD3">(2) Fleet Turnover Effect</HD>
                    <P>A regulation that increases the cost to purchase and/or operate trucks could impact whether a consumer decides to purchase a new truck and the timing of that purchase. The term pre-buy refers to the idea that truck purchases may occur earlier than otherwise planned to avoid the additional costs associated with a new regulatory requirement. Slower fleet turnover, or low-buys, may occur when owners opt to keep their existing truck rather than purchase a new truck due to the incremental cost of the regulation.</P>
                    <P>
                        The NAS panel discusses the topics associated with HD truck fleet turnover. NAS noted that there is some empirical evidence of pre-buy behavior in response to the 2004 and 2007 heavy-duty engine emission standards, with larger impacts occurring in response to higher costs.
                        <SU>507</SU>
                        <FTREF/>
                         However, those regulations increased upfront costs to firms without any offsetting future cost savings from reduced fuel purchases. In summary, NAS stated that
                    </P>
                    <FTNT>
                        <P>
                            <SU>507</SU>
                             
                            <E T="03">See</E>
                             NAS Report, Note 197, pp. 150-151
                        </P>
                    </FTNT>
                    <EXTRACT>
                        <P>
                            * * * during periods of stable or growing demand in the freight sector, pre-buy behavior may have significant impact on purchase patterns, especially for larger fleets with better access to capital and financing. Under these same conditions, smaller operators may simply elect to keep their current equipment on the road longer, all the more likely given continued improvements in diesel engine durability over time. On the other hand, to the extent that fuel economy improvements can offset incremental purchase costs, these impacts will be lessened. Nevertheless, when it comes to efficiency investments, most heavy-duty fleet operators require relatively quick payback periods, on the order of two to three years.
                            <SU>508</SU>
                            <FTREF/>
                              
                        </P>
                    </EXTRACT>
                    <FTNT>
                        <P>
                            <SU>508</SU>
                             
                            <E T="03">See</E>
                             NAS Report, Note 197, page 151.
                        </P>
                    </FTNT>
                    <P>The final regulations are projected to return fuel savings to the truck owners that offset the cost of the regulation within a few years for vocational vehicles and Class 7 and 8 tractors, the categories where the potential for prebuy and delayed fleet turnover are concerns. In the case of vocational vehicles, the added cost is small enough that it is unlikely to have a substantial effect on purchasing behavior. In the case of Class 7 and 8 trucks, the effects of the regulation on purchasing behavior will depend on the nature of the market failures and the extent to which firms consider the projected future fuel savings in their purchasing decisions.</P>
                    <P>If trucking firms account for the rapid payback, they are unlikely to strategically accelerate or delay their purchase plans at additional cost in capital to avoid a regulation that will lower their overall operating costs. As discussed in Section VIII.A, this scenario may occur if this final program reduces uncertainty about fuel-saving technologies. More reliable information about ways to reduce fuel consumption allows truck purchasers to evaluate better the benefits and costs of additional fuel savings, primarily in the original vehicle market, but possibly in the resale market as well.</P>
                    <P>
                        Other market failures may leave open the possibility of some pre-buy or delayed purchasing behavior. Firms may not consider the full value of the future fuel savings for several reasons. For instance, truck purchasers may not want to invest in fuel efficiency because of uncertainty about fuel prices. Another explanation is that the resale market may not fully recognize the value of fuel savings, due to lack of trust of new technologies or changes in the uses of the vehicles. Lack of coordination (also called split incentives—see Section VIII.A) between truck purchasers (who emphasize the up-front costs of the trucks) and truck operators, who would like the fuel savings, can also lead to pre-buy or delayed purchasing behavior. If these market failures prevent firms from fully internalizing fuel savings when 
                        <PRTPAGE P="57332"/>
                        deciding on vehicle purchases, then pre-buy and delayed purchase could occur and could result in a slight decrease in the GHG benefits of the regulation.
                    </P>
                    <P>Thus, whether pre-buy or delayed purchase is likely to play a significant role in the truck market depends on the specific behaviors of purchasers in that market. Without additional information about which scenario is more likely to be prevalent, the Agencies are not projecting a change in fleet turnover characteristics due to this regulation.</P>
                    <HD SOURCE="HD2">
                        G. Benefits of Reducing CO
                        <E T="52">2</E>
                         Emissions
                    </HD>
                    <HD SOURCE="HD3">(1) Social Cost of Carbon</HD>
                    <P>
                        EPA has assigned a dollar value to reductions in CO
                        <E T="52">2</E>
                         emissions using recent estimates of the social cost of carbon (SCC). The SCC is an estimate of the monetized damages associated with an incremental increase in carbon emissions in a given year. It is intended to include (but is not limited to) changes in net agricultural productivity, human health, property damages from increased flood risk, and the value of ecosystem services due to climate change. The SCC estimates used in this analysis were developed through an interagency process that included EPA, DOT/NHTSA, and other executive branch entities, and concluded in February 2010. We first used these SCC estimates in the benefits analysis for the light-duty 2012-2016 MY vehicle rule; see that rule's preamble for a discussion of application of the SCC.
                        <SU>509</SU>
                        <FTREF/>
                         The SCC Technical Support Document (SCC TSD) provides a complete discussion of the methods used to develop these SCC estimates.
                        <SU>510</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>509</SU>
                             
                            <E T="03">See</E>
                             2010 Light-Duty Final Rule, Note 5, docket ID EPA-HQ-OAR-2009-0472-11424.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>510</SU>
                             Docket ID EPA-HQ-OAR-2009-0472-114577, 
                            <E T="03">Technical Support Document: Social Cost of Carbon for Regulatory Impact Analysis Under Executive Order 12866, Interagency Working Group on Social Cost of Carbon,</E>
                             with participation by Council of Economic Advisers, Council on Environmental Quality, Department of Agriculture, Department of Commerce, Department of Energy, Department of Transportation, Environmental Protection Agency, National Economic Council, Office of Energy and Climate Change, Office of Management and Budget, Office of Science and Technology Policy, and Department of Treasury (February 2010). Also available at 
                            <E T="03">http://epa.gov/otaq/climate/regulations.htm</E>
                            .
                        </P>
                    </FTNT>
                    <P>
                        The interagency group selected four SCC values for use in regulatory analyses, which we have applied in this analysis: $5, $22, $36, and $67 per metric ton of CO
                        <E T="52">2</E>
                         emissions in 2010, in 2009 dollars.
                        <E T="51">511 512</E>
                        <FTREF/>
                         The first three values are based on the average SCC from three integrated assessment models, at discount rates of 5, 3, and 2.5 percent, respectively. SCCs at several discount rates are included because the literature shows that the SCC is quite sensitive to assumptions about the discount rate, and because no consensus exists on the appropriate rate to use in an intergenerational context. The fourth value is the 95th percentile of the SCC from all three models at a 3 percent discount rate. It is included to represent higher-than-expected impacts from temperature change further out in the tails of the SCC distribution. Low probability, high impact events are incorporated into all of the SCC values through explicit consideration of their effects in two of the three models as well as the use of a probability density function for equilibrium climate sensitivity. Treating climate sensitivity probabilistically results in more high temperature outcomes, which in turn lead to higher projections of damages.
                    </P>
                    <FTNT>
                        <P>
                            <SU>511</SU>
                             The interagency group decided that these estimates apply only to CO
                            <E T="52">2</E>
                             emissions. Given that warming profiles and impacts other than temperature change (
                            <E T="03">e.g.,</E>
                             ocean acidification) vary across GHGs, the group concluded “transforming gases into CO
                            <E T="52">2</E>
                            -equivalents using GWP, and then multiplying the carbon-equivalents by the SCC, would not result in accurate estimates of the social costs of non-CO
                            <E T="52">2</E>
                             gases” (SCC TSD, pg 13).
                        </P>
                        <P>
                            <SU>512</SU>
                             The SCC estimates were converted from 2007 dollars to 2008 dollars using a GDP price deflator (1.021) and again to 2009 dollars using a GDP price deflator (1.009) obtained from the Bureau of Economic Analysis, National Income and Product Accounts Table 1.1.4, 
                            <E T="03">Prices Indexes for Gross Domestic Product.</E>
                        </P>
                    </FTNT>
                    <P>The SCC increases over time because future emissions are expected to produce larger incremental damages as physical and economic systems become more stressed in response to greater climatic change. Note that the interagency group estimated the growth rate of the SCC directly using the three integrated assessment models rather than assuming a constant annual growth rate. This helps to ensure that the estimates are internally consistent with other modeling assumptions. Table VIII-14 presents the SCC estimates used in this analysis.</P>
                    <P>
                        When attempting to assess the incremental economic impacts of carbon dioxide emissions, the analyst faces a number of serious challenges. A recent report from the National Academies of Science points out that any assessment will suffer from uncertainty, speculation, and lack of information about (1) future emissions of greenhouse gases, (2) the effects of past and future emissions on the climate system, (3) the impact of changes in climate on the physical and biological environment, and (4) the translation of these environmental impacts into economic damages.
                        <SU>513</SU>
                        <FTREF/>
                         As a result, any effort to quantify and monetize the harms associated with climate change will raise serious questions of science, economics, and ethics and should be viewed as provisional.
                    </P>
                    <FTNT>
                        <P>
                            <SU>513</SU>
                             National Research Council (2009). 
                            <E T="03">Hidden Costs of Energy: Unpriced Consequences of Energy Production and Use.</E>
                             National Academies Press. 
                            <E T="03">See</E>
                             docket ID EPA-HQ-OAR-2009-0472-11486.
                        </P>
                    </FTNT>
                    <P>The interagency group noted a number of limitations to the SCC analysis, including the incomplete way in which the integrated assessment models capture catastrophic and non-catastrophic impacts, their incomplete treatment of adaptation and technological change, uncertainty in the extrapolation of damages to high temperatures, and assumptions regarding risk aversion. The limited amount of research linking climate impacts to economic damages makes the interagency modeling exercise even more difficult. The interagency group hopes that over time researchers and modelers will work to fill these gaps and that the SCC estimates used for regulatory analysis by the Federal government will continue to evolve with improvements in modeling. Additional details on these limitations are discussed in the SCC TSD.</P>
                    <P>We received several comments regarding the SCC estimates used to analyze the proposed standards. In particular, these commenters discussed the incomplete treatment of impacts as well as discount rate selection. EPA has reviewed these comments in detail and responded to them in the EPA Response to Comments Document for the Joint Rulemaking. As noted in that document, the U.S. government intends to revise these estimates, taking into account new research findings that were not included in the first round, and has set a preliminary goal of revisiting the SCC values in the next few years or at such time as substantially updated models become available, and to continue to support research in this area. The EPA Response to Comments Document for the Joint Rulemaking discusses ongoing research in greater detail.</P>
                    <P>
                        Applying the global SCC estimates, shown in Table VIII-14, to the estimated domestic reductions in CO
                        <E T="52">2</E>
                         emissions under this final program, we estimate the dollar value of the climate related benefits for each analysis year. For internal consistency, the annual benefits are discounted back to net present value terms using the same discount rate as each SCC estimate (
                        <E T="03">i.e.,</E>
                         5%, 3%, and 2.5%) rather than 3% and 7%.
                        <SU>514</SU>
                        <FTREF/>
                         These estimates are provided in Table VIII-15.
                    </P>
                    <FTNT>
                        <P>
                            <SU>514</SU>
                             It is possible that other benefits or costs of final regulations unrelated to CO
                            <E T="52">2</E>
                             emissions will be discounted at rates that differ from those used to develop the SCC estimates.
                        </P>
                    </FTNT>
                    <PRTPAGE P="57333"/>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,10,10,10,10">
                        <TTITLE>
                            Table VIII-14—Social Cost of CO
                            <E T="52">2</E>
                            , 2012—2050 
                            <E T="51">a</E>
                        </TTITLE>
                        <TDESC>[in 2009 dollars per metric ton]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Discount rate and statistic</CHED>
                            <CHED H="2">
                                5% 
                                <LI>Average</LI>
                            </CHED>
                            <CHED H="2">
                                3% 
                                <LI>Average</LI>
                            </CHED>
                            <CHED H="2">
                                2.5% 
                                <LI>Average</LI>
                            </CHED>
                            <CHED H="2">
                                3%
                                <LI>95th </LI>
                                <LI>percentile</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2012</ENT>
                            <ENT>$5.28</ENT>
                            <ENT>$23.06</ENT>
                            <ENT>$37.53</ENT>
                            <ENT>$70.14</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>5.93</ENT>
                            <ENT>24.58</ENT>
                            <ENT>39.57</ENT>
                            <ENT>75.03</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>7.01</ENT>
                            <ENT>27.10</ENT>
                            <ENT>42.98</ENT>
                            <ENT>83.17</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2025</ENT>
                            <ENT>8.53</ENT>
                            <ENT>30.43</ENT>
                            <ENT>47.28</ENT>
                            <ENT>93.11</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>10.05</ENT>
                            <ENT>33.75</ENT>
                            <ENT>51.58</ENT>
                            <ENT>103.06</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2035</ENT>
                            <ENT>11.57</ENT>
                            <ENT>37.08</ENT>
                            <ENT>55.88</ENT>
                            <ENT>113.00</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>13.09</ENT>
                            <ENT>40.40</ENT>
                            <ENT>60.19</ENT>
                            <ENT>122.95</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2045</ENT>
                            <ENT>14.63</ENT>
                            <ENT>43.34</ENT>
                            <ENT>63.59</ENT>
                            <ENT>131.66</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>16.18</ENT>
                            <ENT>46.27</ENT>
                            <ENT>66.99</ENT>
                            <ENT>140.37</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             The SCC values are dollar-year and emissions-year specific.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,10,10,10,10,10">
                        <TTITLE>
                            Table VIII-15—Monetized CO
                            <E T="52">2</E>
                             Benefits of Vehicle Program, CO
                            <E T="52">2</E>
                             Emissions 
                            <E T="51">a</E>
                        </TTITLE>
                        <TDESC>[Millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">
                                CO
                                <E T="52">2</E>
                                 Emissions reduction (MMT)
                            </CHED>
                            <CHED H="1">Benefits</CHED>
                            <CHED H="2">
                                Avg SCC at 5% ($5−$16) 
                                <E T="51">a</E>
                            </CHED>
                            <CHED H="2">
                                Avg SCC at 3% ($23−$46) 
                                <E T="51">a</E>
                            </CHED>
                            <CHED H="2">
                                Avg SCC at 2.5% ($38−$67) 
                                <E T="51">a</E>
                            </CHED>
                            <CHED H="2">
                                95th percentile SCC at 3% ($70−$140) 
                                <E T="51">a</E>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>37.7</ENT>
                            <ENT>$264</ENT>
                            <ENT>$1,021</ENT>
                            <ENT>$1,619</ENT>
                            <ENT>$3,133</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>73.1</ENT>
                            <ENT>734</ENT>
                            <ENT>2,467</ENT>
                            <ENT>3,770</ENT>
                            <ENT>7,532</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>90.3</ENT>
                            <ENT>1,182</ENT>
                            <ENT>3,650</ENT>
                            <ENT>5,437</ENT>
                            <ENT>11,108</ENT>
                        </ROW>
                        <ROW RUL="n,s">
                            <ENT I="01">2050</ENT>
                            <ENT>103.9</ENT>
                            <ENT>1,682</ENT>
                            <ENT>4,810</ENT>
                            <ENT>6,963</ENT>
                            <ENT>14,590</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Net Present Value
                                <E T="51">b</E>
                            </ENT>
                            <ENT/>
                            <ENT>9,045</ENT>
                            <ENT>46,070</ENT>
                            <ENT>78,037</ENT>
                            <ENT>140,432</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Except for the last row (net present value), the SCC values are dollar-year and emissions-year specific.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently from other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD2">H. Non-GHG Health and Environmental Impacts</HD>
                    <P>
                        This section presents EPA's analysis of the non-GHG health and environmental impacts that can be expected to occur as a result of the HD National Program. GHG emissions are predominantly the byproduct of fossil fuel combustion processes that also produce criteria and hazardous air pollutants. The vehicles that are subject to the standards are also significant sources of mobile source air pollution such as direct PM, NO
                        <E T="52">X</E>
                        , VOCs and air toxics. The standards will affect exhaust emissions of these pollutants from vehicles. They will also affect emissions from upstream sources related to changes in fuel consumption. Changes in ambient ozone, PM
                        <E T="52">2.5</E>
                        , and air toxics that will result from the standards are expected to affect human health in the form of premature deaths and other serious human health effects, as well as other important public health and welfare effects.
                    </P>
                    <P>As many commenters noted, it is important to quantify the health and environmental impacts associated with the final rules because a failure to adequately consider these ancillary co-pollutant impacts could lead to an incorrect assessment of their net costs and benefits. Moreover, co-pollutant impacts tend to accrue in the near term, while any effects from reduced climate change mostly accrue over a time frame of several decades or longer.</P>
                    <P>
                        This section is organized as follows: the first presents the PM- and ozone-related health and environmental impacts associated with the final program in calendar year (CY) 2030; the second discusses the related co-benefits associated with the model year (MY) analysis of the program.
                        <SU>515</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>515</SU>
                             EPA typically analyzes rule impacts (emissions, air quality, costs and benefits) in the year in which they occur; for this analysis, we selected 2030 as a representative future year. We refer to this analysis as the “Calendar Year” (CY) analysis. EPA also conducted a separate analysis of the impacts over the model year lifetimes of the 2012 through 2016 model year vehicles. We refer to this analysis as the “Model Year” (MY) analysis. In contrast to the CY analysis, the MY lifetime analysis shows the lifetime impacts of the program on each of these MY fleets over the course of its lifetime.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(1) Quantified and Monetized Non-GHG Human Health Benefits of the 2030 Calendar Year Analysis</HD>
                    <P>
                        This analysis reflects the impact of the HD National Program in 2030 compared to a future-year reference scenario without the program in place.
                        <SU>516</SU>
                        <FTREF/>
                         Overall, we estimate that the final rules will lead to a net decrease in PM
                        <E T="52">2.5</E>
                        -related health impacts. See Section VII.D of this preamble for more 
                        <PRTPAGE P="57334"/>
                        information about the air quality modeling results. While the PM-related air quality impacts are relatively small, the decrease in population-weighted national average PM
                        <E T="52">2.5</E>
                         exposure results in a net decrease in adverse PM-related human health impacts (the decrease in national population-weighted annual average PM
                        <E T="52">2.5</E>
                         is 0.005 μg/m
                        <SU>3</SU>
                        ).
                    </P>
                    <FTNT>
                        <P>
                            <SU>516</SU>
                             The future-year reference scenario to which the program impacts are compared in this section assumes no future gains in mpg (a “flat” scenario). For the final rulemaking, the agencies have also conducted a sensitivity analysis relative to the baseline assumptions. The alternative baseline assumes annual mpg projections, in the absence of the program, which were developed by the U.S. Energy Information Administration (EIA) for the Annual Energy Outlook (AEO). A description of the alternative baseline can be found in RIA Chapter 6. Due to time and resource constraints, EPA was unable to conduct full-scale photochemical air quality modeling to reflect the final rule impacts relative to this alternative baseline.
                        </P>
                    </FTNT>
                    <P>The air quality modeling also projects decreases in ozone concentrations in many areas. While the ozone-related impacts are relatively small, the decrease in population-weighted national average ozone exposure results in a net decrease in ozone-related health impacts (population-weighted maximum 8-hour average ozone decreases by 0.164 ppb).</P>
                    <P>
                        We base our analysis of the program's impact on human health in 2030 on peer-reviewed studies of air quality and human health effects.
                        <E T="51">517 518</E>
                        <FTREF/>
                         These methods are described in more detail in the RIA that accompanies this action. Our benefits methods are also consistent with recent rulemaking analyses such as the final Transport Rule,
                        <SU>519</SU>
                        <FTREF/>
                         the light-duty 2012-2016 MY vehicle rule,
                        <SU>520</SU>
                        <FTREF/>
                         and the final Portland Cement National Emissions Standards for Hazardous Air Pollutants (NESHAP) RIA.
                        <SU>521</SU>
                        <FTREF/>
                         To model the ozone and PM air quality impacts of this final action, we used the Community Multiscale Air Quality (CMAQ) model (see Chapter 8.2.2 of the RIA that accompanies this preamble). The modeled ambient air quality data serves as an input to the Environmental Benefits Mapping and Analysis Program version 4.0 (BenMAP).
                        <SU>522</SU>
                        <FTREF/>
                         BenMAP is a computer program developed by the U.S. EPA that integrates a number of the modeling elements used in previous analyses (
                        <E T="03">e.g.,</E>
                         interpolation functions, population projections, health impact functions, valuation functions, analysis and pooling methods) to translate modeled air concentration estimates into health effects incidence estimates and monetized benefits estimates.
                    </P>
                    <FTNT>
                        <P>
                            <SU>517</SU>
                             U.S. Environmental Protection Agency. (2006). 
                            <E T="03">Final Regulatory Impact Analysis (RIA) for the Proposed National Ambient Air Quality Standards for Particulate Matter.</E>
                             Prepared by: Office of Air and Radiation. Retrieved March 26, 2009 at 
                            <E T="03">http://www.epa.gov/ttn/ecas/ria.html</E>
                        </P>
                        <P>
                            <SU>518</SU>
                             U.S. Environmental Protection Agency. (2008). 
                            <E T="03">Final Ozone NAAQS Regulatory Impact Analysis.</E>
                             Prepared by: Office of Air and Radiation, Office of Air Quality Planning and Standards. Retrieved March 26, 2009 at 
                            <E T="03">http://www.epa.gov/ttn/ecas/ria.html.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>519</SU>
                             Final Federal Implementation Plans to Reduce Interstate Transport of Fine Particulate Matter and Ozone. Signed July 6, 2011. Available at 
                            <E T="03">http://epa.gov/airtransport/.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>520</SU>
                             U.S. Environmental Protection Agency. (2010). Regulatory Impact Analysis: Final Rulemaking to Establish Light-Duty Vehicle Greenhouse Gas Emission Standards and Corporate Average Fuel Economy Standards, EPA-420-R-10-009, April 2010. Available on the Internet: 
                            <E T="03">http://www.epa.gov/otaq/climate/regulations/420r10009.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>521</SU>
                             U.S. Environmental Protection Agency (U.S. EPA). 2010. Regulatory Impact Analysis: National Emission Standards for Hazardous Air Pollutants from the Portland Cement Manufacturing Industry. Office of Air Quality Planning and Standards, Research Triangle Park, NC. Augues. Available on the Internet at 
                            <E T="03">http://www.epa.gov/ttn/ecas/regdata/RIAs/portlandcementfinalria.pdf.</E>
                             EPA-HQ-OAR-2009-0472-0241.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>522</SU>
                             Information on BenMAP, including downloads of the software, can be found at 
                            <E T="03">http://www.epa.gov/ttn/ecas/benmodels.html.</E>
                        </P>
                    </FTNT>
                    <P>The range of total monetized ozone- and PM-related health impacts is presented in Table VIII-16. We present total benefits based on the PM- and ozone-related premature mortality function used. The benefits ranges therefore reflect the addition of each estimate of ozone-related premature mortality (each with its own row in Table VIII-16) to estimates of PM-related premature mortality. These estimates represent EPA's preferred approach to characterizing a best estimate of benefits. As is the nature of Regulatory Impact Analyses (RIAs), the assumptions and methods used to estimate air quality benefits evolve to reflect the agency's most current interpretation of the scientific and economic literature.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,r75,r75,r75">
                        <TTITLE>
                            Table VIII-16—Estimated 2030 Monetized PM- and Ozone-Related Health Benefits 
                            <E T="51">a</E>
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">
                                2030 Total ozone and PM benefits—PM mortality derived from American Cancer Society analysis and Six-Cities Analysis 
                                <E T="51">a</E>
                            </CHED>
                            <CHED H="2">Premature ozone mortality function</CHED>
                            <CHED H="2">Reference</CHED>
                            <CHED H="2">
                                Total benefits (billions, 2009$, 3% discount rate) 
                                <E T="51">b,c</E>
                            </CHED>
                            <CHED H="2">
                                Total Benefits (billions, 2009$, 7% discount rate) 
                                <E T="51">b,c</E>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Multi-city analyses</ENT>
                            <ENT>
                                Bell 
                                <E T="03">et al.,</E>
                                 2004
                            </ENT>
                            <ENT>
                                Total: $1.3-$2.4
                                <LI>PM: $0.74-$1.8</LI>
                                <LI>Ozone: $0.55.</LI>
                            </ENT>
                            <ENT>
                                Total: $1.2-$2.2.
                                <LI>PM: $0.67-$1.6.</LI>
                                <LI>Ozone: $0.55.</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                Huang 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>
                                Total: $1.6-$2.7
                                <LI>PM: $0.74-$1.8</LI>
                                <LI>Ozone: $0.91.</LI>
                            </ENT>
                            <ENT>
                                Total: $1.6-$2.5.
                                <LI>PM: $0.67-$1.6</LI>
                                <LI>Ozone: $0.91.</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Schwartz, 2005</ENT>
                            <ENT>
                                Total: $1.6-$2.6
                                <LI>PM: $0.74-$1.8</LI>
                                <LI>Ozone: $0.83.</LI>
                            </ENT>
                            <ENT>
                                Total: $1.5-$2.5.
                                <LI>PM: $0.67-$1.6.</LI>
                                <LI>Ozone: $0.83.</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Meta-analyses</ENT>
                            <ENT>
                                Bell 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>
                                Total: $2.4-$3.5
                                <LI>PM: $0.74-$1.8</LI>
                                <LI>Ozone: $1.7.</LI>
                            </ENT>
                            <ENT>
                                Total: $2.4-$3.3.
                                <LI>PM: $0.67-$1.6.</LI>
                                <LI>Ozone: $1.7.</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                Ito 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>
                                Total: $3.1-$4.2
                                <LI>PM: $0.74-$1.8</LI>
                                <LI>Ozone: $2.4.</LI>
                            </ENT>
                            <ENT>
                                Total: $3.0-$4.0.
                                <LI>PM: $0.67-$1.6.</LI>
                                <LI>Ozone: $2.4.</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                Levy 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>
                                Total: $3.1-$4.2
                                <LI>PM: $0.74-$1.8</LI>
                                <LI>Ozone: $2.4.</LI>
                            </ENT>
                            <ENT>
                                Total: $3.1-$4.0.
                                <LI>PM: $0.67-$1.6.</LI>
                                <LI>Ozone: $2.4.</LI>
                            </ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Total includes premature mortality-related and morbidity-related ozone and PM
                            <E T="52">2.5</E>
                             benefits. Range was developed by adding the estimate from the ozone premature mortality function to the estimate of PM
                            <E T="52">2.5</E>
                            -related premature mortality derived from either the ACS study (Pope 
                            <E T="03">et al.,</E>
                             2002) or the Six-Cities study (Laden 
                            <E T="03">et al.,</E>
                             2006).
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Note that total benefits presented here do not include a number of unquantified benefits categories. A detailed listing of unquantified health and welfare effects is provided in Table VIII-17.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Results reflect the use of both a 3 and 7 percent discount rate, as recommended by EPA's Guidelines for Preparing Economic Analyses and OMB Circular A-4. Results are rounded to two significant digits for ease of presentation and computation.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57335"/>
                    <P>
                        The benefits in Table VIII-16 include all of the human health impacts we are able to quantify and monetize at this time. However, the full complement of human health and welfare effects associated with PM and ozone remain unquantified because of current limitations in methods or available data. We have not quantified a number of known or suspected health effects linked with ozone and PM for which appropriate health impact functions are not available or which do not provide easily interpretable outcomes (
                        <E T="03">e.g.,</E>
                         changes in heart rate variability). Additionally, we are unable to quantify a number of known welfare effects, including reduced acid and particulate deposition damage to cultural monuments and other materials, and environmental benefits due to reductions of impacts of eutrophication in coastal areas. These are listed in Table VIII-17. As a result, the health benefits quantified in this section are likely underestimates of the total benefits attributable to this final action.
                    </P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s60,r120">
                        <TTITLE>Table VIII-17—Unquantified and Non-Monetized Potential Effects</TTITLE>
                        <BOXHD>
                            <CHED H="1">Pollutant/effects</CHED>
                            <CHED H="1">Effects not included in analysis—Changes in:</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Ozone Health 
                                <SU>a</SU>
                            </ENT>
                            <ENT>
                                Chronic respiratory damage 
                                <SU>b</SU>
                                .
                                <LI>
                                    Premature aging of the lungs 
                                    <SU>b</SU>
                                    .
                                </LI>
                                <LI>Non-asthma respiratory emergency room visits.</LI>
                                <LI>
                                    Exposure to UVb (+/-) 
                                    <SU>e</SU>
                                    .
                                </LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Ozone Welfare</ENT>
                            <ENT>
                                Yields for:
                                <LI>—commercial forests.</LI>
                                <LI>—some fruits and vegetables.</LI>
                                <LI>—non-commercial crops.</LI>
                                <LI>Damage to urban ornamental plants.</LI>
                                <LI>Impacts on recreational demand from damaged forest aesthetics.</LI>
                                <LI>Ecosystem functions.</LI>
                                <LI>
                                    Exposure to UVb (+/-) 
                                    <SU>e</SU>
                                    .
                                </LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                PM Health 
                                <SU>c</SU>
                            </ENT>
                            <ENT>
                                Premature mortality—short term exposures.
                                <SU>d</SU>
                                <LI>Low birth weight.</LI>
                                <LI>Pulmonary function.</LI>
                                <LI>Chronic respiratory diseases other than chronic bronchitis.</LI>
                                <LI>Non-asthma respiratory emergency room visits.</LI>
                                <LI>
                                    Exposure to UVb (+/-) 
                                    <SU>e</SU>
                                    .
                                </LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">PM Welfare</ENT>
                            <ENT>
                                Residential and recreational visibility in non-Class I areas.
                                <LI>Soiling and materials damage.</LI>
                                <LI>Damage to ecosystem functions.</LI>
                                <LI>
                                    Exposure to UVb (+/-) 
                                    <SU>e</SU>
                                    .
                                </LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Nitrogen and Sulfate Deposition Welfare</ENT>
                            <ENT>
                                Commercial forests due to acidic sulfate and nitrate deposition.
                                <LI>Commercial freshwater fishing due to acidic deposition.</LI>
                                <LI>Recreation in terrestrial ecosystems due to acidic deposition.</LI>
                                <LI>Existence values for currently healthy ecosystems.</LI>
                                <LI>Commercial fishing, agriculture, and forests due to nitrogen deposition.</LI>
                                <LI>Recreation in estuarine ecosystems due to nitrogen deposition.</LI>
                                <LI>Ecosystem functions.</LI>
                                <LI>Passive fertilization.</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">CO Health</ENT>
                            <ENT>Behavioral effects.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                HC/Toxics Health 
                                <SU>f</SU>
                            </ENT>
                            <ENT>
                                Cancer (benzene, 1,3-butadiene, formaldehyde, acetaldehyde).
                                <LI>Anemia (benzene).</LI>
                                <LI>Disruption of production of blood components (benzene).</LI>
                                <LI>Reduction in the number of blood platelets (benzene).</LI>
                                <LI>Excessive bone marrow formation (benzene).</LI>
                                <LI>Depression of lymphocyte counts (benzene).</LI>
                                <LI>Reproductive and developmental effects (1,3-butadiene).</LI>
                                <LI>Irritation of eyes and mucus membranes (formaldehyde).</LI>
                                <LI>Respiratory irritation (formaldehyde).</LI>
                                <LI>Asthma attacks in asthmatics (formaldehyde).</LI>
                                <LI>Asthma-like symptoms in non-asthmatics (formaldehyde).</LI>
                                <LI>Irritation of the eyes, skin, and respiratory tract (acetaldehyde).</LI>
                                <LI>Upper respiratory tract irritation and congestion (acrolein).</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HC/Toxics Welfare</ENT>
                            <ENT>
                                Direct toxic effects to animals.
                                <LI>Bioaccumulation in the food chain.</LI>
                                <LI>Damage to ecosystem function.</LI>
                                <LI>Odor.</LI>
                            </ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             The public health impact of biological responses such as increased airway responsiveness to stimuli, inflammation in the lung, acute inflammation and respiratory cell damage, and increased susceptibility to respiratory infection are likely partially represented by our quantified endpoints.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             The public health impact of effects such as chronic respiratory damage and premature aging of the lungs may be partially represented by quantified endpoints such as hospital admissions or premature mortality, but a number of other related health impacts, such as doctor visits and decreased athletic performance, remain unquantified.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             In addition to primary economic endpoints, there are a number of biological responses that have been associated with PM health effects including morphological changes and altered host defense mechanisms. The public health impact of these biological responses may be partly represented by our quantified endpoints.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             While some of the effects of short-term exposures are likely to be captured in the estimates, there may be premature mortality due to short-term exposure to PM not captured in the cohort studies used in this analysis. However, the PM mortality results derived from the expert elicitation do take into account premature mortality effects of short term exposures.
                        </TNOTE>
                        <PRTPAGE P="57336"/>
                        <TNOTE>
                            <SU>e</SU>
                             May result in benefits or disbenefits.
                        </TNOTE>
                        <TNOTE>
                            <SU>f</SU>
                             Many of the key hydrocarbons related to this action are also hazardous air pollutants listed in the CAA.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        While there will be impacts associated with air toxic pollutant emission changes that result from this final action, we do not attempt to monetize those impacts. This is primarily because currently available tools and methods to assess air toxics risk from mobile sources at the national scale are not adequate for extrapolation to incidence estimations or benefits assessment. The best suite of tools and methods currently available for assessment at the national scale are those used in the National-Scale Air Toxics Assessment (NATA). The EPA Science Advisory Board specifically commented in their review of the 1996 NATA that these tools were not yet ready for use in a national-scale benefits analysis, because they did not consider the full distribution of exposure and risk, or address sub-chronic health effects.
                        <SU>523</SU>
                        <FTREF/>
                         While EPA has since improved these tools, there remain critical limitations for estimating incidence and assessing benefits of reducing mobile source air toxics.
                    </P>
                    <FTNT>
                        <P>
                            <SU>523</SU>
                             Science Advisory Board. 2001. NATA—Evaluating the National-Scale Air Toxics Assessment for 1996—an SAB Advisory. 
                            <E T="03">http://www.epa.gov/ttn/atw/sab/sabrev.html.</E>
                        </P>
                    </FTNT>
                    <P>
                        As part of the second prospective analysis of the benefits and costs of the Clean Air Act,
                        <SU>524</SU>
                        <FTREF/>
                         EPA conducted a case study analysis of the health effects associated with reducing exposure to benzene in Houston from implementation of the Clean Air Act. While reviewing the draft report, EPA's Advisory Council on Clean Air Compliance Analysis concluded that “the challenges for assessing progress in health improvement as a result of reductions in emissions of hazardous air pollutants (HAPs) are daunting...due to a lack of exposure-response functions, uncertainties in emissions inventories and background levels, the difficulty of extrapolating risk estimates to low doses and the challenges of tracking health progress for diseases, such as cancer, that have long latency periods.” 
                        <SU>525</SU>
                        <FTREF/>
                         EPA continues to work to address these limitations; however, we did not have the methods and tools available for national-scale application in time for the analysis of the final action.
                        <SU>526</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>524</SU>
                             U.S. Environmental Protection Agency (U.S. EPA). 2011. 
                            <E T="03">The Benefits and Costs of the Clean Air Act from 1990 to 2020.</E>
                             Office of Air and Radiation, Washington, DC. March. Available on the Internet at 
                            <E T="03">http://www.epa.gov/air/sect812/feb11/fullreport.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>525</SU>
                             U.S. Environmental Protection Agency—Science Advisory Board (U.S. EPA-SAB). 2008. 
                            <E T="03">Benefits of Reducing Benzene Emissions in Houston, 1990-2020.</E>
                             EPA-COUNCIL-08-001. July. Available at 
                            <E T="03">http://yosemite.epa.gov/sab/sabproduct.nsf/D4D7EC9DAEDA8A548525748600728A83/$File/EPA-COUNCIL-08-001-unsigned.pdf.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>526</SU>
                             In April 2009, EPA hosted a workshop on estimating the benefits or reducing hazardous air pollutants. This workshop built upon the work accomplished in the June 2000 Science Advisory Board/EPA Workshop on the Benefits of Reductions in Exposure to Hazardous Air Pollutants, which generated thoughtful discussion on approaches to estimating human health benefits from reductions in air toxics exposure, but no consensus was reached on methods that could be implemented in the near term for a broad selection of air toxics. Please visit 
                            <E T="03">http://epa.gov/air/toxicair/2009workshop.html</E>
                             for more information about the workshop and its associated materials.
                        </P>
                    </FTNT>
                    <P>EPA is also unaware of specific information identifying any effects on listed endangered species from the small fluctuations in pollutant concentrations associated with this program (see Section VII.D). Furthermore, our current modeling tools are not designed to trace fluctuations in ambient concentration levels to potential impacts on particular endangered species.</P>
                    <HD SOURCE="HD3">(a) Quantified Human Health Impacts</HD>
                    <P>
                        Table VIII-18 and Table VIII-19 present the annual PM
                        <E T="52">2.5</E>
                         and ozone health impacts, respectively, in the 48 contiguous U.S. states associated with the HD National Program for 2030. For each endpoint presented in Table VIII-18 and Table VIII-19, we provide both the mean estimate and the 90 percent confidence interval.
                    </P>
                    <P>
                        Using EPA's preferred estimates, based on the American Cancer Society (ACS) and Six-Cities studies and no threshold assumption in the model of mortality, we estimate that the final rules will result in between 78 and 200 cases of avoided PM
                        <E T="52">2.5</E>
                        -related premature mortalities annually in 2030. As a sensitivity analysis, when the range of expert opinion is used, we estimate between 26 and 260 fewer premature mortalities in 2030 (see Table 8-14 in the RIA that accompanies this action). For ozone-related premature mortality in 2030, we estimate a range of between 54 to 240 fewer premature mortalities.
                    </P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,12">
                        <TTITLE>
                            Table VIII-18—Estimated PM
                            <E T="52">2.5</E>
                            -Related Health Impacts 
                            <E T="51">a</E>
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Health effect</CHED>
                            <CHED H="1">
                                2030 Annual reduction in
                                <LI>incidence</LI>
                                <LI>(5th-95th</LI>
                                <LI>percentile)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">
                                Premature Mortality—Derived from epidemiology literature 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Adult, age 30+, ACS Cohort Study (Pope 
                                <E T="03">et al.,</E>
                                 2002)
                            </ENT>
                            <ENT>78 (30-130)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Adult, age 25+, Six-Cities Study (Laden 
                                <E T="03">et al.,</E>
                                 2006)
                            </ENT>
                            <ENT>200 (110-290)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Infant, age &lt;1 year (Woodruff 
                                <E T="03">et al.,</E>
                                 1997)
                            </ENT>
                            <ENT>0 (0-1)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Chronic bronchitis (adult, age 26 and over)</ENT>
                            <ENT>53 (10-97)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Non-fatal myocardial infarction (adult, age 18 and over)</ENT>
                            <ENT>150 (54-240)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Hospital admissions-respiratory (all ages) 
                                <SU>c</SU>
                            </ENT>
                            <ENT>20 (10-30)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Hospital admissions-cardiovascular (adults, age &gt;18) 
                                <SU>d</SU>
                            </ENT>
                            <ENT>45 (32-52)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Emergency room visits for asthma (age 18 years and younger)</ENT>
                            <ENT>81 (48-120)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Acute bronchitis, (children, age 8-12)</ENT>
                            <ENT>130 (0-270)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Lower respiratory symptoms (children, age 7-14)</ENT>
                            <ENT>1,600 (750-2,400)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Upper respiratory symptoms (asthmatic children, age 9-18)</ENT>
                            <ENT>1,200 (370-2,000)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Asthma exacerbation (asthmatic children, age 6-18)</ENT>
                            <ENT>1,400 (160-4,000)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Work loss days</ENT>
                            <ENT>9,700 (8,500-11,000)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Minor restricted activity days (adults age 18-65)</ENT>
                            <ENT>57,000 (48,000-66,000)</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Incidence is rounded to two significant digits. Estimates represent incidence within the 48 contiguous United States.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             PM-related adult mortality based upon the American Cancer Society (ACS) Cohort Study (Pope 
                            <E T="03">et al.,</E>
                             2002) and the Six-Cities Study (Laden 
                            <E T="03">et al.,</E>
                             2006). Note that these are two alternative estimates of adult mortality and should not be summed. PM-related infant mortality based upon a study by Woodruff, Grillo, and Schoendorf, (1997).
                            <SU>527</SU>
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Respiratory hospital admissions for PM include admissions for chronic obstructive pulmonary disease (COPD), pneumonia and asthma.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             Cardiovascular hospital admissions for PM include total cardiovascular and subcategories for ischemic heart disease, dysrhythmias, and heart failure.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                         
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>527</SU>
                             Woodruff, T.J., J. Grillo, and K.C. Schoendorf. 1997. “The Relationship Between Selected Causes 
                            <PRTPAGE/>
                            of Postneonatal Infant Mortality and Particulate Air Pollution in the United States.” 
                            <E T="03">Environmental Health Perspectives</E>
                             105(6):608-612.
                        </P>
                    </FTNT>
                    <PRTPAGE P="57337"/>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,12">
                        <TTITLE>
                            Table VIII-19—Estimated Ozone-Related Health Impacts 
                            <E T="51">a</E>
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Health effect</CHED>
                            <CHED H="1">
                                2030 Annual reduction in
                                <LI>incidence </LI>
                                <LI>(5th-95th</LI>
                                <LI>percentile)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">
                                Premature Mortality, All ages 
                                <SU>b</SU>
                                 Multi-City Analyses: 
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Bell 
                                <E T="03">et al.</E>
                                 (2004)—Non-accidental 
                            </ENT>
                            <ENT>54 (23-84)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Huang 
                                <E T="03">et al.</E>
                                 (2005)—Cardiopulmonary 
                            </ENT>
                            <ENT>90 (43-140)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Schwartz (2005)—Non-accidental </ENT>
                            <ENT>82 (34-130)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Meta-analyses: </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Bell 
                                <E T="03">et al.</E>
                                 (2005)—All cause 
                            </ENT>
                            <ENT>170 (96-250)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Ito 
                                <E T="03">et al.</E>
                                 (2005)—Non-accidental 
                            </ENT>
                            <ENT>240 (160-320)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Levy 
                                <E T="03">et al.</E>
                                 (2005)—All cause 
                            </ENT>
                            <ENT>240 (180-310)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Hospital admissions—respiratory causes (adult, 65 and older) 
                                <SU>c</SU>
                            </ENT>
                            <ENT>510 (69-870)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Hospital admissions—respiratory causes (children, under 2)</ENT>
                            <ENT>320 (160-470)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Emergency room visit for asthma (all ages)</ENT>
                            <ENT>230 (0-630)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Minor restricted activity days (adults, age 18-65)</ENT>
                            <ENT>300,000 (150,000-450,000)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">School absence days</ENT>
                            <ENT>120,000 (52,000-170,000</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Incidence is rounded to two significant digits. Estimates represent incidence within the 48 contiguous U.S.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Estimates of ozone-related premature mortality are based upon incidence estimates derived from several alternative studies: Bell 
                            <E T="03">et al.</E>
                             (2004); Huang 
                            <E T="03">et al.</E>
                             (2005); Schwartz (2005); Bell 
                            <E T="03">et al.</E>
                             (2005); Ito 
                            <E T="03">et al.</E>
                             (2005); Levy 
                            <E T="03">et al.</E>
                             (2005). The estimates of ozone-related premature mortality should therefore not be summed.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Respiratory hospital admissions for ozone include admissions for all respiratory causes and subcategories for COPD and pneumonia.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(b) Monetized Benefits</HD>
                    <P>
                        Table VIII-20 presents the estimated monetary value of changes in the incidence of ozone and PM
                        <E T="52">2.5</E>
                        -related health effects. All monetized estimates are stated in 2009$. These estimates account for growth in real gross domestic product (GDP) per capita between the present and 2030. Our estimate of total monetized benefits in 2030 for the program, using the ACS and Six-Cities PM mortality studies and the range of ozone mortality assumptions, is between $1.3 and $4.2 billion, assuming a 3 percent discount rate, or between $1.2 and $4.0 billion, assuming a 7 percent discount rate.
                    </P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,xs100">
                        <TTITLE>Table VIII-20—Estimated Monetary Value of Changes in Incidence of Health and Welfare Effects in 2030 </TTITLE>
                        <TDESC>
                            [Millions, 2009$] 
                            <E T="51">a b</E>
                        </TDESC>
                        <BOXHD>
                            <CHED H="1">
                                PM
                                <E T="52">2.5</E>
                                -Related health effect
                            </CHED>
                            <CHED H="1">(5th and 95th Percentile)</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">
                                Premature Mortality—Derived from Epidemiology Studies:
                                <E T="51">c d</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">
                                Adult, age 30+—ACS study (Pope 
                                <E T="03">et al.,</E>
                                 2002):
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="05">3% discount rate</ENT>
                            <ENT>$680 ($87-$1,800)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="05">7% discount rate</ENT>
                            <ENT>$620 ($79-$1,600)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03" O="xl">
                                Adult, age 25+—Six-Cities study (Laden 
                                <E T="03">et al.,</E>
                                 2006): 
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="05">3% discount rate </ENT>
                            <ENT>$1,800 ($250-$4,300) </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="05">7% discount rate </ENT>
                            <ENT>$1,600 ($220-$3,900)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Infant Mortality, &lt;1 year-(Woodruff 
                                <E T="03">et al.</E>
                                 1997)
                            </ENT>
                            <ENT>$2.5 ($0-$9.4)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Chronic bronchitis (adults, 26 and over)</ENT>
                            <ENT>$29 ($2.4-$96)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Non-fatal acute myocardial infarctions: </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">3% discount rate </ENT>
                            <ENT>$16 ($3.7-$38)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">7% discount rate </ENT>
                            <ENT>$16 ($3.4-$38)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Hospital admissions for respiratory causes</ENT>
                            <ENT>$0.31 ($0.15-$0.45)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Hospital admissions for cardiovascular causes</ENT>
                            <ENT>$1.3 ($0.83-$1.8)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Emergency room visits for asthma</ENT>
                            <ENT>$0.03 ($0.02-$0.05)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Acute bronchitis (children, age 8-12)</ENT>
                            <ENT>$0.01 ($0-$0.03)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Lower respiratory symptoms (children, 7-14)</ENT>
                            <ENT>$0.03 ($0.01-$0.06)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Upper respiratory symptoms (asthma, 9-11)</ENT>
                            <ENT>$0.04 ($0.01-$0.08)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Asthma exacerbations</ENT>
                            <ENT>$0.08 ($0.009-$0.23)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Work loss days</ENT>
                            <ENT>$1.6 ($1.4-$1.8)</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Minor restricted-activity days (MRADs)</ENT>
                            <ENT>$3.6 ($2.1-$5.2)</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">Ozone-related Health Effect</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="22">Premature Mortality, All ages—Derived from Multi-city analyses:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Bell 
                                <E T="03">et al.,</E>
                                 2004
                            </ENT>
                            <ENT>$520 ($69-$1,300)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Huang 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>$880 ($120-$2,200)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Schwartz, 2005</ENT>
                            <ENT>$800 ($100-$2,000)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Premature Mortality, All ages—Derived from Meta-analyses:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Bell 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>$1,700 ($240-$4,100)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Ito 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>$2,300 ($350-$5,500)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Levy 
                                <E T="03">et al.,</E>
                                 2005
                            </ENT>
                            <ENT>$2,400 ($350-$5,500)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Hospital admissions—respiratory causes (adult, 65 and older)</ENT>
                            <ENT>$13 ($1.7-$22)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Hospital admissions—respiratory causes (children, under 2)</ENT>
                            <ENT>$3.4 ($1.8-$5.0)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Emergency room visit for asthma (all ages)</ENT>
                            <ENT>$0.09 ($0-$0.23)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Minor restricted activity days (adults, age 18-65)</ENT>
                            <ENT>$19 ($8.6-$32)</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57338"/>
                            <ENT I="01">School absence days</ENT>
                            <ENT>$11 ($5.0-$16)</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Monetary benefits are rounded to two significant digits for ease of presentation and computation. PM and ozone benefits are nationwide.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Monetary benefits adjusted to account for growth in real GDP per capita between 1990 and the analysis year (2030).
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Valuation assumes discounting over the SAB recommended 20 year segmented lag structure. Results reflect the use of 3 percent and 7 percent discount rates consistent with EPA and OMB guidelines for preparing economic analyses.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(c) What are the limitations of the benefits analysis?</HD>
                    <P>Every benefit-cost analysis examining the potential effects of a change in environmental protection requirements is limited to some extent by data gaps, limitations in model capabilities (such as geographic coverage), and uncertainties in the underlying scientific and economic studies used to configure the benefit and cost models. Limitations of the scientific literature often result in the inability to estimate quantitative changes in health and environmental effects, such as potential decreases in premature mortality associated with decreased exposure to carbon monoxide. Deficiencies in the economics literature often result in the inability to assign economic values even to those health and environmental outcomes which can be quantified. These general uncertainties in the underlying scientific and economics literature, which can lead to valuations that are higher or lower, are discussed in detail in the RIA and its supporting references. Key uncertainties that have a bearing on the results of the benefit-cost analysis of the final rules include the following:</P>
                    <P>• The exclusion of potentially significant and unquantified benefit categories (such as health, odor, and ecological benefits of reduction in air toxics, ozone, and PM);</P>
                    <P>• Errors in measurement and projection for variables such as population growth;</P>
                    <P>• Uncertainties in the estimation of future year emissions inventories and air quality;</P>
                    <P>• Uncertainty in the estimated relationships of health and welfare effects to changes in pollutant concentrations including the shape of the C-R function, the size of the effect estimates, and the relative toxicity of the many components of the PM mixture;</P>
                    <P>• Uncertainties in exposure estimation; and</P>
                    <P>• Uncertainties associated with the effect of potential future actions to limit emissions.</P>
                    <P>As Table VIII-20 indicates, total benefits are driven primarily by the reduction in premature mortalities each year. Some key assumptions underlying the premature mortality estimates include the following, which may also contribute to uncertainty:</P>
                    <P>• Inhalation of fine particles is causally associated with premature death at concentrations near those experienced by most Americans on a daily basis. Although biological mechanisms for this effect have not yet been completely established, the weight of the available epidemiological, toxicological, and experimental evidence supports an assumption of causality. The impacts of including a probabilistic representation of causality were explored in the expert elicitation-based results of the PM NAAQS RIA.</P>
                    <P>• All fine particles, regardless of their chemical composition, are equally potent in causing premature mortality. This is an important assumption, because PM produced via transported precursors emitted from heavy-duty engines may differ significantly from PM precursors released from electric generating units and other industrial sources. However, no clear scientific grounds exist for supporting differential effects estimates by particle type.</P>
                    <P>
                        • The C-R function for fine particles is approximately linear within the range of ambient concentrations under consideration. Thus, the estimates include health benefits from reducing fine particles in areas with varied concentrations of PM, including both regions that may be in attainment with PM
                        <E T="52">2.5</E>
                         standards and those that are at risk of not meeting the standards.
                    </P>
                    <P>
                        • There is uncertainty in the magnitude of the association between ozone and premature mortality. The range of ozone benefits associated with the coordinated strategy is estimated based on the risk of several sources of ozone-related mortality effect estimates. In a report on the estimation of ozone-related premature mortality published by the National Research Council, a panel of experts and reviewers concluded that short-term exposure to ambient ozone is likely to contribute to premature deaths and that ozone-related mortality should be included in estimates of the health benefits of reducing ozone exposure.
                        <SU>528</SU>
                        <FTREF/>
                         EPA has requested advice from the National Academy of Sciences on how best to quantify uncertainty in the relationship between ozone exposure and premature mortality in the context of quantifying benefits.
                    </P>
                    <FTNT>
                        <P>
                            <SU>528</SU>
                             National Research Council (NRC), 2008. Estimating Mortality Risk Reduction and Economic Benefits from Controlling Ozone Air Pollution. The National Academies Press: Washington, DC.
                        </P>
                    </FTNT>
                    <P>
                        Despite the uncertainties described above, we believe this analysis provides a conservative estimate of the estimated non-GHG health and environmental benefits of the standards in future years because of the exclusion of potentially significant benefit categories that are not quantifiable at this time. Acknowledging benefits omissions and uncertainties, we present a best estimate of the total benefits based on our interpretation of the best available scientific literature and methods supported by EPA's technical peer review panel, the Science Advisory Board's Health Effects Subcommittee (SAB-HES). The National Academies of Science (NRC, 2002) has also reviewed EPA's methodology for analyzing the health benefits of measures taken to reduce air pollution. EPA addressed many of these comments in the analysis of the final PM NAAQS.
                        <E T="51">529 530</E>
                        <FTREF/>
                         This analysis incorporates this work to the extent possible.
                    </P>
                    <FTNT>
                        <P>
                            <SU>529</SU>
                             National Research Council (NRC). 2002. Estimating the Public Health Benefits of Proposed Air Pollution Regulations. The National Academies Press: Washington, DC.
                        </P>
                        <P>
                            <SU>530</SU>
                             U.S. Environmental Protection Agency. October 2006. 
                            <E T="03">Final Regulatory Impact Analysis (RIA) for the Proposed National Ambient Air Quality Standards for Particulate Matter.</E>
                             Prepared by: Office of Air and Radiation. Available at 
                            <E T="03">http://www.epa.gov/ttn/ecas/ria.html.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(2) Non-GHG Human Health Benefits of the Model Year (MY) Analysis</HD>
                    <P>
                        As described in Section VII, the final standards will reduce emissions of several criteria and toxic pollutants and precursors. EPA typically analyzes rule 
                        <PRTPAGE P="57339"/>
                        impacts (emissions, air quality, costs and benefits) in the year in which they occur; for the analysis of non-GHG ambient air quality and health impacts, we selected 2030 as a representative future year since resource and time constraints precluded EPA from considering multiple calendar years. We refer to this analysis as the “Calendar Year” (CY) analysis because the benefits of the program reflect impacts across all regulated vehicles in a calendar year.
                    </P>
                    <P>
                        EPA also conducted a separate analysis of the impacts over the model year lifetimes of the 2014 through 2018 model year vehicles. We refer to this analysis as the “Model Year” (MY) analysis (
                        <E T="03">See</E>
                         Chapter 6 of the RIA that accompanies this preamble). In contrast to the CY analysis, the MY analysis estimates the impacts of the program on each MY fleet over the course of its lifetime. Due to analytical and resource limitations, however, MY non-GHG emissions (direct PM, VOCs, NO
                        <E T="52">2</E>
                         and SO
                        <E T="52">2</E>
                        ) were not estimated for this analysis. Because MY impacts are measured in relation to only the lifetime of a particular vehicle model year (2014, 2015, 2016, 2017, and 2018), and assumes no additional controls to model year vehicles beyond 2018, the impacts are smaller than if the impacts of all regulated vehicles were considered. We therefore expect that the non-GHG health-related benefits associated with the MY analysis will be smaller than those estimated for the CY analysis, both in a given year (such as 2030) and in present value terms across a given time period (such as 2014-2050).
                    </P>
                    <HD SOURCE="HD2">I. Energy Security Impacts</HD>
                    <P>The HD National Program is designed to reduce fuel consumption and GHG emissions in medium and heavy-duty (HD) vehicles, which will result in improved fuel efficiency and, in turn, help to reduce U.S. petroleum imports. A reduction of U.S. petroleum imports reduces both financial and strategic risks caused by potential sudden disruptions in the supply of imported petroleum to the U.S. This reduction in risk is a measure of improved U.S. energy security. This section summarizes the agencies' estimates of U.S. oil import reductions and energy security benefits of the final HD National Program. Additional discussion of this issue can be found in Chapter 9.7 of the RIA.</P>
                    <HD SOURCE="HD3">(1) Implications of Reduced Petroleum Use on U.S. Imports</HD>
                    <P>
                        In 2008, U.S. petroleum import expenditures represented 21 percent of total U.S. imports of all goods and services.
                        <SU>531</SU>
                        <FTREF/>
                         In 2008, the United States imported 66 percent of the petroleum it consumed, and the transportation sector accounted for 70 percent of total U.S. petroleum consumption. This compares to approximately 37 percent of petroleum from imports and 55 percent of consumption from petroleum in the transportation sector in 1975.
                        <SU>532</SU>
                        <FTREF/>
                         It is clear that petroleum imports have a significant impact on the U.S. economy.
                    </P>
                    <FTNT>
                        <P>
                            <SU>531</SU>
                             Source: U.S. Bureau of Economic Analysis, U.S. International Transactions Accounts Data, as shown on June 24, 2009.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>532</SU>
                             Source: U.S. Department of Energy, Annual Energy Review 2008, Report No. DOE/EIA-0384(2008), Tables 5.1 and 5.13c, June 26, 2009.
                        </P>
                    </FTNT>
                    <P>Requiring lower GHG vehicle technology and fuel efficient technology in HD vehicles in the U.S. is expected to lower U.S. oil imports. EPA used the MOVES model to estimate the fuel savings due to this program. A detailed explanation of the MOVES model can be found in Chapter 5 of the RIA.</P>
                    <P>
                        Based on a detailed analysis of differences in fuel consumption, petroleum imports, and imports of refined petroleum products and crude oil using the Reference Case presented in the Energy Information Administration's Annual Energy Outlook (AEO) 2011 Early Release, EPA and NHTSA estimate that approximately 50 percent of the reduction in fuel consumption resulting from adopting improved GHG emissions standards and fuel efficiency standards is likely to be reflected in reduced U.S. imports of refined fuel, while the remaining 50 percent is expected to be reflected in reduced domestic fuel refining. Of this latter figure, 90 percent is anticipated to reduce U.S. imports of crude petroleum for use as a refinery feedstock, while the remaining 10 percent is expected to reduce U.S. domestic production of crude petroleum. Thus, on balance, each gallon of fuel saved as a consequence of the HD GHG and fuel efficiency standards is anticipated to reduce total U.S. imports of petroleum by 0.95 gallons.
                        <SU>533</SU>
                        <FTREF/>
                         The agencies' estimates of the reduction in U.S. oil imports from this program for selected years, in millions of barrels per day, are presented in Table VIII-21 below. These estimates assume that the fuel efficiency of HD vehicles remains constant in the baseline.
                    </P>
                    <FTNT>
                        <P>
                            <SU>533</SU>
                             This figure is calculated as 0.50 + 0.50*0.9 = 0.50 + 0.45 = 0.95.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,8">
                        <TTITLE>Table VIII-21—U.S. Oil Import Reductions From the HD National Program for Selected Years </TTITLE>
                        <TDESC>[Millions of barrels per day, mmbd]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">mmbd</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>0.202</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>0.393</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>0.489</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>0.566</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(2) Energy Security Implications</HD>
                    <P>
                        In order to understand the energy security implications of reducing U.S. petroleum imports, EPA worked with Oak Ridge National Laboratory (ORNL), which has developed approaches for evaluating the economic costs and energy security implications of oil use. The energy security estimates provided below are based upon a methodology developed in a peer-reviewed study entitled “
                        <E T="03">The Energy Security Benefits of Reduced Oil Use, 2006-2015,</E>
                         ” completed in March 2008. This study is included as part of the docket for this final action.
                        <E T="51">534 535</E>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>534</SU>
                             Leiby, Paul N., “
                            <E T="03">Estimating the Energy Security Benefits of Reduced U.S. Oil Imports</E>
                            ” Oak Ridge National Laboratory, ORNL/TM-2007/028, Final Report, 2008. (Docket EPA-HQ-OAR-2010-0162).
                        </P>
                        <P>
                            <SU>535</SU>
                             The ORNL study “
                            <E T="03">The Energy Security Benefits of Reduced Oil Use, 2006-2015,</E>
                            ” completed in March 2008, is an update version of the approach used for estimating the energy security benefits of U.S. oil import reductions developed in an ORNL 1997 Report by Leiby, Paul N., Donald W. Jones, T. Randall Curlee, and Russell Lee, entitled “
                            <E T="03">Oil Imports: An Assessment of Benefits and Costs.</E>
                            ” (Docket EPA-HQ-OAR-2010-0162).
                        </P>
                    </FTNT>
                    <P>
                        When conducting this analysis, ORNL considered the full economic cost of importing petroleum into the United States. The economic cost of importing petroleum into the U.S. is defined to include two components in addition to the purchase price of petroleum itself. These are: (1) The higher costs for oil imports resulting from the effect of increasing U.S. import demand on the world oil price and on the market power of the Organization of the Petroleum Exporting Countries (
                        <E T="03">i.e.,</E>
                         the “demand” or “monopsony” costs); and (2) the risk of reductions in U.S. economic output and disruption of the U.S. economy caused by sudden disruptions in the supply of imported petroleum to the U.S. (
                        <E T="03">i.e.,</E>
                         macroeconomic disruption/adjustment costs). Maintaining a U.S. military presence to help secure stable oil supply from potentially vulnerable regions of the world was not included in this analysis because its attribution to particular missions or activities is hard to quantify.
                        <PRTPAGE P="57340"/>
                    </P>
                    <P>
                        For this action, ORNL estimated energy security premiums by incorporating the most recent available AEO 2011 Early Release oil price forecasts and market trends. Energy security premiums for the years 2020, 2030, 2040, and 2050 are presented in Table VIII-22, as well as a breakdown of the components of the energy security premiums for each of these years.
                        <SU>536</SU>
                        <FTREF/>
                         The components of the energy security premiums and their values are discussed in detail in Chapter 9.7 of the RIA.
                    </P>
                    <FTNT>
                        <P>
                            <SU>536</SU>
                             AEO 2011 forecasts energy market trends and values only to 2035. The energy security premium estimates post-2035 were assumed to be the 2035 estimate.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,20C,20C,20C">
                        <TTITLE>Table VIII-22—Energy Security Premiums in Selected Years </TTITLE>
                        <TDESC>[2009$/Barrel]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year (range)</CHED>
                            <CHED H="1">Monopsony</CHED>
                            <CHED H="1">
                                Macroeconomic
                                <LI>disruption/</LI>
                                <LI>adjustment costs</LI>
                            </CHED>
                            <CHED H="1">Total mid-point</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>$11.29</ENT>
                            <ENT>$7.11</ENT>
                            <ENT>$18.41</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>($3.86-$21.32)</ENT>
                            <ENT>($3.50-$11.40)</ENT>
                            <ENT>($9.70-$28.94)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>$11.17</ENT>
                            <ENT>$8.32</ENT>
                            <ENT>$19.49</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>($3.92-$20.58)</ENT>
                            <ENT>($4.04-$13.33)</ENT>
                            <ENT>($10.49-$29.63)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2035</ENT>
                            <ENT>$10.56</ENT>
                            <ENT>$8.71</ENT>
                            <ENT>$19.27</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>($3.69-$19.62)</ENT>
                            <ENT>($3.86-$14.35)</ENT>
                            <ENT>($10.32-$29.13)</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>The literature on the energy security for the last two decades has routinely combined the monopsony and the macroeconomic disruption components when calculating the total value of the energy security premium. However, in the context of using a global SCC value, the question arises: how should the energy security premium be determined when a global perspective is taken? Monopsony benefits represent avoided payments by the United States to oil producers in foreign countries that result from a decrease in the world oil price as the U.S. decreases its consumption of imported oil.</P>
                    <P>Several commenters commented on the agencies' energy security analysis of this program. The Conservative Law Foundation, Interfaith Care for Creation, Environmental Defense Fund and American Lung Association (EDF/ALA) and R. Desjardin noted that the standards in this program will increase our national security by decreasing U.S. dependence on foreign oil imports. The Competitive Enterprise Institute (CEI) felt that there is no relationship between reduced U.S. oil imports and U.S. energy security; the commenter sees no relationship between reduced oil imports and, for example, the number of hijackings, bombings, and other terrorist-related activities that have occurred through time. CBD commented that the benefit of the reduction of military costs associated with maintaining a secure oil supply should be fully accounted for, and EDF recommended a more extensive analysis of the external security costs of oil dependence.</P>
                    <P>
                        The agencies recognize that potential national and energy security risks exist due to the possibility of tension over oil supplies. Much of the world's oil and gas supplies are located in countries facing social, economic, and demographic challenges, thus making them even more vulnerable to potential local instability. For example, in 2010 just over 40 percent of world oil supply came from OPEC nations, and this share is not expected to decline in the AEO 2011 projections through 2030. Approximately 28 percent of global supply is from Persian Gulf countries alone. As another measure of concentration, of the 137 countries/principalities that export either crude oil or refined petroleum product, the top 12 have recently accounted for over 55 percent of exports.
                        <SU>537</SU>
                        <FTREF/>
                         Eight of these countries are members of OPEC, and a 9th is Russia.
                        <SU>538</SU>
                        <FTREF/>
                         In a market where even a 1-2 percent supply loss raises prices noticeably, and where a 10 percent supply loss could lead to a significant price shock, this regional concentration is of concern. Historically, the countries of the Middle East have been the source of eight of the ten major world oil disruptions 
                        <SU>539</SU>
                        <FTREF/>
                         with the 9th originating in Venezuela, an OPEC member.
                    </P>
                    <FTNT>
                        <P>
                            <SU>537</SU>
                             Based on data from the CIA, combining various recent years, 
                            <E T="03">https://www.cia.gov/library/publications/the-world-factbook/rankorder/2176rank.html.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>538</SU>
                             The other three are Norway, Canada, and the EU, an exporter of product.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>539</SU>
                             IEA 2011 “IEA Response System for Oil Supply Emergencies”.
                        </P>
                    </FTNT>
                    <P>
                        Because of U.S. dependence on oil, the military could be called on to protect energy resources through such measures as securing shipping lanes from foreign oil fields. To maintain such military effectiveness and flexibility, the Department of Defense identified in the Quadrennial Defense Review that it is “increasing its use of renewable energy supplies and reducing energy demand to improve operational effectiveness, reduce greenhouse gas emissions in support of U.S. climate change initiatives, and protect the Department from energy price fluctuations.” 
                        <SU>540</SU>
                        <FTREF/>
                         The Department of the Navy has also stated that the Navy and Marine Corps rely far too much on petroleum, which “degrades the strategic position of our country and the tactical performance of our forces. The global supply of oil is finite, it is becoming increasingly difficult to find and exploit, and over time cost continues to rise.” 
                        <SU>541</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>540</SU>
                             U.S. Department of Defense. 2010. Quadrennial Defense Review Report. Secretary of Defense: Washington, DC 128 pages.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>541</SU>
                             The Department of the Navy's Energy Goals (
                            <E T="03">http://www.navy.mil/features/Navy_EnergySecurity.pdf</E>
                            ) (Last accessed May 31, 2011).
                        </P>
                    </FTNT>
                    <P>
                        In remarks given to the White House Energy Security Summit on April 26, 2011, Deputy Security of Defense William J. Lynn, III noted the direct impact of energy security on military readiness and flexibility. According to Deputy Security Lynn, “Today, energy technology remains a critical element of our military superiority. Addressing energy needs must be a fundamental part of our military planning.” 
                        <SU>542</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>542</SU>
                             U.S. Department of Defense, Speech: Remarks at the White House Energy Security Summit. Tuesday, April 26, 2011. (
                            <E T="03">http://www.defense.gov/speeches/speech.aspx?speechid=1556</E>
                            ) (Last accessed May 31, 2011).
                        </P>
                    </FTNT>
                    <P>
                        Thus, to the degree to which the final rules reduce reliance upon imported energy supplies or promotes the development of technologies that can be deployed by either consumers or the nation's defense forces, the United States could expect benefits related to national security, reduced energy costs, and increased energy supply. These benefits are why President Obama has identified this program as a key component for improving energy efficiency and putting America on a 
                        <PRTPAGE P="57341"/>
                        path to reducing oil imports in the Blueprint for a Secure Energy Future.
                        <SU>543</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>543</SU>
                             The White House, 
                            <E T="03">Blueprint for a Secure Energy Future</E>
                             (March 30, 2011) (
                            <E T="03">http://www.whitehouse.gov/sites/default/files/blueprint_secure_energy_future.pdf</E>
                            ) (Last accessed May 27, 2011).
                        </P>
                    </FTNT>
                    <P>Although the agencies recognize that there clearly is a benefit to the United States from reducing dependence on foreign oil, the agencies have been unable to calculate the monetary benefit that the United States will receive from the improvements in national security expected to result from this program. In contrast, the other portion of the energy security premium, the U.S. macroeconomic disruption and adjustment cost that arises from U.S. petroleum imports, is included in the energy security benefits estimated for this program. To summarize, the agencies have included only the macroeconomic disruption portion of the energy security benefits to estimate the monetary value of the total energy security benefits of this program. The agencies have calculated energy security in very specific terms, as the reduction of both financial and strategic risks caused by potential sudden disruptions in the supply of imported petroleum to the U.S. Reducing the amount of oil imported reduces those risks, and thus increases the nation's energy security.</P>
                    <P>Another commenter, citing Administration guidelines (OMB Circular A-4) for conducting economic analyses, felt that the agency should include the monopsony benefit as part of its overall costs and benefits analysis. After reviewing the guidelines cited by the commenter, the agencies have concluded that excluding the monopsony benefit from its overall costs and benefits analysis continues to be appropriate when a global perspective is taken. However, the agencies recognize that the monopsony benefit has distributional impacts for the U.S., and continue to describe and discuss the monopsony benefit in this section of the Preamble.</P>
                    <P>The total annual energy security benefits for the final HD National Program are reported in Table VIII-23 for the years 2020, 2030, 2040 and 2050.</P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,14">
                        <TTITLE>Table VIII-23—Total Annual Energy Security Benefits From the HD National Program in 2020, 2030, 2040 and 2050 </TTITLE>
                        <TDESC>[Millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Benefits</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>$499</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>1,132</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>1,477</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>1,710</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">J. Other Impacts</HD>
                    <HD SOURCE="HD3">(i) Noise, Congestion and Accidents</HD>
                    <P>Increased vehicle use associated with a positive rebound effect also contributes to increased traffic congestion, motor vehicle accidents, and highway noise. Depending on how the additional travel is distributed throughout the day and on where it takes place, additional vehicle use can contribute to traffic congestion and delays by increasing traffic volumes on facilities that are already heavily traveled during peak periods. These added delays impose higher costs on drivers and other vehicle occupants in the form of increased travel time and operating expenses, increased costs associated with traffic accidents, and increased traffic noise. Because drivers do not take these added costs into account in deciding when and where to travel, they must be accounted for separately as a cost of the added driving associated with the rebound effect.</P>
                    <P>
                        EPA and NHTSA rely on estimates of congestion, accident, and noise costs caused by pickup trucks and vans, single unit trucks, buses, and combination tractors developed by the Federal Highway Administration to estimate the increased external costs caused by added driving due to the rebound effect.
                        <SU>544</SU>
                        <FTREF/>
                         The Federal Highway Administration (FHWA) estimates are intended to measure the increases in costs from added congestion, property damages and injuries in traffic accidents, and noise levels caused by various types of trucks that are borne by persons other than their drivers (or “marginal” external costs). EPA and NHTSA employed estimates from this source previously in the analysis accompanying the light-Duty 2012-16 MY vehicle rule. The agencies continue to find them appropriate for this analysis after reviewing the procedures used by FHWA to develop them and considering other available estimates of these values.
                    </P>
                    <FTNT>
                        <P>
                            <SU>544</SU>
                             These estimates were developed by FHWA for use in its 1997 
                            <E T="03">Federal Highway Cost Allocation Study; See http://www.fhwa.dot.gov/policy/hcas/final/index.htm</E>
                             (last accessed July 21, 2010).
                        </P>
                    </FTNT>
                    <P>FHWA's congestion cost estimates for trucks, which are weighted averages based on the estimated fractions of peak and off-peak freeway travel for each class of trucks, already account for the fact that trucks make up a smaller fraction of peak period traffic on congested roads because they try to avoid peak periods when possible. FHWA's congestion cost estimates focus on freeways because non-freeway effects are less serious due to lower traffic volumes and opportunities to re-route around the congestion. The agencies, however, applied the congestion cost to the overall VMT increase, though the fraction of VMT on each road type used in MOVES range from 27 to 29 percent of the vehicle miles on freeways for vocational vehicles and 53 percent for combination tractors. The results of this analysis potentially overestimate the costs and provide a conservative estimate.</P>
                    <P>The agencies are using FHWA's “Middle” estimates for marginal congestion, accident, and noise costs caused by increased travel from trucks. This approach is consistent with the current methodology used in the Light-Duty GHG rulemaking analysis. These costs are multiplied by the annual increases in vehicle miles travelled from the positive rebound effect to yield the estimated cost increases resulting from increased congestion, accidents, and noise during each future year. The values the agencies used to calculate these increased costs are included in Table VIII-24.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table VIII-24—Noise, Accident, and Congestion Costs per Mile </TTITLE>
                        <TDESC>[2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">External costs</CHED>
                            <CHED H="1">
                                Pickup trucks and vans 
                                <LI>($/VMT)</LI>
                            </CHED>
                            <CHED H="1">
                                Vocational
                                <LI>vehicles </LI>
                                <LI>($/VMT)</LI>
                            </CHED>
                            <CHED H="1">
                                Combination tractors 
                                <LI>($/VMT)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Congestion</ENT>
                            <ENT>$0.049</ENT>
                            <ENT>$0.111</ENT>
                            <ENT>$0.108</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57342"/>
                            <ENT I="01">Accidents</ENT>
                            <ENT>0.027</ENT>
                            <ENT>0.019</ENT>
                            <ENT>0.022</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Noise</ENT>
                            <ENT>0.001</ENT>
                            <ENT>0.009</ENT>
                            <ENT>0.020</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>In aggregate, the increased costs due to noise, accidents, and congestion from the additional truck driving are presented in Table VIII-25.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>Table VIII-25: Accident, Noise, and Congestion Costs </TTITLE>
                        <TDESC>[Millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">Year</CHED>
                            <CHED H="1">Pickup trucks and vans</CHED>
                            <CHED H="1">
                                Vocational
                                <LI>vehicles</LI>
                            </CHED>
                            <CHED H="1">Combination tractors</CHED>
                            <CHED H="1">Total costs</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2012</ENT>
                            <ENT>$0</ENT>
                            <ENT>$0</ENT>
                            <ENT>$0</ENT>
                            <ENT>$0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2013</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2014</ENT>
                            <ENT>8</ENT>
                            <ENT>21</ENT>
                            <ENT>18</ENT>
                            <ENT>46</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>15</ENT>
                            <ENT>38</ENT>
                            <ENT>31</ENT>
                            <ENT>84</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016</ENT>
                            <ENT>22</ENT>
                            <ENT>55</ENT>
                            <ENT>43</ENT>
                            <ENT>120</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017</ENT>
                            <ENT>29</ENT>
                            <ENT>71</ENT>
                            <ENT>54</ENT>
                            <ENT>153</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2018</ENT>
                            <ENT>36</ENT>
                            <ENT>85</ENT>
                            <ENT>64</ENT>
                            <ENT>186</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>51</ENT>
                            <ENT>112</ENT>
                            <ENT>83</ENT>
                            <ENT>246</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>105</ENT>
                            <ENT>195</ENT>
                            <ENT>138</ENT>
                            <ENT>437</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>130</ENT>
                            <ENT>256</ENT>
                            <ENT>166</ENT>
                            <ENT>551</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>148</ENT>
                            <ENT>298</ENT>
                            <ENT>191</ENT>
                            <ENT>638</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 3%</ENT>
                            <ENT>1,818</ENT>
                            <ENT>3,620</ENT>
                            <ENT>2,492</ENT>
                            <ENT>7,929</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 7%</ENT>
                            <ENT>832</ENT>
                            <ENT>1,680</ENT>
                            <ENT>1,184</ENT>
                            <ENT>3,695</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">(2) Savings Due to Reduced Refueling Time</HD>
                    <P>Reducing the fuel consumption of heavy-duty trucks may either increase their driving range before they require refueling, or motivate truck purchasers to buy, and manufacturers to offer, smaller fuel tanks. Keeping the fuel tank the same size allows truck operators to reduce the frequency with which drivers typically refuel their vehicles; it thus extends the upper limit of the range they can travel before requiring refueling. Alternatively, if purchasers and manufacturers respond to improved fuel efficiency by reducing the size of fuel tanks to maintain a constant driving range, the smaller tank will require less time in actual refueling.</P>
                    <P>Because refueling time represents a time cost of truck operation, these time savings should be incorporated into truck purchasers' decisions over how much fuel-saving technology they want in their vehicles. The savings calculated here thus raise the same questions discussed in Preamble VIII.A and RIA Section 9.1 does the apparent existence of these savings reflect failures in the market for fuel efficiency, or does it reflect costs not addressed in this analysis? The response to these questions could vary across truck segment. See those sections for further analysis of this question.</P>
                    <P>
                        This analysis estimates the reduction in the annual time spent filling the fuel tank; this reduced time could come either from fewer refueling events, if the fuel tank stays the same size, or less time spent during each refueling event, if the fuel tank is made proportionately smaller. The refueling savings are calculated as the savings in the amount of time that would have been necessary to pump the fuel. The calculation does not include time spent searching for a fuel station or other time spent at the station; it is assumed that the time savings occur only during refueling. The value of the time saved is estimated at the hourly rate recommended for truck operators ($22.36 in 2009 dollars) in DOT guidance for valuing time savings.
                        <SU>545</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>545</SU>
                             U.S. Department of Transportation, “Revised Departmental Guidance for Valuation of Travel Time in Economic Analysis,” February 11, 2003, Table 4 (which shows a value of $18.10 in 2000 dollars); available at 
                            <E T="03">http://ostpxweb.dot.gov/policy/Data/VOTrevision1_2-11-03.pdf</E>
                             (last accessed September 9, 2010).
                        </P>
                    </FTNT>
                    <P>The refueling savings include the increased fuel consumption resulting from additional mileage associated with the rebound effect. However, the estimate of the rebound effect does not account for any reduction in net operating costs from lower refueling time. As discussed earlier, the rebound effect should be a measure of the change in VMT with respect to the net change in overall operating costs. Ideally, changes in refueling time would factor into this calculation, although the effect is expected to be minor because refueling time savings are small relative to the value of reduced fuel expenditures.</P>
                    <P>
                        The details of this calculation are discussed in the RIA Chapter 9.3.2. The savings associated with reduced refueling time for a truck of each type throughout its lifetime are shown in Table VIII-26. The aggregate savings associated with reduced refueling time are shown in Table VIII-27 for vehicles sold in 2014 through 2050. 
                        <PRTPAGE P="57343"/>
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table VIII-26—Lifetime Refueling Savings for a 2018 MY Truck of Each Type </TTITLE>
                        <TDESC>[2009$] </TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Pickup trucks and vans </CHED>
                            <CHED H="1">
                                Vocational
                                <LI>vehicles </LI>
                            </CHED>
                            <CHED H="1">Combination tractor </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">3% Discount Rate </ENT>
                            <ENT>$31 </ENT>
                            <ENT>$34 </ENT>
                            <ENT>$341 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7% Discount Rate </ENT>
                            <ENT>19 </ENT>
                            <ENT>22 </ENT>
                            <ENT>223 </ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,12.1,12.1,12.1,12.1">
                        <TTITLE>Table VIII-27—Annual Refueling Savings </TTITLE>
                        <TDESC>[Millions, 2009$] </TDESC>
                        <BOXHD>
                            <CHED H="1">Year </CHED>
                            <CHED H="1">Pickup trucks and vans </CHED>
                            <CHED H="1">
                                Vocational
                                <LI>vehicles </LI>
                            </CHED>
                            <CHED H="1">Combination tractor </CHED>
                            <CHED H="1">Total </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2012 </ENT>
                            <ENT>$0.0 </ENT>
                            <ENT>$0.0 </ENT>
                            <ENT>$0.0 </ENT>
                            <ENT>$0.0 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2013 </ENT>
                            <ENT>0.0 </ENT>
                            <ENT>0.0 </ENT>
                            <ENT>0.0 </ENT>
                            <ENT>0.0 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2014 </ENT>
                            <ENT>0.2 </ENT>
                            <ENT>1.4 </ENT>
                            <ENT>8.0 </ENT>
                            <ENT>9.6 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015 </ENT>
                            <ENT>0.5 </ENT>
                            <ENT>2.6 </ENT>
                            <ENT>14.3 </ENT>
                            <ENT>17.3 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2016 </ENT>
                            <ENT>1.3 </ENT>
                            <ENT>3.8 </ENT>
                            <ENT>19.6 </ENT>
                            <ENT>24.6 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2017 </ENT>
                            <ENT>2.7 </ENT>
                            <ENT>6.2 </ENT>
                            <ENT>26.7 </ENT>
                            <ENT>35.6 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2018 </ENT>
                            <ENT>5.2 </ENT>
                            <ENT>8.5 </ENT>
                            <ENT>33.8 </ENT>
                            <ENT>47.5 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020 </ENT>
                            <ENT>10.5 </ENT>
                            <ENT>12.7 </ENT>
                            <ENT>46.2 </ENT>
                            <ENT>69.3 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030 </ENT>
                            <ENT>32.6 </ENT>
                            <ENT>25.8 </ENT>
                            <ENT>82.9 </ENT>
                            <ENT>141 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040 </ENT>
                            <ENT>43.4 </ENT>
                            <ENT>35.1 </ENT>
                            <ENT>100.5 </ENT>
                            <ENT>179 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050 </ENT>
                            <ENT>50.1 </ENT>
                            <ENT>41.3 </ENT>
                            <ENT>116.1 </ENT>
                            <ENT>207 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 3% </ENT>
                            <ENT>541 </ENT>
                            <ENT>468 </ENT>
                            <ENT>1,467 </ENT>
                            <ENT>2,476 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">NPV, 7% </ENT>
                            <ENT>231 </ENT>
                            <ENT>210 </ENT>
                            <ENT>685 </ENT>
                            <ENT>1,126 </ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">K. The Effect of Safety Standards and Voluntary Safety Improvements on Vehicle Weight </HD>
                    <P>
                        Safety standards developed by NHTSA in previous rulemakings may make compliance with the fuel efficiency and CO
                        <E T="52">2</E>
                         emissions standards more difficult or may reduce the projected benefits of the program. The primary way that safety regulations can impact fuel efficiency and CO
                        <E T="52">2</E>
                         emissions is through increased vehicle weight, which reduces the fuel efficiency (and thus increases the CO
                        <E T="52">2</E>
                         emissions) of the vehicle. Using MY 2010 as a baseline, this section discusses the effects of other government regulations on MYs 2014-2016 medium and heavy-duty vehicle fuel efficiency and CO
                        <E T="52">2</E>
                         emissions. At this time, no known safety standards will affect new models in MY 2017 or 2018. NHTSA's estimates are based on cost and weight tear-down studies of a few vehicles and cannot possibly cover all the variations in the manufacturers' fleets. NHTSA also requested, and various manufacturers provided, confidential estimates of increases in weight resulting from safety improvements. Those increases are shown in subsequent tables. 
                    </P>
                    <P>We have broken down our analysis of the impact of safety standards that might affect the MYs 2014-2016 fleets into three parts: (1) Those NHTSA final rules with known effective dates, (2) proposed rules or soon-to-be proposed rules by NHTSA with or without final effective dates, and (3) currently voluntary safety improvements planned by the manufacturers. </P>
                    <HD SOURCE="HD3">(1) Weight Impacts of Required Safety Standards </HD>
                    <P>NHTSA has undertaken several rulemakings in which several standards would become effective for medium- and heavy-duty (MD/HD) vehicles between MY 2014 and MY 2016. We will examine the potential impact on MD/HD vehicle weights for MYs 2014-2016 using MY 2010 as a baseline. </P>
                    <FP SOURCE="FP-1">• FMVSS 119, Heavy Truck Tires Endurance and High Speed Tests. </FP>
                    <FP SOURCE="FP-1">• FMVSS 121, Air Brake Systems Stopping Distance. </FP>
                    <FP SOURCE="FP-1">• FMVSS 214, Motor Coach Lap/Shoulder Belts. </FP>
                    <FP SOURCE="FP-1">• MD/HD Vehicle Electronic Stability Control Systems. </FP>
                    <HD SOURCE="HD3">(a) FMVSS 119, Heavy Truck Tires Endurance and High Speed Tests </HD>
                    <P>
                        NHTSA tentatively determined that the FMVSS No. 119 performance tests developed in 1973 should be updated to reflect the increased operational speeds and duration of truck tires in commercial service. A Notice of Proposed Rulemaking (NPRM) was issued December 7, 2010 (75 FR 60036). It proposed to increase significantly the stringency of the endurance test and to add a new high speed test. The data in the large truck crash causation study (LTCCS) that preceded that NPRM found that J and L load range tires were having proportionately more problems than the other sizes and the agency's test results indicate that H, J, and L load range tires are more likely to fail the proposed requirements among the targeted F, G, H, J and L load range tires.
                        <SU>546</SU>
                        <FTREF/>
                         To address these problems, the H and J load range tires could potentially use improved rubber compounds, which would add no weight to the tires, to reduce heat retention and improve the durability of the tires. The L load range tires, in contrast, appear to need to use high tensile strength steel chords in the tire bead, carcass and belt areas, which would enable a weight reduction with no strength penalties. Thus, if the update to FMVSS No. 119 was finalized, we anticipate no change in weight for H and J load range tires and a small reduction in weight for L load range tires. This proposal could become a final rule with an effective date of MY 2016. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>546</SU>
                             “Preliminary Regulatory Impact Analysis, FMVSS No. 119, New Pneumatic Tires for Motor Vehicles with a GVWR of More Than 4,536 kg (10,000 pounds), June 2010.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(b) FMVSS No. 121, Airbrake Systems Stopping Distance </HD>
                    <P>
                        FMVSS No. 121 contains performance and equipment requirements for braking systems on vehicles with air brake systems. The most recent major final rule affecting FMVSS No. 121 was published on July 27, 2009, and became effective on November 24, 2009 (MY 2009). The final rule requires the vast 
                        <PRTPAGE P="57344"/>
                        majority of new heavy truck tractors (approximately 99 percent of the fleet) to achieve a 30 percent reduction in stopping distance compared to currently required levels. Three-axle tractors with a gross vehicle weight rating (GVWR) of 59,600 pounds or less must meet the reduced stopping distance requirements by August 1, 2011 (MY 2011), while two-axle tractors and tractors with a GVWR above 59,600 pounds must meet the reduced stopping distance requirements by the later date of August 1, 2013 (MY 2013). NHTSA determined that there are several brake systems that can meet the requirements established in the final rule, including installation of larger S-cam drum brakes or disc brake systems at all positions, or hybrid disc and larger rear S-cam drum brake systems. 
                    </P>
                    <P>According to data provided by a manufacturer (Bendix) in response to the NPRM, the heaviest drum brakes weigh more than the lightest disc brakes, while the heaviest disc brakes weigh more than the lightest drum brakes. For a three-axle tractor equipped with all disc brakes, then, the total weight could increase by 212 pounds or could decrease by 134 pounds compared to an all-drum-braked tractor, depending on which disc or drum brakes are used for comparison. The improved brakes may add a small amount of weight to the affected vehicles for MYs 2014-2016, resulting in a slight increase in fuel consumption. </P>
                    <HD SOURCE="HD3">(c) FMVSS No. 208, Motorcoach Lap/Shoulder Belts </HD>
                    <P>
                        NHTSA is proposing lap/shoulder belts for all motorcoach seats. About 2,000 motorcoaches are sold per year in the United States. Based on preliminary results from the agency's cost/weight teardown studies of motor coach seats,
                        <SU>547</SU>
                        <FTREF/>
                         NHTSA estimates that the weight added by 3-point lap/shoulder belts ranges from 5.96 to 9.95 pounds per 2-person seat. This is the weight only of the seat belt assembly itself, and does not include changing the design of the seat, reinforcing the floor, walls or other areas of the motor coach. Few current production motor coaches have been installed with lap/shoulder belts on their seats, and the number of vehicles with these belts already installed could be negligible. Assuming a 54 passenger motor coach, the added weight for the 3-point lap/shoulder belt assembly would be in the range of 161 to 269 pounds (27 * (5.96 to 9.95)) per vehicle. This proposal could become a final rule with an effective date of MY 2016. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>547</SU>
                             Cost and Weight Analysis of Two Motorcoach Seating Systems: One With and One Without Three-Point Lap/Shoulder Belt Restraints, Ludtke and Associates, July 2010. 
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(d) Electronic Stability Control Systems (ESC) for Medium- and Heavy-Duty (MD/HD) Vehicles </HD>
                    <P>The purpose of an ESC system for MD/HD vehicles is to reduce crashes caused by rollover or by directional loss-of-control. ESC monitors a vehicle's rollover threshold and lateral stability using vehicle speed, wheel speed, steering wheel angle, lateral acceleration, side slip and yaw rate data and upon sensing an impending rollover or loss of directional control situation automatically reduces engine throttle and applies braking forces to individual wheels or sets of wheel to slow the vehicle down and regain directional control. ESC is not currently required in MD/HD vehicles, but could be proposed to be required in these vehicles by NHTSA. FMVSS No. 105, Hydraulic and electric brake systems, requires multipurpose passenger vehicles, trucks and buses with a GVWR greater than 4,536 kg (10,000 pounds) to be equipped with an antilock brake system (ABS). All MD/HD vehicles having a GVWR of more than 10,000 pounds, are required to have ABS installed by that standard. </P>
                    <P>In addition to the existing ABS functionality, ESC requires sensors including a yaw rate sensor, lateral acceleration sensor, steering angle sensor and brake pressure sensor along with a brake solenoid valve. According to data provided by Meritor WABCO, the weight of an ESC system for the model 4S4M tractor is estimated to be around 55.5 pounds, and the weight of the ABS only is estimated to be 45.5 pounds. Thus, we estimate the added weight for the ESC for the vehicle to be 10 (55.5-45.5) pounds. </P>
                    <HD SOURCE="HD3">(2) Summary—Overview of Anticipated Weight Increases </HD>
                    <P>Table VIII-28 summarizes estimates made by NHTSA regarding the weight added by the above discussed standards or likely rulemakings. NHTSA estimates that weight additions required by final rules and likely NHTSA regulations effective in MY 2016 compared to the MY 2010 fleet will increase motor coach vehicle weight by 171 to 279 pounds and will increase other heavy-duty truck weights by 10 pounds.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,14,14">
                        <TTITLE>Table VIII-28—Weight Additions Due to Final Rules or Likely NHTSA Regulations: Comparing MY 2016 to the MY 2010 Baseline Fleet</TTITLE>
                        <BOXHD>
                            <CHED H="1">Standard No.</CHED>
                            <CHED H="1">Added weight in pounds MD/HD vehicle</CHED>
                            <CHED H="1">Added weight in kilograms MD/HD vehicle</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">119</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">121</ENT>
                            <ENT>
                                <SU>a</SU>
                                 0 
                            </ENT>
                            <ENT>
                                <SU>a</SU>
                                 0
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">208 Motor coaches only</ENT>
                            <ENT>161-269</ENT>
                            <ENT>73-122</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">MD/HD Vehicle Electronic Stability Control Systems</ENT>
                            <ENT>10</ENT>
                            <ENT>4.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Total Motor coaches</ENT>
                            <ENT>171-279</ENT>
                            <ENT>77.5-126.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Total All other MD/HD vehicles</ENT>
                            <ENT>10</ENT>
                            <ENT>4.5</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             NHTSA's final rule on Air Brakes, docket NHTSA-2009-0083, dated July 27, 2009, concluded that a small amount of weight would be added to the brake systems but a weight value was not provided.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57345"/>
                    <HD SOURCE="HD3">(3) Effects of Vehicle Mass Reduction on Safety</HD>
                    <P>
                        NHTSA and EPA have been considering the effect of vehicle weight on vehicle safety for the past several years in the context of our joint rulemaking for light-duty vehicle CAFE and GHG standards, consistent with NHTSA's long-standing consideration of safety effects in setting CAFE standards. Combining all modes of impact, the latest analysis by NHTSA for the light-duty 2012-2016 MY vehicle rule 
                        <SU>548</SU>
                        <FTREF/>
                         found that reducing the weight of the heavier light trucks (LT &gt; 3,870) had a positive overall effect on safety, reducing societal fatalities.
                    </P>
                    <FTNT>
                        <P>
                            <SU>548</SU>
                             “Final Regulatory Impact Analysis, Corporate Average Fuel Economy for MY 2012—MY 2016 Passenger Cars and Light Trucks”, NHTSA, March 2010, (Docket No. NHTSA-2009-0059-0344.1).
                        </P>
                    </FTNT>
                    <P>In the context of the current rulemaking for HD fuel consumption and GHG standards, one would expect that reducing the weight of medium-duty trucks similarly would, if anything, have a positive impact on safety. However, given the large difference in weight between light-duty vehicles and medium-duty trucks, and even larger difference between light-duty vehicles and heavy-duty vehicles with loads, the agencies believe that the impact of weight reductions of medium- and heavy-duty trucks would not have a noticeable impact on safety for any of these classes of vehicles.</P>
                    <P>However, the agencies recognize that it is important to conduct further study and research into the interaction of mass, size and safety to assist future rulemakings, and we expect that the collaborative interagency work currently on-going to address this issue for the light-duty vehicle context may also be able to inform our evaluation of safety effects for the final HD program. We intend to continue monitoring this issue going forward, and may take steps in a future rulemaking if it appears that the MD/HD fuel efficiency and GHG standards have unforeseen safety consequences. The American Chemistry Council stated in comments to the agencies that plastics and plastic composite materials provide a new way to lighten vehicles while maintaining passenger safety. They added that properties of plastics including strength to weight ratio, energy absorption, and flexible design make these materials well suited for the manufacture of medium- and heavy-duty vehicles. They submitted supporting analyses with their comments. The National School Transportation Association stated that added structural integrity requirements increase weight of school buses, and thus decrease fuel economy. They asked that if there are safety and fuel economy trade-offs, manufacturers should be able to receive a waiver from the regulation's requirements. Since no weight reduction is required for school buses—or any other vocational vehicle—the agencies do not believe this is an issue with the current regulation.</P>
                    <HD SOURCE="HD2">L. Summary of Costs and Benefits</HD>
                    <P>In this section, the agencies present a summary of costs, benefits, and net benefits of the HD National program. </P>
                    <P>
                        Table VIII-29 shows the estimated annual monetized costs of the final program for the indicated calendar years. The table also shows the net present values of those costs for the calendar years 2012-2050 using both 3 percent and 7 percent discount rates.
                        <SU>549</SU>
                        <FTREF/>
                         Table VIII-30 shows the estimated annual monetized fuel savings of the final program. The table also shows the net present values of those fuel savings for the same calendar years using both 3 percent and 7 percent discount rates. In this table, the aggregate value of fuel savings is calculated using pre-tax fuel prices since savings in fuel taxes do not represent a reduction in the value of economic resources utilized in producing and consuming fuel. Note that fuel savings shown here result from reductions in fleet-wide fuel use. Thus, they grow over time as an increasing fraction of the fleet meets the 2018 standards.
                    </P>
                    <FTNT>
                        <P>
                            <SU>549</SU>
                             For the estimation of the stream of costs and benefits, we assume that after implementation of the final MY 2014-2017 standards, the 2017 standards apply to each year out to 2050.
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,8C,8C,8C,8C,14C,14C">
                        <TTITLE>Table VIII-29—Estimated Monetized Costs of the Final Program </TTITLE>
                        <TDESC>
                            [Millions, 2009$] 
                            <E T="51">a</E>
                        </TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">2020</CHED>
                            <CHED H="1">2030</CHED>
                            <CHED H="1">2040</CHED>
                            <CHED H="1">2050</CHED>
                            <CHED H="1">NPV, Years 2012-2050, 3% discount rate</CHED>
                            <CHED H="1">NPV, Years 2012-2050, 7% discount rate</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Technology Costs</ENT>
                            <ENT>$2,000</ENT>
                            <ENT>$2,200</ENT>
                            <ENT>$2,700</ENT>
                            <ENT>$3,300</ENT>
                            <ENT>$47,400</ENT>
                            <ENT>$24,700</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Technology costs for separate truck segments can be found in Section VIII.B.1.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,8C,8C,8C,8C,14C,14C">
                        <TTITLE>Table VIII-30—Estimated Fuel Savings of the Final Program </TTITLE>
                        <TDESC>
                            [Millions, 2009$] 
                            <E T="51">a</E>
                        </TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">2020</CHED>
                            <CHED H="1">2030</CHED>
                            <CHED H="1">2040</CHED>
                            <CHED H="1">2050</CHED>
                            <CHED H="1">NPV, Years 2012-2050, 3% discount rate</CHED>
                            <CHED H="1">NPV, Years 2012-2050, 7% discount rate</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>$9,600</ENT>
                            <ENT>$20,600</ENT>
                            <ENT>$28,000</ENT>
                            <ENT>$36,500</ENT>
                            <ENT>$375,300</ENT>
                            <ENT>$166,500</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Note:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Fuel savings for separate truck segments can be found in Section VIII.B.1.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        Table VIII-31 presents estimated annual monetized benefits for the indicated calendar years. The table also shows the net present values of those benefits for the calendar years 2012-2050 using both 3 percent and 7 percent discount rates. The table shows the benefits of reduced CO
                        <E T="52">2</E>
                         emissions—and consequently the annual quantified benefits (
                        <E T="03">i.e.,</E>
                         total benefits)—for each of four SCC values estimated by the interagency working group. As discussed in the RIA Section 9.4, there are some limitations to the SCC analysis, including the incomplete way in which the integrated assessment models capture catastrophic and non-catastrophic impacts, their incomplete 
                        <PRTPAGE P="57346"/>
                        treatment of adaptation and technological change, uncertainty in the extrapolation of damages to high temperatures, and assumptions regarding risk aversion.
                    </P>
                    <P>
                        In addition, these monetized GHG benefits exclude the value of net reductions in non-CO
                        <E T="52">2</E>
                         GHG emissions (CH
                        <E T="52">4</E>
                        , N
                        <E T="52">2</E>
                        O, HFC) expected under this action. Although EPA has not monetized the benefits of reductions in non-CO
                        <E T="52">2</E>
                         GHGs, the value of these reductions should not be interpreted as zero. Rather, the net reductions in non-CO
                        <E T="52">2</E>
                         GHGs will contribute to this program's climate benefits, as explained in Section VI.D.
                    </P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,8,8,8,8,14,14">
                        <TTITLE>Table VIII-31—Monetized Benefits Associated With the Final Program </TTITLE>
                        <TDESC>[Millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">2020</CHED>
                            <CHED H="1">2030</CHED>
                            <CHED H="1">2040</CHED>
                            <CHED H="1">2050</CHED>
                            <CHED H="1">
                                NPV, Years 2012-2050, 3% discount rate 
                                <SU>a</SU>
                            </CHED>
                            <CHED H="1">
                                NPV, Years 2012-2050, 7% discount rate 
                                <SU>a</SU>
                            </CHED>
                        </BOXHD>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at each assumed SCC value</E>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>$300</ENT>
                            <ENT>$700</ENT>
                            <ENT>$1,200</ENT>
                            <ENT>$1,700</ENT>
                            <ENT>$9,000</ENT>
                            <ENT>$9,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>1,000</ENT>
                            <ENT>2,500</ENT>
                            <ENT>3,600</ENT>
                            <ENT>4,800</ENT>
                            <ENT>46,100</ENT>
                            <ENT>46,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>1,600</ENT>
                            <ENT>3,800</ENT>
                            <ENT>5,400</ENT>
                            <ENT>7,000</ENT>
                            <ENT>78,000</ENT>
                            <ENT>78,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>3,100</ENT>
                            <ENT>7,500</ENT>
                            <ENT>11,100</ENT>
                            <ENT>14,600</ENT>
                            <ENT>140,400</ENT>
                            <ENT>140,400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>500</ENT>
                            <ENT>1,100</ENT>
                            <ENT>1,500</ENT>
                            <ENT>1,700</ENT>
                            <ENT>19,800</ENT>
                            <ENT>8,800</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>f</SU>
                            </ENT>
                            <ENT>−200</ENT>
                            <ENT>−400</ENT>
                            <ENT>−600</ENT>
                            <ENT>−600</ENT>
                            <ENT>−7,900</ENT>
                            <ENT>−3,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>200</ENT>
                            <ENT>200</ENT>
                            <ENT>2,500</ENT>
                            <ENT>1,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Non-GHG Impacts 
                                <E T="51">c d</E>
                            </ENT>
                            <ENT>B</ENT>
                            <ENT>2,800</ENT>
                            <ENT>2,800</ENT>
                            <ENT>2,800</ENT>
                            <ENT>25,300</ENT>
                            <ENT>9,100</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts 
                                <SU>e</SU>
                            </ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">Total Annual Benefits at each assumed SCC value</E>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>700</ENT>
                            <ENT>4,300</ENT>
                            <ENT>5,100</ENT>
                            <ENT>5,800</ENT>
                            <ENT>48,700</ENT>
                            <ENT>24,300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>1,400</ENT>
                            <ENT>6,100</ENT>
                            <ENT>7,500</ENT>
                            <ENT>8,900</ENT>
                            <ENT>85,800</ENT>
                            <ENT>61,400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>2,000</ENT>
                            <ENT>7,400</ENT>
                            <ENT>9,300</ENT>
                            <ENT>11,100</ENT>
                            <ENT>117,700</ENT>
                            <ENT>93,300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>3,500</ENT>
                            <ENT>11,100</ENT>
                            <ENT>15,000</ENT>
                            <ENT>18,700</ENT>
                            <ENT>180,100</ENT>
                            <ENT>155,700</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. 
                            <E T="03">See</E>
                             Section VIII.F.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Note that “B” indicates unquantified criteria pollutant benefits in the year 2020. For the analysis of the final program, we only modeled the rule's PM
                            <E T="52">2.5</E>
                            - and ozone-related impacts in the calendar year 2030. For the purposes of estimating a stream of future-year criteria pollutant benefits, we assume that the benefits out to 2050 are equal to, and no less than, those modeled in 2030 as reflected by the stream of estimated future emission reductions. The NPV of criteria pollutant-related benefits should therefore be considered a conservative estimate of the potential benefits associated with the final program.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             Non-GHG-related health and welfare impacts (related to PM
                            <E T="52">2.5</E>
                             and ozone exposure) range between $1,300 and $4,200 million in 2030, 2040, and 2050. $2,800 was chosen as the mid-point of this range for the purposes of estimating total benefits across all monetized categories.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             The monetized GHG benefits presented in this analysis exclude the value of changes in non-CO
                            <E T="52">2</E>
                             GHG emissions expected under this program (
                            <E T="03">See</E>
                             RIA Chapter 5). Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>f</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        Table VIII-32 presents estimated annual net benefits for the indicated calendar years. The table also shows the net present values of those net benefits for the calendar years 2012-2050 using both 3 percent and 7 percent discount rates. The table includes the benefits of reduced CO
                        <E T="52">2</E>
                         emissions (and consequently the annual net benefits) for each of four SCC values considered by EPA.
                    </P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,12,12,12,12,12,12">
                        <TTITLE>Table VIII-32—Monetized Net Benefits Associated With the Final Program </TTITLE>
                        <TDESC>[Millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2020</CHED>
                            <CHED H="1">2030</CHED>
                            <CHED H="1">2040</CHED>
                            <CHED H="1">2050</CHED>
                            <CHED H="1">
                                NPV, 3% 
                                <SU>a</SU>
                            </CHED>
                            <CHED H="1">
                                NPV, 7% 
                                <SU>a</SU>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Technology Costs</ENT>
                            <ENT>$2,000</ENT>
                            <ENT>$2,200</ENT>
                            <ENT>$2,700</ENT>
                            <ENT>$3,300</ENT>
                            <ENT>$47,400</ENT>
                            <ENT>$24,700</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>9,600</ENT>
                            <ENT>20,600</ENT>
                            <ENT>28,000</ENT>
                            <ENT>36,500</ENT>
                            <ENT>375,300</ENT>
                            <ENT>166,500</ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Total Annual Benefits at each assumed SCC value 
                                    <SU>b</SU>
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>700</ENT>
                            <ENT>4,300</ENT>
                            <ENT>5,100</ENT>
                            <ENT>5,800</ENT>
                            <ENT>48,700</ENT>
                            <ENT>24,300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>1,400</ENT>
                            <ENT>6,100</ENT>
                            <ENT>7,500</ENT>
                            <ENT>8,900</ENT>
                            <ENT>85,800</ENT>
                            <ENT>61,400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>2,000</ENT>
                            <ENT>7,400</ENT>
                            <ENT>9,300</ENT>
                            <ENT>11,100</ENT>
                            <ENT>117,700</ENT>
                            <ENT>93,300</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>3,500</ENT>
                            <ENT>11,100</ENT>
                            <ENT>15,000</ENT>
                            <ENT>18,700</ENT>
                            <ENT>180,100</ENT>
                            <ENT>155,700</ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Monetized Net Benefits at each assumed SCC value 
                                    <SU>c</SU>
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>8,300</ENT>
                            <ENT>22,700</ENT>
                            <ENT>30,400</ENT>
                            <ENT>39,000</ENT>
                            <ENT>376,600</ENT>
                            <ENT>166,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>9,000</ENT>
                            <ENT>24,500</ENT>
                            <ENT>32,800</ENT>
                            <ENT>42,100</ENT>
                            <ENT>413,700</ENT>
                            <ENT>203,200</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57347"/>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>9,600</ENT>
                            <ENT>25,800</ENT>
                            <ENT>34,600</ENT>
                            <ENT>44,300</ENT>
                            <ENT>445,600</ENT>
                            <ENT>235,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>11,100</ENT>
                            <ENT>29,500</ENT>
                            <ENT>40,300</ENT>
                            <ENT>51,900</ENT>
                            <ENT>508,000</ENT>
                            <ENT>297,500</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Net Benefits equal Fuel Savings minus Technology Costs plus Benefits.
                        </TNOTE>
                    </GPOTABLE>
                    <P>EPA also conducted a separate analysis of the total benefits over the model year lifetimes of the 2014 through 2018 model year trucks. In contrast to the calendar year analysis presented above in Table VIII-29 through Table VIII-32, the model year lifetime analysis below shows the impacts of the final program on vehicles produced during each of the model years 2014 through 2018 over the course of their expected lifetimes. The net societal benefits over the full lifetimes of vehicles produced during each of the five model years from 2014 through 2018 are shown in Table VIII-33 and Table VIII-34 at both 3 percent and 7 percent discount rates, respectively.</P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,12,,12,12,12,12,12">
                        <TTITLE>Table VIII-33—Monetized Technology Costs, Fuel Savings, Benefits, and Net Benefits Associated With the Lifetimes of 2014-2018 Model Year Trucks </TTITLE>
                        <TDESC>[Millions, 2009$; 3% Discount Rate]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">2014 MY</CHED>
                            <CHED H="1">2015 MY</CHED>
                            <CHED H="1">2016 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                            <CHED H="1">2018 MY</CHED>
                            <CHED H="1">Sum</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Technology Costs</ENT>
                            <ENT>$1,600</ENT>
                            <ENT>$1,400</ENT>
                            <ENT>$1,500</ENT>
                            <ENT>$1,600</ENT>
                            <ENT>$2,000</ENT>
                            <ENT>$8,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>9,300</ENT>
                            <ENT>8,300</ENT>
                            <ENT>8,100</ENT>
                            <ENT>11,500</ENT>
                            <ENT>12,900</ENT>
                            <ENT>50,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>500</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>600</ENT>
                            <ENT>700</ENT>
                            <ENT>2,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>−300</ENT>
                            <ENT>−300</ENT>
                            <ENT>−300</ENT>
                            <ENT>−300</ENT>
                            <ENT>−300</ENT>
                            <ENT>−1,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>60</ENT>
                            <ENT>60</ENT>
                            <ENT>60</ENT>
                            <ENT>80</ENT>
                            <ENT>100</ENT>
                            <ENT>400</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts
                                <E T="51">c d</E>
                            </ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at each assumed SCC value </E>
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>200</ENT>
                            <ENT>200</ENT>
                            <ENT>200</ENT>
                            <ENT>300</ENT>
                            <ENT>300</ENT>
                            <ENT>1,200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>1,100</ENT>
                            <ENT>900</ENT>
                            <ENT>900</ENT>
                            <ENT>1,300</ENT>
                            <ENT>1,500</ENT>
                            <ENT>5,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>1,800</ENT>
                            <ENT>1,600</ENT>
                            <ENT>1,500</ENT>
                            <ENT>2,100</ENT>
                            <ENT>2,400</ENT>
                            <ENT>9,400</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>3,300</ENT>
                            <ENT>2,900</ENT>
                            <ENT>2,800</ENT>
                            <ENT>4,000</ENT>
                            <ENT>4,500</ENT>
                            <ENT>17,000</ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at each assumed SCC value </E>
                                <E T="51">a,b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>8,200</ENT>
                            <ENT>7,300</ENT>
                            <ENT>7,000</ENT>
                            <ENT>10,600</ENT>
                            <ENT>11,700</ENT>
                            <ENT>44,800</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>9,100</ENT>
                            <ENT>8,000</ENT>
                            <ENT>7,700</ENT>
                            <ENT>11,600</ENT>
                            <ENT>12,900</ENT>
                            <ENT>49,300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>9,800</ENT>
                            <ENT>8,700</ENT>
                            <ENT>8,300</ENT>
                            <ENT>12,400</ENT>
                            <ENT>13,800</ENT>
                            <ENT>53,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>11,300</ENT>
                            <ENT>10,000</ENT>
                            <ENT>9,600</ENT>
                            <ENT>14,300</ENT>
                            <ENT>15,900</ENT>
                            <ENT>60,600</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates. 
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             The monetized GHG benefits presented in this analysis exclude the value of changes in non-CO
                            <E T="52">2</E>
                             GHG emissions expected under this action (
                            <E T="03">See</E>
                             RIA Chapter 5). Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,12,12,12,12,12,12">
                        <TTITLE>Table VIII-34—Monetized Technology Costs, Fuel Savings, Benefits, and Net Benefits Associated With the Lifetimes of 2014-2018 Model Year Trucks </TTITLE>
                        <TDESC>[Millions, 2009$; 7% Discount Rate]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">2014 MY</CHED>
                            <CHED H="1">2015 MY</CHED>
                            <CHED H="1">2016 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                            <CHED H="1">2018 MY</CHED>
                            <CHED H="1">Sum</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Technology Costs</ENT>
                            <ENT>$1,600</ENT>
                            <ENT>$1,400</ENT>
                            <ENT>$1,500</ENT>
                            <ENT>$1,600</ENT>
                            <ENT>$2,000</ENT>
                            <ENT>$8,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>6,900</ENT>
                            <ENT>5,900</ENT>
                            <ENT>5,600</ENT>
                            <ENT>7,600</ENT>
                            <ENT>8,300</ENT>
                            <ENT>34,400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>400</ENT>
                            <ENT>300</ENT>
                            <ENT>300</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>1,800</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>−200</ENT>
                            <ENT>−200</ENT>
                            <ENT>−200</ENT>
                            <ENT>−200</ENT>
                            <ENT>−200</ENT>
                            <ENT>−1,000</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57348"/>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>50</ENT>
                            <ENT>40</ENT>
                            <ENT>40</ENT>
                            <ENT>60</ENT>
                            <ENT>60</ENT>
                            <ENT>200</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <E T="51">c d</E>
                            </ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at each assumed SCC value </E>
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>200</ENT>
                            <ENT>200</ENT>
                            <ENT>200</ENT>
                            <ENT>300</ENT>
                            <ENT>300</ENT>
                            <ENT>1,200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>1,100</ENT>
                            <ENT>900</ENT>
                            <ENT>900</ENT>
                            <ENT>1,300</ENT>
                            <ENT>1,500</ENT>
                            <ENT>5,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>1,800</ENT>
                            <ENT>1,600</ENT>
                            <ENT>1,500</ENT>
                            <ENT>2,100</ENT>
                            <ENT>2,400</ENT>
                            <ENT>9,400</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>3,300</ENT>
                            <ENT>2,900</ENT>
                            <ENT>2,800</ENT>
                            <ENT>4,000</ENT>
                            <ENT>4,500</ENT>
                            <ENT>17,000</ENT>
                        </ROW>
                        <ROW EXPSTB="06" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at each assumed SCC value</E>
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>5,800</ENT>
                            <ENT>4,800</ENT>
                            <ENT>4,400</ENT>
                            <ENT>6,600</ENT>
                            <ENT>6,900</ENT>
                            <ENT>28,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>6,700</ENT>
                            <ENT>5,500</ENT>
                            <ENT>5,100</ENT>
                            <ENT>7,600</ENT>
                            <ENT>8,100</ENT>
                            <ENT>33,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>7,400</ENT>
                            <ENT>6,200</ENT>
                            <ENT>5,700</ENT>
                            <ENT>8,400</ENT>
                            <ENT>9,000</ENT>
                            <ENT>36,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>8,900</ENT>
                            <ENT>7,500</ENT>
                            <ENT>7,000</ENT>
                            <ENT>10,300</ENT>
                            <ENT>11,100</ENT>
                            <ENT>44,300</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             The monetized GHG benefits presented in this analysis exclude the value of changes in non-CO
                            <E T="52">2</E>
                             GHG emissions expected under this action (
                            <E T="03">See</E>
                             RIA chapter 5). Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero. 
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <P>Table VIII-35 and Table VIII-36 show similar model year estimates to those provided above in Table VIII-33 and Table VIII-34, but reflect specific differences in the NHTSA HD program over the 3 mandatory model years of that program. These include no HD diesel engine impacts prior to MY 2017, assumption of the NHTSA phase-in schedule for HD pickup trucks and vans which achieves 3 year phase-in stability (67%-67%-67%-100% in MY 2016-2019 respectively), the inclusion of combination tractors from MY 2016 forward, and the exclusion of RVs, which are not regulated by NHTSA.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                        <TTITLE>Table VIII-35—Monetized Technology Costs, Fuel Savings, Benefits, and Net Benefits Associated With the Lifetimes of 2016-2018 Model Year Trucks </TTITLE>
                        <TDESC>[Millions, 2009$; 3% Discount Rate]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">2016 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                            <CHED H="1">2018 MY</CHED>
                            <CHED H="1">Sum</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Technology Costs</ENT>
                            <ENT>$1,500</ENT>
                            <ENT>$1,600</ENT>
                            <ENT>$1,700</ENT>
                            <ENT>$5,200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>5,500</ENT>
                            <ENT>10,900</ENT>
                            <ENT>11,500</ENT>
                            <ENT>27,900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>300</ENT>
                            <ENT>600</ENT>
                            <ENT>600</ENT>
                            <ENT>1,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>−300</ENT>
                            <ENT>−300</ENT>
                            <ENT>−300</ENT>
                            <ENT>−900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>40</ENT>
                            <ENT>80</ENT>
                            <ENT>80</ENT>
                            <ENT>200</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <E T="51">c d</E>
                            </ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                        </ROW>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at each assumed SCC value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>100</ENT>
                            <ENT>300</ENT>
                            <ENT>300</ENT>
                            <ENT>700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>600</ENT>
                            <ENT>1,200</ENT>
                            <ENT>1,300</ENT>
                            <ENT>3,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>1,000</ENT>
                            <ENT>2,000</ENT>
                            <ENT>2,200</ENT>
                            <ENT>5,200</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>1,900</ENT>
                            <ENT>3,800</ENT>
                            <ENT>4,000</ENT>
                            <ENT>9,700</ENT>
                        </ROW>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at each assumed SCC value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>4,100</ENT>
                            <ENT>10,000</ENT>
                            <ENT>10,500</ENT>
                            <ENT>24,200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>4,600</ENT>
                            <ENT>10,900</ENT>
                            <ENT>11,500</ENT>
                            <ENT>26,600</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>5,000</ENT>
                            <ENT>11,700</ENT>
                            <ENT>12,400</ENT>
                            <ENT>28,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>5,900</ENT>
                            <ENT>13,500</ENT>
                            <ENT>14,200</ENT>
                            <ENT>33,200</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                            <PRTPAGE P="57349"/>
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             The monetized GHG benefits presented in this analysis exclude the value of changes in non-CO
                            <E T="52">2</E>
                             GHG emissions expected under this program (
                            <E T="03">See</E>
                             RIA Chapter 5). Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,12,12,12,12">
                        <TTITLE>Table VIII-36—Monetized Technology Costs, Fuel Savings, Benefits, and Net Benefits Associated With the Lifetimes of 2016-2018 Model Year Trucks </TTITLE>
                        <TDESC>[Millions, 2009$; 7% Discount Rate]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">2016 MY</CHED>
                            <CHED H="1">2017 MY</CHED>
                            <CHED H="1">2018 MY</CHED>
                            <CHED H="1">Sum</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Technology Costs</ENT>
                            <ENT>$1,500</ENT>
                            <ENT>$1,600</ENT>
                            <ENT>$1,700</ENT>
                            <ENT>$5,200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>3,800</ENT>
                            <ENT>7,200</ENT>
                            <ENT>7,300</ENT>
                            <ENT>18,300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>200</ENT>
                            <ENT>400</ENT>
                            <ENT>400</ENT>
                            <ENT>1,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>−200</ENT>
                            <ENT>−200</ENT>
                            <ENT>−200</ENT>
                            <ENT>−600</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>30</ENT>
                            <ENT>50</ENT>
                            <ENT>50</ENT>
                            <ENT>130</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <E T="51">c d</E>
                            </ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                            <ENT>n/a</ENT>
                        </ROW>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at each assumed SCC value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>100</ENT>
                            <ENT>300</ENT>
                            <ENT>300</ENT>
                            <ENT>700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>600</ENT>
                            <ENT>1,200</ENT>
                            <ENT>1,300</ENT>
                            <ENT>3,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>1,000</ENT>
                            <ENT>2,000</ENT>
                            <ENT>2,200</ENT>
                            <ENT>5,200</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>1,900</ENT>
                            <ENT>3,800</ENT>
                            <ENT>4,000</ENT>
                            <ENT>9,700</ENT>
                        </ROW>
                        <ROW EXPSTB="04" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at each assumed SCC value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>2,400</ENT>
                            <ENT>6,200</ENT>
                            <ENT>6,200</ENT>
                            <ENT>14,300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>2,900</ENT>
                            <ENT>7,100</ENT>
                            <ENT>7,200</ENT>
                            <ENT>16,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>3,300</ENT>
                            <ENT>7,900</ENT>
                            <ENT>8,100</ENT>
                            <ENT>18,800</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>4,200</ENT>
                            <ENT>9,700</ENT>
                            <ENT>9,900</ENT>
                            <ENT>23,300</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             The monetized GHG benefits presented in this analysis exclude the value of changes in non-CO
                            <E T="52">2</E>
                             GHG emissions expected under this program (
                            <E T="03">See</E>
                             RIA Chapter 5). Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD2">M. Employment Impacts</HD>
                    <HD SOURCE="HD3">(1) Introduction</HD>
                    <P>Although analysis of employment impacts is not part of a cost-benefit analysis (except to the extent that labor costs contribute to costs), employment impacts of federal rules are of particular concern in the current economic climate of sizeable unemployment. The recently issued Executive Order 13563, “Improving Regulation and Regulatory Review” (January 18, 2011), states, “Our regulatory system must protect public health, welfare, safety, and our environment while promoting economic growth, innovation, competitiveness, and job creation” (emphasis added). Although EPA and NHTSA did not undertake an employment analysis of the proposed rules, several commenters suggested that we undertake an employment analysis for the final rulemaking. Consistent with Executive order 13563, we have provided a discussion of the potential employment impacts of the Heavy-Duty National Program.</P>
                    <P>
                        In recent rulemakings, EPA has generally focused its employment analysis on the regulated sector and the suppliers of pollution abatement equipment. However, in this action, the agencies are offering qualitative assessment for related industries of interest. For the regulated sector, the agencies rely on Morgenstern 
                        <E T="03">et al.</E>
                         for guidance.
                        <SU>550</SU>
                        <FTREF/>
                         Our general conclusion is that employment impacts in the regulated sector (truck and engine manufacturing) and the parts sectors depend on a combination of factors, some of which are positive, and some of which can be positive or negative. In the related industries, the analysis concludes that effects on employment in the transport and shipping sectors are ambiguous; the fuel supplying sectors may face reduced employment; and there may be increased general employment due to reduction in costs that may be passed along to the transport industry and thus to the public. Because measuring employment effects depends on a variety of inputs and assumptions, some of which are known with more certainty than others, and because we did not include an employment analysis in the NPRM and provide opportunity for public comment on the methods, we here present a qualitative discussion. Because the discussion is qualitative, we do not sum the net effects on employment. We also note that the employment effects may be different in the immediate implementation phase than in the ongoing compliance phase; this analysis 
                        <PRTPAGE P="57350"/>
                        focuses on the longer-term effects rather than the immediate effects.
                    </P>
                    <FTNT>
                        <P>
                            <SU>550</SU>
                             Morgenstern, Richard D., William A. Pizer, and Jhih-Shyang Shih. “Jobs Versus the Environment: An Industry-Level Perspective.” Journal of Environmental Economics and Management 43 (2002): 412-436.
                        </P>
                    </FTNT>
                    <P>
                        When the economy is at full employment, an environmental regulation is unlikely to have much impact on net overall U.S. employment; instead, labor would primarily be shifted from one sector to another. These shifts in employment impose an opportunity cost on society, approximated by the wages of the employees, as regulation diverts workers from other activities in the economy.
                        <SU>551</SU>
                        <FTREF/>
                         In this situation, any effects on net employment are likely to be transitory as workers change jobs. (For example, some workers may need to be retrained or require time to search for new jobs, while shortages in some sectors or regions could bid up wages to attract workers).
                        <SU>552</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>551</SU>
                             Schmalensee, Richard, and Robert N. Stavins. “A Guide to Economic and Policy Analysis of EPA's Transport Rule.” White paper commissioned by Excelon Corporation, March 2011.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>552</SU>
                             Although the employment level would not change substantially, there would be costs to the workers associated with shifting from one activity to another. Jacobson, Louis S., Robert J. LaLonde, and Daniel G. Sullivan, “Earnings Losses of Displaced Workers.” 
                            <E T="03">American Economic Review</E>
                             83(4) (1993): 685-709.
                        </P>
                    </FTNT>
                    <P>
                        It is also true that, if a regulation comes into effect during a period of high unemployment, a change in labor demand due to regulation may affect net overall U.S. employment because the labor market is not in equilibrium. Either negative or positive effects are possible. Schmalansee and Stavins 
                        <SU>553</SU>
                        <FTREF/>
                         point out that net positive employment effects are possible in the near term when the economy is at less than full employment due to the potential hiring of idle labor resources by the regulated sector to meet new requirements (
                        <E T="03">e.g.,</E>
                         to install new equipment) and new economic activity in sectors related to the regulated sector. In the longer run, the net effect on employment is more difficult to predict and will depend on the way in which the related industries respond to the regulatory requirements. As Schmalansee and Stavins note, it is possible that the magnitude of the effect on employment could vary over time, region, and sector, and positive effects on employment in some regions or sectors could be offset by negative effects in other regions or sectors. For this reason, they urge caution in reporting partial employment effects since it can “paint an inaccurate picture of net employment impacts if not placed in the broader economic context.”
                    </P>
                    <FTNT>
                        <P>
                            <SU>553</SU>
                             Ibid.
                        </P>
                    </FTNT>
                    <P>
                        This rulemaking is expected to have a relatively small effect on net employment in the United States through the regulated sector—the truck and engine manufacturer industry—and several related sectors, specifically, industries that supply the truck and engine manufacturing industry (
                        <E T="03">e.g.,</E>
                         truck parts), the trucking industry itself, other industries involved in transporting goods (
                        <E T="03">e.g.,</E>
                         rail and shipping), the petroleum refining sector, and the retail sector. According to the U.S. Bureau of Labor Statistics, about 1.25 million people were employed in the truck transportation industry and about 675,000 people were employed in the motor vehicle parts industry between 2010 and 2011.
                        <SU>554</SU>
                        <FTREF/>
                         Although heavy-duty vehicles (HD) account for approximately 4 percent of the vehicles on the road, these vehicles consume more than 20 percent of on-road gasoline and diesel fuel use. As discussed in Chapter 5 of the RIA, this rulemaking is predicted to reduce the amount of fuel these vehicles use, and thus affect the petroleum refinery industry. The petroleum refinery industry employed about 65,000 people in the U.S. in 2009, the most recent year that employment estimates are available for this sector.
                        <SU>555</SU>
                        <FTREF/>
                         Finally, since the net reduction in cost associated with these rules is expected to lead to lower transportation and shipping costs, in a competitive market a substantial portion of those cost savings will be passed along to consumers, who then will have additional discretionary income (how much of the cost is passed along to consumers depends on market structure and the relative price elasticities).
                    </P>
                    <FTNT>
                        <P>
                            <SU>554</SU>
                             U.S. Bureau of Labor Statistics seasonally-adjusted Current Employment Statistics Survey for the Truck Transportation Industry (NAICS 484) and the Motor Vehicle Parts Manufacturing Industry (NAICS 3363).
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>555</SU>
                             U.S. Census Bureau, 2009 Annual Survey of Manufactures, Published December 3, 2010.
                        </P>
                    </FTNT>
                    <P>
                        Several commenters suggested that the HD vehicle rules would lead to an increase in employment in affected sectors by offering the potential for new employment opportunities in the design and production of new vehicle technologies. Also, these commenters suggested that since the U.S. manufacturers and suppliers are leaders in certain advanced truck technologies, this program has the potential to help them consolidate their leadership and thrive in a global market. In this context, several commenters referred to an assessment by the Union of Concerned Scientists (UCS) and CalStart of the economic and employment benefits of the improved efficiency in HD vehicles.
                        <SU>556</SU>
                        <FTREF/>
                         The study predicts an increase in tens of thousands of jobs between 2020 and 2030, as result of higher fuel efficiency for HD vehicles.
                    </P>
                    <FTNT>
                        <P>
                            <SU>556</SU>
                             Union of Concerned Scientists and CalStart, Delivering Jobs: The Economic Costs and Benefits of Improving Fuel Economy of Heavy Duty Vehicles, July, 2010. 
                            <E T="03">http://www.ucsusa.org/deliveringjobs.</E>
                        </P>
                    </FTNT>
                    <P>
                        While the commenters find unambiguous employment increases as a result of this program, we find employment impacts to involve some complexity, as the discussion that follows shows. In addition, these quantitative estimates were derived using a standard input-output model, though the estimates themselves have not yet been peer reviewed. Input-output (I/O) models do not account for opportunity costs of labor—that is, all employment needs due to the regulatory change will be met by unemployed workers. In addition, I/O models assume no changes in the average use of labor per dollar of output in the affected sectors. For these and other reasons, these may at best be considered an imprecise upper bound on actual employment impacts.
                        <SU>557</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>557</SU>
                             Berck, Peter, and Sandra Hoffman. “Assessing the Employment Impacts of Environmental and Natural Resource Policy.” Environmental and Resource Economics 22 (2002): 133-156.
                        </P>
                    </FTNT>
                    <P>Other commenters suggested that the rulemaking could have a negative impact on jobs if the rule was not appropriate, cost effective, and technologically feasible. These comments focused on the commenter's concern that the desirability, and therefore sales, of certain vehicles could be diminished by a poorly designed rule, or that customers of RVs in particular would not value fuel savings technologies. The preceding discussion of the conceptual framework suggests some potential reasons why consumers may not value fuel savings technologies. If vehicle sales decrease as the comments suggest such an impact could lead to job losses. Such comments were submitted by the National RV Dealers Association (RVDA) and the National Automobile Dealers Association (NADA).</P>
                    <P>
                        Determining the direction of employment effects even in the regulated industry may be difficult due to the presence of competing effects that lead to an ambiguous adjustment in employment as a result of environmental regulation. Morgenstern, Pizer and Shih identify three separate ways that employment levels may change in the regulated industry in response to a new (or more stringent) regulation.
                        <SU>558</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>558</SU>
                             
                            <E T="03">See</E>
                             Morgenstern et al (2002), Note 550, above.
                        </P>
                    </FTNT>
                    <P>
                        • 
                        <E T="03">Demand effect:</E>
                         Higher production costs due to the regulation will lead to higher market prices; higher prices in turn reduce demand for the good, reducing the demand for labor to make 
                        <PRTPAGE P="57351"/>
                        that good. In the authors' words, the “extent of this effect depends on the cost increase passed on to consumers as well as the demand elasticity of industry output”.
                    </P>
                    <P>
                        • 
                        <E T="03">Cost effect:</E>
                         As costs go up, plants add more capital and labor (holding other factors constant), with potentially positive effects on employment; in the authors' words, as “production costs rise, more inputs, including labor, are used to produce the same amount of output”.
                    </P>
                    <P>
                        • 
                        <E T="03">Factor-shift effect:</E>
                         Post-regulation production technologies may be more or less labor-intensive (
                        <E T="03">i.e.,</E>
                         more/less labor is required per dollar of output) (“factor-shift effect”). In the authors' words, “environmental activities may be more labor intensive than conventional production,” meaning that “the amount of labor per dollar of output will rise,” though it is also possible that “cleaner operations could involve automation and less employment, for example”.
                    </P>
                    <FP>The “demand effect” is expected to have a negative effect on employment, the “cost effect” to have a positive effect on employment, and the “factor-shift effect” has an ambiguous effect on employment. Without more information with respect to the magnitudes of these competing effects, it is not possible to predict the total effect environmental regulation will have on employment levels in a regulated sector.</FP>
                    <P>
                        Morgenstern 
                        <E T="03">et al.</E>
                         estimated the effects on employment of spending on pollution abatement for four highly polluting/regulated industries (pulp and paper, plastics, steel, and petroleum refining). They conclude that increased abatement expenditures generally have 
                        <E T="03">not</E>
                         caused a significant change in employment in those sectors. More specifically, their results show that, on average across the industries studied, each additional $1 million spent on pollution abatement results in a (statistically insignificant) net increase of 1.5 jobs. While the specific sectors Morgenstern 
                        <E T="03">et al.</E>
                         examined are different than the sectors considered here, the methodology that Morgenstern 
                        <E T="03">et al.</E>
                         developed is still useful in this context.
                    </P>
                    <HD SOURCE="HD3">(2) Overview of Affected Sectors</HD>
                    <P>The above discussion focuses on employment changes in the regulated sector, but the regulated sector is not the only source of changes in employment. In these rules, the regulated sectors are truck and engine manufacturers; they are responsible for meeting the standards set in these rules. The effects of these rules are also likely to have impacts beyond the directly regulated sector. Some of the related sectors which these rules are also likely to impact include: motor vehicle parts producers, to the extent that the truck and engine industries purchase components rather than manufacture them in-house; shipping and transport, because many companies in this sector purchase trucks and their operating costs will be affected by both higher truck prices and fuel savings; oil refineries due to reduced demand for petroleum-based fuels; and the final retail market, which is where any net cost reductions due to fuel savings are ultimately expected to be experienced. We acknowledge that there may be impacts in other sectors that are not discussed here, but we have sought to include the sectors where we think the impacts are most direct. The following discussion describes the direction of impacts on employment in these industries. The effects of the HD National Program on net U.S. employment depend, not only on their relative magnitudes, but also on employment levels in the overall economy. As previously discussed, in a full-employment economy these sector-specific impacts will be mostly offset by employment changes elsewhere in the economy and would not be expected to result in a net change in jobs. However, in an economy with significant unemployment these changes may affect net employment in the U.S.</P>
                    <HD SOURCE="HD3">(a) Truck and Engine Manufacturers</HD>
                    <P>The regulated sector consists of truck and engine manufacturers. Employment associated with manufacturing trucks and engines may be affected by the demand, cost, and factor-shift effects.</P>
                    <HD SOURCE="HD3">Demand Effect</HD>
                    <P>
                        The demand effect depends on the effects of this rulemaking on HD vehicle sales. If vehicle sales increase, then more people will be required to assemble trucks and their components. If vehicle sales decrease, employment associated with these activities will unambiguously decrease. The effects of this rulemaking on HD vehicle sales depend on the perceived desirability of the new vehicles. Unlike in Morgenstern 
                        <E T="03">et al.'</E>
                        s study, where the demand effect decreased employment, there are countervailing possibilities in the HD market due to the fuel savings resulting from this program. On one hand, this rulemaking will increase vehicle costs; by itself, this effect would reduce vehicle sales. In addition, while decreases in vehicle performance would also decrease sales, this program is not expected to have any negative effect on vehicle performance. On the other hand, this rulemaking will reduce the fuel costs of operating the vehicle; by itself, this effect would increase vehicle sales, especially if potential buyers have an expectation of higher fuel prices. The agencies have not made an estimate of the potential change in vehicle sales. However as discussed in Preamble Section VIII.E.5 the agencies have estimated an increase in vehicle miles traveled (
                        <E T="03">i.e.,</E>
                         VMT rebound) due to the reduced operating costs of trucks meeting these new standards. Since increased VMT is most likely to be met with more drivers and more trucks, our projection of VMT rebound is suggestive of an increase in vehicle sales and truck driver employment (recognizing that these increases may be partially offset by a decrease in manufacturing and sales for equipment of other modes of transportation such as rail cars or barges).
                    </P>
                    <P>
                        As discussed above in Section VIII.A, the agencies find that the reduction in fuel costs associated with this rulemaking outweigh the increase in vehicle cost. This finding is puzzling: market forces should lead truck manufacturers and buyers to install all cost-effective fuel-saving technology, but the agencies find that they have not. Section VIII.A discusses various hypotheses that have been suggested to explain this phenomenon. Some of the explanations suggest that vehicle manufacturers and buyers will benefit from the rulemaking, and vehicle sales will increase; others suggest that the opposite might occur. The agencies do not have strong evidence supporting one specific explanation over another. However, some in the heavy-duty industry indicate the potential for an increase in jobs. As stated by Tom Linebarger (President and Chief Operating Officer of Cummins) and Fred Krupp (President of the Environmental Defense Fund), “Finally, strong environmental standards play a crucial role in getting innovations to market that will create economic opportunity for American companies and jobs for American workers. * * * It helps that Cummins and other forward-thinking businesses view this as an opportunity to innovate and increase international market share.” 
                        <SU>559</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>559</SU>
                             Tom Linebarger (President and Chief Operating Officer of Cummins) and Fred Krupp (President of the Environmental Defense Fund), “Clear rules can create better engines, clean air,” Indianapolis Star, October 28, 2010, p. 19; included as part of Cummins' comments on the rule, Docket Number EPA-HQ-OAR-2010-0162-1765.1[1].
                        </P>
                    </FTNT>
                    <P>
                        One commenter raised the issue of whether there could be a loss of recreation vehicle (RV) industry jobs due to a reduction in the sales of motor homes and towable RVs. As mentioned 
                        <PRTPAGE P="57352"/>
                        above, the effects of this rulemaking on HD vehicle sales depend on the desirability of the new vehicles.
                    </P>
                    <HD SOURCE="HD3">Cost Effect</HD>
                    <P>The truck and engine manufacturing sector has great flexibility in how to respond to the requirement for reduced greenhouse gases and increasing fuel efficiency, with a broad suite of technologies being available to achieve the standards. These technologies are described in detail in Chapter 2 of the RIA. Among these technologies, a distinction can be made between technologies that can be “added on” to conventional trucks versus those that replace features of a conventional truck. “Added on” features, such as auxiliary power units, require additional labor to install the technologies on trucks, thus clearly increasing labor demand (the “cost effect”). The pure cost effect always increases employment, though the net effect on the regulated industry depends on its effects in combination with the demand and factor-shift effects.</P>
                    <HD SOURCE="HD3">Factor-Shift Effect</HD>
                    <P>For “replacement” technologies, the predicted impact on labor demand from regulation depends on the change in the amount of labor used to build and install one type of technology compared to another. In some cases, the new technologies are predicted to be more complex than the existing technologies and may therefore require additional labor installation inputs. In other cases, the opposite may be true: labor intensity may be lower for some replacement technologies.</P>
                    <P>Most of the technologies that are expected to be used to meet these standards are replacement technologies. For example, almost all of the engine improvements involve replacement technologies that are not expected to significantly change the labor requirements. Similarly, regulations of the chassis on vocational vehicles will only require the installation of a different type of tire, which is also not expected to have large labor intensity impacts. Therefore, the potential magnitude of the factor shift effect is expected to be relatively small, though slightly positive due to the additional labor needed to install more complex technologies.</P>
                    <HD SOURCE="HD3">Summary for the Truck and Engine Manufacturing Sector</HD>
                    <P>For the truck and engine manufacturing sector, the demand effect may result in either increased or decreased employment; the cost effect is expected to increase employment; and the factor-shift effect is expected to have a small, possibly slightly positive effect on employment in this sector. The net effect on employment in this sector depends on the sum of these factors.</P>
                    <HD SOURCE="HD3">(b) Motor Vehicle Parts Manufacturing Sector</HD>
                    <P>Some vehicle parts are made in-house and would be included directly in the regulated sector. Others are made by independent suppliers and are not directly regulated, but they will be affected by the rules as well. The parts manufacturing sector will be involved primarily in providing “add-on” parts, or components for replacement parts built internally. If demand for these parts increases due to the increased use of these parts, employment effects in this sector are expected to be positive. If the demand effect in the regulated sectors is significantly negative enough, it is possible that demand for other parts may decrease. As noted, the agencies do not predict a direction for the demand effect.</P>
                    <HD SOURCE="HD3">(c) Transport and Shipping Sectors</HD>
                    <P>
                        Although not directly regulated by these rules, employment effects in the transport and shipping sector are likely to result from these regulations. If the overall cost of shipping a ton of freight decreases because of increased fuel efficiency (taking into account the increase in upfront purchasing costs), in a perfectly competitive industry these costs savings will be passed along to customers. With lower prices, demand for shipping would lead to an increase in demand for truck shipping services (consistent with the VMT rebound effect analysis) and therefore an increase in employment in the truck shipping sector. In addition, if the relative cost of shipping freight via trucks becomes cheaper than shipping by other modes (
                        <E T="03">e.g.,</E>
                         rail or barge), then employment in the truck transport industry is likely to increase. If the trucking industry is more labor intensive than other modes, we would expect this effect to lead to an overall increase in employment in the transport and shipping sectors.
                        <E T="51">560 561</E>
                        <FTREF/>
                         Such a shift would, however, be at the expense of employment in the sectors that are losing business to trucking. The first effect—a gain due to lower shipping costs—is likely to lead to a net increase in employment. The second effect, due to mode-shifting, may increase employment in trucking, but decreases in other shipping sectors.
                    </P>
                    <FTNT>
                        <P>
                            <SU>560</SU>
                             American Transportation Research Institute, “An Analysis of the Operational Costs of Trucking: 2011 Update.” 
                            <E T="03">See http://www.atri-online.org/research/results/Op_Costs_2011_Update_one_page_summary.pdf.</E>
                        </P>
                        <P>
                            <SU>561</SU>
                             Association of American Railroads, “All Inclusive Index and Rail Adjustment Factor.” June 3, 2011. 
                            <E T="03">See http://www.aar.org/~/media/aar/RailCostIndexes/AAR-RCAF-2011-Q3.ashx.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(d) Fuel Suppliers</HD>
                    <P>
                        In addition to the effects on the trucking industry and related truck parts sector, these rules will result in reductions in fuel use that lower GHG emissions. Fuel saving, principally reductions in liquid fuels such as diesel and gasoline, will affect employment in the fuel suppliers industry sectors, principally the Petroleum Refinery sector.
                        <SU>562</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>562</SU>
                             North American Industry Classification System (NAICS) Code 32411.
                        </P>
                    </FTNT>
                    <P>
                        Expected fuel consumption reductions by fuel type, and by heavy-duty vehicle type, can be found in Table VIII-7. These reductions reflect impacts from the new fuel efficiency and GHG standards and include increased consumption from the rebound effect. These fuel savings are monetized in Table VIII-8 by multiplying the reduced fuel consumption in each year by the corresponding estimated average fuel price in that year, using the Reference Case from the AEO 2011. In 2014, the pre-tax fuel savings is $1.2 billion (2009$). While these figures represent a level of fuel savings for purchasers of fuel, it also represents a loss in value of output for the petroleum refinery industry. Since 50 percent of the fuel would have been refined in the U.S., the loss in output to the U.S. Petroleum Refinery sector is $600 million (2009$), which will result in reduced sectoral employment.
                        <SU>563</SU>
                        <FTREF/>
                         Because this sector is very capital-intensive, the employment effect is not expected to be large.
                    </P>
                    <FTNT>
                        <P>
                            <SU>563</SU>
                             EPA and NHTSA estimate that approximately 50 percent of the reduction in fuel consumption resulting from adopting improved fuel GHG standards and fuel efficiency standards is likely to be reflected in reduced U.S. imports of refined fuel, while the remaining 50 percent is expected to be reflected in reduced domestic fuel refining. Of this latter figure, 90 percent is anticipated to reduce U.S. imports of crude petroleum for use as a refinery feedstock, while the remaining 10 percent is expected to reduce U.S. domestic production of crude petroleum. Because we do not expect to see a significant reduction in crude oil production in the U.S., we do not expect this rule to have a significant impact on the Oil and Gas Extraction industry sector in the U.S. (NAICS 211000). For more information, refer to Section VIII-I on the energy security impacts from the program.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(e) Fuel Savings</HD>
                    <P>
                        As a result of this rulemaking, it is anticipated that trucking firms will experience fuel savings. Fuel savings lower the costs of transportation goods and services. In a competitive market, the fuel savings that initially accrue to trucking firms are likely to be passed along as lower transportation costs that, in turn, could result in lower prices for 
                        <PRTPAGE P="57353"/>
                        final goods and services. Alternatively, the savings could be kept internally in firms for investments or for returns to firm owners. In either case, the savings will accrue to some segment of consumers: either owners of trucking firms or the general public. In both cases, the effect will be increased spending by consumers in other sectors of the economy, creating jobs in a diverse set of sectors, including retail and service industries.
                    </P>
                    <P>As mentioned above, the value of fuel savings from this rulemaking is projected to be $1.2 billion (2009$) in 2014, according to Table VIII-8. If all those savings are spent, the fuel savings will stimulate increased employment in the economy through those expenditures. If the fuel savings accrue primarily to firm owners, they may either reinvest the money or take it as profit. Reinvesting the money in firm operations would increase employment directly. If they take the money as profit, to the extent that these owners are wealthier than the general public, they may spend less of the savings, and the resulting employment impacts would be smaller than if the savings went to the public. Thus, while fuel savings are expected to decrease employment in the refinery sector, they are expected to increase employment through increased consumer expenditures.</P>
                    <HD SOURCE="HD3">(3) Summary of Employment Impacts</HD>
                    <P>The net employment effects of this rulemaking are expected to be found throughout several key sectors: truck and engine manufacturers, the trucking industry, truck parts manufacturing, fuel production, and consumers. For the regulated sector, the demand effect may result in either increased or decreased employment, depending on the net effect on HD vehicle sales; the cost effect is expected to increase employment in the regulated sector; and the factor-shift effect is expected to have a small, possibly slightly positive effect on employment, though we cannot definitively say this is the case without quantification. The net effect depends on the combination of these effects. Increased expenditures by truck and engine parts manufacturers are expected to require increased labor to build parts, though this effect also depends on any changes in overall demand and on the labor intensity of production of new parts; increased complexity of technologies may imply increased labor inputs for some parts, though others might be less labor-intensive. It is possible, if access to capital markets is limited, that this rule might displace other HD sector investment, which would reduce employment associated with those activities. Lower prices for shipping are expected to lead to an increase in demand for truck shipping services and, therefore, an increase in employment in that sector, though this effect may be offset somewhat by changes in employment in other shipping sectors. Reduced fuel production implies less employment in the fuel provision sectors. Finally, any net cost savings would be expected to be passed along to some segment of consumers: either the general public or the owners of trucking firms, who are expected then to increase employment through their expenditures. Given the job creation as a result of the $1.2B (2009$) in fuel savings in 2014 and the possible employment increases in the manufacturing and parts sectors, we find it highly unlikely that there would be significant net job losses related to this policy. Given the current level of unemployment, net positive employment effects are possible, especially in the near term, due to the potential hiring of idle labor resources by the regulated sector to plan for and meet new requirements. In the future, when full employment is expected to return, any changes in employment levels in the regulated sector due to this program are mostly expected to be offset by changes in employment in other sectors.</P>
                    <HD SOURCE="HD1">IX. Analysis of the Alternatives</HD>
                    <P>
                        The heavy-duty truck segment is very complex. The sector consists of a diverse group of impacted parties, including engine manufacturers, chassis manufacturers, truck manufacturers, trailer manufacturers, truck fleet owners and the public. The final standards that the agencies have adopted today maximize the environmental and fuel savings benefits of the program while taking into consideration the unique and varied nature of the regulated industries. In developing this final rulemaking, we considered a number of alternatives that could have resulted in potentially fewer or greater GHG and fuel consumption reductions than the program we are finalizing. This section summarizes the alternatives we considered and presents assessments of technology costs, CO
                        <E T="52">2</E>
                         reductions, and fuel savings associated with each alternative. The agencies reduced the number of alternatives analyzed in this final rulemaking compared to the proposal because we did not receive any comments supporting standard setting for a smaller subset than HD pickup trucks, combination tractors, and vocational vehicles (as well as engines installed in vocational vehicles and combination tractors). As discussed below, the agencies have also refined some of the alternatives analyzed in response to the comments received.
                    </P>
                    <HD SOURCE="HD2">A. What are the alternatives that the agencies considered?</HD>
                    <P>In developing alternatives, NHTSA must consider EISA's requirement for the MD/HD fuel efficiency program noted above. 49 U.S.C. 32902(k)(2) and (3) contain the following three requirements specific to the MD/HD vehicle fuel efficiency improvement program: (1) The program must be “designed to achieve the maximum feasible improvement”; (2) the various required aspects of the program must be appropriate, cost-effective, and technologically feasible for MD/HD vehicles; and (3) the standards adopted under the program must provide not less than four model years of lead time and three model years of regulatory stability. In considering these various requirements, NHTSA will also account for relevant environmental and safety considerations.</P>
                    <P>The alternatives below represent a broad range of approaches for a HD vehicle fuel efficiency and GHG emissions program. Details regarding the modeling of each alternative are included in RIA Chapter 6. The alternatives in order of increasing fuel efficiency and GHG emissions reductions are:</P>
                    <HD SOURCE="HD3">(1) Alternative 1: No Action</HD>
                    <P>
                        A “no action” alternative assumes that the agencies would not issue rules regarding a MD/HD fuel efficiency improvement program. This alternative is presented in order for NHTSA to comply with the National Environmental Policy Act (NEPA) and to provide an analytical baseline against which to compare environmental impacts of the other regulatory alternatives.
                        <SU>564</SU>
                        <FTREF/>
                         The agencies refer to this as the “No Action Alternative” or as a “no increase” or “baseline” alternative. As described in RIA Chapter 5, this no-
                        <PRTPAGE P="57354"/>
                        action alternative is considered the reference case.
                    </P>
                    <FTNT>
                        <P>
                            <SU>564</SU>
                             NEPA requires agencies to consider a “no action” alternative in their NEPA analyses and to compare the effects of not taking action with the effects of the reasonable action alternatives to demonstrate the different environmental effects of the action alternatives. 
                            <E T="03">See</E>
                             40 CFR 1502.2(e), 1502.14(d).CEQ has explained that “[T]he regulations require the analysis of the no action alternative even if the agency is under a court order or legislative command to act. This analysis provides a benchmark, enabling decision makers to compare the magnitude of environmental effects of the action alternatives. [
                            <E T="03">See</E>
                             40 CFR 1502.14(c).] * * * Inclusion of such an analysis in the EIS is necessary to inform Congress, the public, and the President as intended by NEPA. [
                            <E T="03">See</E>
                             40 CFR 1500.1(a).]” Forty Most Asked Questions Concerning CEQ's National Environmental Policy Act Regulations, 46 FR 18026 (1981) (emphasis added).
                        </P>
                    </FTNT>
                    <P>The no action alternative first presented in this final action is based on the assumption that the new vehicle fleet continues to perform at the same level as new 2010 vehicles. In this way, it provides a comparison between today's new trucks and the increased cost and reduced fuel consumption of future compliant vehicles.</P>
                    <P>
                        The agencies recognize that there is substantial uncertainty in determining an appropriate baseline against which to compare the effects of the proposed action. The lack of prior regulation of HD fuel efficiency means that there is a lack of historic data regarding trends in this sector. Therefore, in this final action, the agencies have also included an analysis using a baseline derived from annual projections developed by the U.S. Energy Information Administration (EIA) for the Annual Energy Outlook (AEO). For this alternative baseline, the agencies analyzed the new truck fuel economy projections for the Light Commercial Trucks, along with the Medium- and Heavy-Duty Freight Vehicles developed in AEO 2011.
                        <SU>565</SU>
                        <FTREF/>
                         The agencies converted the fuel economy improvements into CO
                        <E T="52">2</E>
                         emissions reductions relative to a 2010 model year (
                        <E T="03">See</E>
                         RIA Chapter 6).
                    </P>
                    <FTNT>
                        <P>
                            <SU>565</SU>
                             U.S. Energy Information Administration. Annual Energy Outlook 2011 Early Release. Last viewed on March 29, 2011 at 
                            <E T="03">http://www.eia.doe.gov/forecasts/aeo/.</E>
                              
                            <E T="03">See</E>
                             Supplemental Tables 7, 63, and 68.
                        </P>
                    </FTNT>
                    <P>The baseline derived from the AEO forecast provides a comparison between the impacts of the proposed standards and EIA's projection of future new truck performance absent regulation. This alternative baseline is informative in showing one possible projection of future vehicle performance based on other factors beyond the regulation the agencies are finalizing today. The AEO forecast makes a number of assumptions that should be noted. AEO 2011 assumes improved fuel efficiency for 8,500-10,000 lb. GVWR heavy-duty pickups due to the light-duty 2012-2016 MY regulations. We project a similar capability for fuel economy improvement as AEO does for this class of vehicles; however, the agencies recognize that absent regulation manufacturers may decline to add the necessary technologies to reach the level of our proposed standards. For medium- and heavy-duty vocational vehicles, AEO 2011 projects a small reduction in fuel efficiency over time (an increase in fuel consumption), similar to that achieved under the MY 2010 baseline. For Class 8 combination tractors, the AEO 2011 baseline projects an annual improvement of approximately 0.3 percent.</P>
                    <P>
                        We are not able to make an estimate of the cost of the AEO 2011 alternative baseline because we are not able to accurately determine the technology mix used in the AEO 2011 analysis to achieve the projected improvements in fuel efficiency. We do know they differ significantly from our own analysis as the EIA projections do not include the full range of technologies considered by the agencies (
                        <E T="03">e.g.,</E>
                         EIA's analysis does not consider the use of idle reduction technologies and diesel auxiliary power units to reduce fuel consumption associated with vehicle hoteling). If one were to assume that the cost of the AEO2011 baseline was proportional to projected improvement relative to our preferred alternative, the total AEO2011 baseline cost estimate would be approximately equal to the total cost of the preferred case, but would vary by category.
                    </P>
                    <HD SOURCE="HD3">(2) Alternative 2: 12 Percent Less Stringent Than the Preferred Alternative</HD>
                    <P>Alternative 2 represents an alternative stringency level to the agencies' preferred approach. Alternative 2 represents a stringency level which is approximately 12 percent less stringent than the preferred approach. The agencies calculated the Alternative 2 stringency level in order to meet two goals. First, we sought to create an alternative that regulated the same engine and vehicle categories as the preferred alternative, but at lower stringency (10-20 percent lower) than the preferred alternative. Second we wanted an alternative that reflected removal of the least cost effective technology that we believed manufacturers would add last in order to meet the preferred alternative. In other words, we wanted an alternative that as closely as possible reflected the last increment in stringency prior to reaching our preferred alternative. Please see Table 2-39 in RIA Chapter 2 for a list of all of the technologies, as well as their cost and relative effectiveness. The resulting Alternative 2 is based on the same technologies used in Alternative 3 except as follows for each of the three categories.</P>
                    <P>The combination tractor standard would be based on the removal of the Advanced SmartWay aerodynamic package and weight reduction technologies, which decreases the average combination tractor GHG emissions and fuel consumption reduction by approximately 1 percent.</P>
                    <P>The HD pickup truck and van standard would be based on removal of the 5 percent mass reduction technology, which decreases the average truck reduction of fuel consumption and GHG emissions by approximately 1.6 percent.</P>
                    <P>The vocational vehicle standard would be based on removal of low rolling resistance tires—in essence meaning that there would be no expected improvement in performance from vocational vehicles, only from engines used to power them. This alternative would also reduce the amount of technologies applied to diesel engines used in vocational vehicles such that the engines achieve a 3 percent reduction in 2014 model year and a 5 percent reduction in 2017 model year, both compared to a 2010 model year baseline,</P>
                    <P>The agencies have decided not to finalize Alternative 2, because as shown below, Alternative 3 is more stringent, is technically feasible, highly cost effective, and results in a greater net benefit to society.</P>
                    <HD SOURCE="HD3">(3) Alternative 3: Preferred Alternative and Final Standards </HD>
                    <P>Alternative 3 represents the agencies' preferred approach. This alternative consists of the finalized fuel efficiency and GHG standards for HD engines, HD pickup trucks and vans, Class 2b through Class 8 vocational vehicles, and Class 7 and 8 combination tractors. Details regarding modeling of this alternative are included in RIA Chapter 5 as the control case. </P>
                    <P>
                        The agencies selected Alternative 3 over Alternatives 4 and 5 described below because the agencies concluded that alternatives 4 and 5 were not technically feasible to achieve given the leadtime provided in these final rules. Hence, we have concluded that Alternative 3 represents the maximum feasible improvement. Section II of this preamble provides an explanation of the consideration that agencies gave to setting more stringent standards based on the application of additional technologies and our reasons for concluding that the identified technologies for each of the vehicle and engine standards that constitute Alternative 3 represented the maximum feasible improvement based on technological feasibility. In general, for advanced technologies, we reached this conclusion for one of two reasons. For some technologies such as Rankine Waste Heat Recovery engine technologies, the agencies have concluded that the technology is still in the research phase and will not be developed fully for new engine production in the time frame of this first regulatory action. In other cases, the agencies concluded that the 
                        <PRTPAGE P="57355"/>
                        manufacturing capacity for technologies such as advanced battery systems for heavy-duty hybrid drivetrains could not be expanded quickly enough to allow for significant vehicle production volume in the time frame of this program. Section III also details the agencies' reasons for not basing standard stringencies on other technologies. 
                    </P>
                    <HD SOURCE="HD3">(4) Alternative 4: 20 Percent More Stringent Than the Preferred Alternative </HD>
                    <P>Alternative 4 represents a modeled alternative which is 20 percent more stringent than the preferred approach. The agencies derived the stringency level based on similar goals as for Alternative 2. Specifically, we wanted an alternative that would reflect an incremental improvement over the preferred alternative based on adding the next most cost effective technology in each of the categories. We believed these were the technologies most likely to be attempted by manufacturers if a more stringent standard were established. As discussed above and in the feasibility discussion in Section III, we are not finalizing Alternative 4 because we do not believe that the technologies used in this alternative can be developed and introduced in the time frame of this rulemaking. We note that the estimated costs for this alternative are denoted as `+c.' The +c is intended to make clear that the cost estimates we are showing do not include additional costs related to pulling ahead the development and expanding manufacturing base for the additional technologies (for example, building new factories in the next few years). The resulting Alternative 4 is based on the same technologies used in Alternative 3 except as follows for each of the three categories. </P>
                    <P>
                        The combination tractor standard would be based on the addition of Rankine waste heat recovery systems and 100 percent application of advanced aerodynamic technologies, such as underbody airflow treatment, advanced gap reduction, rearview cameras to replace mirrors, and wheel system streamlining, to high roof sleeper cab combination tractors. The agencies do not believe that either advanced aerodynamic technologies or Rankine waste heat recovery systems should be used to set the standard for HD engines in 2017 MY because this technology is still in the research phase. The agencies assumed 59 percent of all combination tractors are sleeper cabs and of those, 80 percent are high roof sleeper cabs. The agencies assumed a 12 kWh waste heat recovery system would reduce CO
                        <E T="52">2</E>
                         emissions by 6 percent at a cost of $8,400 per truck.
                        <SU>566</SU>
                        <FTREF/>
                         The estimated reduction in CO
                        <E T="52">2</E>
                         emissions from the engine for this alternative is included in RIA Chapter 6. The impact of 100 percent application of the advanced aerodynamic technology package would lead to a total 20.7 percent reduction in Cd values for high roof sleeper cabs over a 2010 MY baseline tractor. The incremental cost of this technology over the preferred case is $1,027 per vehicle. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>566</SU>
                             TIAX. 2009. Note 198, Page 4-20. 
                        </P>
                    </FTNT>
                    <P>
                        The HD pickup truck and van standard would be based on the addition of the turbocharged, downsized technology to gasoline engines which would bring the total reduction for gasoline HD pickup trucks and vans to 15 percent and match the level of reduction for the diesel pickup trucks. The agencies do not consider this to be a technology from which the 2017MY gasoline HD pickup truck standards should be premised on because we are not yet convinced that turbocharged downsized gasoline engines can be applied to heavy-duty truck applications in a durable manner. We are aware that manufacturers are testing such engines and that in pickup trucks with a duty cycle representing a mix of passenger vehicle and work applications the engines can be durable. However, we are unable to conclude today that such engines will be durable and hence technically feasible when applied in heavy-duty truck applications with an expected higher average load factor. The estimated incremental cost increase to HD pickup trucks and vans to replace a stoichiometric gasoline direct injected V8 engine with coupled cam phasing used in Alternative 3 with a V6 stoichiometric gasoline direct injection DOHC with dual cam phasing, discrete valve lift, and twin turbochargers is estimated to be $1,743.
                        <SU>567</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>567</SU>
                             
                            <E T="03">See</E>
                             RIA chapter 2, Table 2.35. 
                        </P>
                    </FTNT>
                    <P>
                        The vocational vehicle standard would be based on the addition hybrid powertrains to 6 percent of the vehicles. The agencies assumed a 32 percent per vehicle reduction in GHG emissions and fuel consumption due to the hybrid with a cost of $26,667 per vehicle based on the average effectiveness and costs developed in the NAS report for box trucks, bucket trucks, and refuse haulers.
                        <SU>568</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>568</SU>
                             Committee to Assess Fuel Economy Technologies for Medium- and Heavy-Duty Vehicles; National Research Council; Transportation Research Board (2010). “Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-Duty Vehicles,” (“NAS Report”). Washington, DC The National Academies Press. Available electronically from the National Academies Press Web site at 
                            <E T="03">http://www.nap.edu/catalog.php?record_id=12845.</E>
                             Page 146.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">(5) Alternative 5: Trailers Plus Accelerated Hybrid </HD>
                    <P>Alternative 5 builds on Alternative 4 through additional hybrid powertrain application rates in the HD sector and by adding a performance standard for fuel efficiency and GHG emissions to commercial trailers. This alternative includes all elements of Alternative 4 (some of which we already regard as infeasible in the model years covered by the final rules), plus the application of additional hybrid powertrains to the pickup trucks, vans, vocational vehicles, and tractors. In addition, the agencies applied aerodynamic technologies to commercial box trailers, along with tire technologies for all commercial trailers.</P>
                    <P>
                        The agencies set the hybrid penetration for each category such that it represents 50 percent of the HD pickup truck and van segment, 50 percent of vocational vehicles, and 5 percent of tractors in 2017 model year. The agencies have concluded that it is not feasible to achieve hybrid technology penetration rates at or even near these levels in the time frame of this rulemaking. As with Alternative 4, we include a +c in our cost estimates for this alternative to reflect additional costs not estimated by the agencies. The agencies assumed that a hybrid powertrain would provide a 32 percent reduction in CO
                        <E T="52">2</E>
                         emissions and fuel consumption of a vocational vehicle at a projected cost of $26,667 per vehicle, based on the average of the NAS report findings for box trucks, bucket trucks, and refuse vehicles.
                        <SU>569</SU>
                        <FTREF/>
                         The agencies are projecting a cost of $9,000 per vehicle for the HD pickup trucks and vans with an effectiveness of 18 percent, again based on the NAS report.
                        <SU>570</SU>
                        <FTREF/>
                         Lastly, the effectiveness of hybrid powertrains installed in tractors was assumed to be 10 percent at a cost of $25,000 based on the NAS report.
                        <SU>571</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>569</SU>
                             NAS Report. Page 146. 
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>570</SU>
                             NAS Report. Page 146. 
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>571</SU>
                             NAS Report. Page 146. 
                        </P>
                    </FTNT>
                    <P>
                        The combination tractor technology package for Alternative 5 includes the preferred alternative technologies, waste heat recovery and Advanced SmartWay aerodynamic package used in Alternative 4, and application of hybrid powertrains discussed above, in addition to a regulation for commercial trailers pulled by combination tractors. The agencies assumed a box trailer program would mirror the SmartWay program and include tire and aerodynamic requirements. The agencies added low rolling resistance tires to all commercial trailers, which are assumed to have 15 percent lower rolling resistance than the baseline 
                        <PRTPAGE P="57356"/>
                        trailer tire which is equivalent to the target value required by SmartWay. The aerodynamics of the box trailers were assumed to improve the coefficient of drag for the combination tractor-trailer by 10 percent through the application of technologies such as trailer skirts and gap reducers.
                        <SU>572</SU>
                        <FTREF/>
                         These technologies would result in further reductions in drag coefficient and rolling resistance coefficient from the MY 2010 baseline. As stated above for hybrids, the agencies do not believe that it is possible to achieve technology penetration rates at or even near these levels in the time frame of this rulemaking. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>572</SU>
                             The Cd improvement of 10 percent for trailer improvements was derived from the TIAX report, Table 4-26 on page 4-50. 
                        </P>
                    </FTNT>
                    <P>
                        The combination tractor costs for this alternative are equal to the costs in Alternative 4, plus $25,000 for hybrid powertrains in ten percent of tractors, plus the costs of trailers. The costs for the trailer program of Alternative 5 were derived based on the assumption that trailer aerodynamic improvements would cost $2,150 per trailer. This cost assumes side fairings and gap reducers and is based on the ICF cost estimate.
                        <SU>573</SU>
                        <FTREF/>
                         The agencies applied the aerodynamic improvement to only box trailers, which represent approximately 60 percent of the trailer sales. The agencies used $528 per trailer (2014 MY cost) for low rolling resistance based on the agencies' estimate of $66 per tire in the tractor program. Lastly, the agencies assumed the trailer volume is equal to three times the tractor volume based on the 3:1 ratio of trailers to tractors in the market today. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>573</SU>
                             Assumed retail prices of $1,300 for side skirts and $850 for gap reducers based on the ICF Cost Report, page 90. 
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">B. How Do These Alternatives Compare in Overall GHG Emissions Reductions and Fuel Efficiency and Cost? </HD>
                    <P>
                        The agencies analyzed all five alternatives through the MOVES model to evaluate the impact of each alternative, as shown in Table IX-1. The table contains the annual CO
                        <E T="52">2</E>
                         and fuel savings in 2030 and 2050 for each alternative (relative to the reference scenario of Alternative 1), presenting both the total savings across all regulatory categories, and for each regulatory category. 
                    </P>
                    <P>
                        Table IX-2 presents the annual technology costs associated with each alternative (relative to the reference scenario of Alternative 1) in 2030 and 2050 for each regulatory category. In addition, the total annual downstream impacts of NO
                        <E T="52">X</E>
                        , CO, PM, and VOC emissions in 2030 for each of the alternatives are included in Table IX-3. 
                    </P>
                    <P>Lastly, the agencies project the monetized net benefits associated with each alternative in 2030 and 2050 as shown in Table IX-4 and Table IX-5.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s100,12,12,12,12">
                        <TTITLE>
                            Table IX-1—Annual CO
                            <E T="52">2</E>
                             and Oil Reductions Relative to Alternative 1 in 2030 and 2050 
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                Downstream CO
                                <E T="52">2</E>
                                 Reductions 
                                <LI>(MMT) </LI>
                            </CHED>
                            <CHED H="2">2030</CHED>
                            <CHED H="2">2050</CHED>
                            <CHED H="1">
                                Oil reductions 
                                <LI>(billion gallons) </LI>
                            </CHED>
                            <CHED H="2">2030</CHED>
                            <CHED H="2">2050</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Alt. 1 Baseline </ENT>
                            <ENT>0 </ENT>
                            <ENT>0 </ENT>
                            <ENT>0 </ENT>
                            <ENT>0 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 1a AEO 2011 Baseline—Total </ENT>
                            <ENT>39 </ENT>
                            <ENT>90 </ENT>
                            <ENT>3.9 </ENT>
                            <ENT>9.0 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>29 </ENT>
                            <ENT>73 </ENT>
                            <ENT>2.9 </ENT>
                            <ENT>7.1 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>9 </ENT>
                            <ENT>16 </ENT>
                            <ENT>0.9 </ENT>
                            <ENT>1.7 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>1 </ENT>
                            <ENT>2 </ENT>
                            <ENT>0.1 </ENT>
                            <ENT>0.2 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 2 Less Stringent—Total </ENT>
                            <ENT>54 </ENT>
                            <ENT>78 </ENT>
                            <ENT>5.4 </ENT>
                            <ENT>7.7 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>42 </ENT>
                            <ENT>59 </ENT>
                            <ENT>4.2 </ENT>
                            <ENT>5.8 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>7 </ENT>
                            <ENT>11 </ENT>
                            <ENT>0.8 </ENT>
                            <ENT>1.2 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>5 </ENT>
                            <ENT>7 </ENT>
                            <ENT>0.4 </ENT>
                            <ENT>0.7 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 3 Preferred—Total </ENT>
                            <ENT>61 </ENT>
                            <ENT>88 </ENT>
                            <ENT>6.0 </ENT>
                            <ENT>8.7 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>45 </ENT>
                            <ENT>63 </ENT>
                            <ENT>4.4 </ENT>
                            <ENT>6.2 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>8 </ENT>
                            <ENT>13 </ENT>
                            <ENT>0.9 </ENT>
                            <ENT>1.3 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>7 </ENT>
                            <ENT>11 </ENT>
                            <ENT>0.7 </ENT>
                            <ENT>1.1 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 4 More Stringent—Total </ENT>
                            <ENT>74 </ENT>
                            <ENT>107 </ENT>
                            <ENT>7.4 </ENT>
                            <ENT>10.7 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>53 </ENT>
                            <ENT>74 </ENT>
                            <ENT>5.2 </ENT>
                            <ENT>7.3 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>10 </ENT>
                            <ENT>15 </ENT>
                            <ENT>1.0 </ENT>
                            <ENT>1.6 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>11 </ENT>
                            <ENT>18 </ENT>
                            <ENT>1.1 </ENT>
                            <ENT>1.8 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 5 Max Technology—Total </ENT>
                            <ENT>99 </ENT>
                            <ENT>146 </ENT>
                            <ENT>9.8 </ENT>
                            <ENT>14.5 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>61 </ENT>
                            <ENT>85 </ENT>
                            <ENT>6.0 </ENT>
                            <ENT>8.3 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>15 </ENT>
                            <ENT>24 </ENT>
                            <ENT>1.6 </ENT>
                            <ENT>2.5 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>23 </ENT>
                            <ENT>37 </ENT>
                            <ENT>2.2 </ENT>
                            <ENT>3.6 </ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,12,12">
                        <TTITLE>Table IX-2—Technology Cost Projections Relative to Alternative 1 for Each Alternative </TTITLE>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">
                                Technology costs 
                                <SU>a</SU>
                                <LI>(Millions, 2009$) </LI>
                            </CHED>
                            <CHED H="2">2030</CHED>
                            <CHED H="2">2050</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Alt. 1 Baseline </ENT>
                            <ENT>$0 </ENT>
                            <ENT>$0 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Alt. 1a AEO 2011 Baseline—Total 
                                <SU>b</SU>
                            </ENT>
                            <ENT>— </ENT>
                            <ENT>— </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>— </ENT>
                            <ENT>— </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>— </ENT>
                            <ENT>— </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>— </ENT>
                            <ENT>— </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 2 Less Stringent—Total </ENT>
                            <ENT>$1,676 </ENT>
                            <ENT>$2,440 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>743 </ENT>
                            <ENT>1,227 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>817 </ENT>
                            <ENT>1,029 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>117 </ENT>
                            <ENT>185 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 3 Preferred—Total </ENT>
                            <ENT>2,210 </ENT>
                            <ENT>3,287 </ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57357"/>
                            <ENT I="01">Tractors </ENT>
                            <ENT>1,076 </ENT>
                            <ENT>1,777 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>918 </ENT>
                            <ENT>1,156 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>216 </ENT>
                            <ENT>354 </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 4 More Stringent—Total </ENT>
                            <ENT>5,211+c </ENT>
                            <ENT>6,996+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>1,953+c </ENT>
                            <ENT>3,225+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>1,442+c </ENT>
                            <ENT>1,816+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>1,816+c </ENT>
                            <ENT>1,954+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01" O="xl"/>
                            <ENT>17,909+c </ENT>
                            <ENT>27,306+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 5 Max Technology—Total </ENT>
                            <ENT>2,747+c </ENT>
                            <ENT>4,292+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Tractors </ENT>
                            <ENT>5,669+c </ENT>
                            <ENT>7,142+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">HD Pickup Trucks </ENT>
                            <ENT>9,493+c </ENT>
                            <ENT>15,873+c </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Vocational Vehicles </ENT>
                            <ENT>5,211+c </ENT>
                            <ENT>6,996+c </ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             The +c is intended to make clear that the cost estimates we are showing do not include additional costs related to pulling ahead the development and expanding manufacturing base for these technologies. 
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             The agencies did not conduct a cost analysis for the AEO2011 baseline.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s100,12,12,12,12">
                        <TTITLE>Table IX-3—Downstream Impacts Relative to Alternative 1 of Key Non-GHGs for Each Alternative in 2030</TTITLE>
                        <TDESC>[In percent]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">
                                NO
                                <E T="52">X</E>
                            </CHED>
                            <CHED H="1">CO </CHED>
                            <CHED H="1">
                                PM
                                <E T="52">2.5</E>
                            </CHED>
                            <CHED H="1">VOC</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Alt. 1 Baseline</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                            <ENT>0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 1a AEO 2011 Baseline</ENT>
                            <ENT>8.8</ENT>
                            <ENT>1.0</ENT>
                            <ENT>^3.8</ENT>
                            <ENT>7.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 2 Less Stringent</ENT>
                            <ENT>^21.9</ENT>
                            <ENT>^2.0</ENT>
                            <ENT>8.4</ENT>
                            <ENT>^19.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 3 Preferred</ENT>
                            <ENT>^22.0</ENT>
                            <ENT>^2.0</ENT>
                            <ENT>8.5</ENT>
                            <ENT>^19.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 4 More Stringent</ENT>
                            <ENT>^22.5</ENT>
                            <ENT>^2.0</ENT>
                            <ENT>8.7</ENT>
                            <ENT>^19.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Alt. 5 Max Technology</ENT>
                            <ENT>^22.9</ENT>
                            <ENT>^2.1</ENT>
                            <ENT>8.4</ENT>
                            <ENT>^20.0</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table IX-4—Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 Through 2018 Model Year Vehicles </TTITLE>
                        <TDESC>[3% Discount rate, millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">
                                Alt. 1 
                                <LI>baseline</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 2 less 
                                <LI>stringent</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 3 
                                <LI>preferred</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 4 more 
                                <LI>stringent</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 5 max 
                                <LI>technology</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$5,900</ENT>
                            <ENT>$8,100</ENT>
                            <ENT>$20,700+c</ENT>
                            <ENT>$37,200+c</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>45,000</ENT>
                            <ENT>50,100</ENT>
                            <ENT>63,900</ENT>
                            <ENT>79,100</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,100</ENT>
                            <ENT>1,200</ENT>
                            <ENT>1,600</ENT>
                            <ENT>1,900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>5,100</ENT>
                            <ENT>5,700</ENT>
                            <ENT>7,200</ENT>
                            <ENT>9,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>8,400</ENT>
                            <ENT>9,400</ENT>
                            <ENT>12,000</ENT>
                            <ENT>15,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>16,000</ENT>
                            <ENT>17,000</ENT>
                            <ENT>22,000</ENT>
                            <ENT>27,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,400</ENT>
                            <ENT>2,700</ENT>
                            <ENT>3,400</ENT>
                            <ENT>4,200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>^1,300</ENT>
                            <ENT>^1,500</ENT>
                            <ENT>^1,600</ENT>
                            <ENT>^1,600</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>300</ENT>
                            <ENT>400</ENT>
                            <ENT>500</ENT>
                            <ENT>600</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>41,600</ENT>
                            <ENT>44,800</ENT>
                            <ENT>47,100+c</ENT>
                            <ENT>47,000+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>45,600</ENT>
                            <ENT>49,300</ENT>
                            <ENT>52,700+c</ENT>
                            <ENT>54,100+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>48,900</ENT>
                            <ENT>53,000</ENT>
                            <ENT>57,500+c</ENT>
                            <ENT>60,100+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>56,500</ENT>
                            <ENT>60,600</ENT>
                            <ENT>67,500+c</ENT>
                            <ENT>72,100+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: 5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             The monetized GHG benefits presented in this analysis exclude the value of changes in non-CO
                            <E T="52">2</E>
                             GHG emissions expected under this rulemaking (
                            <E T="03">See</E>
                             RIA Chapter 5). Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking. 
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57358"/>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table IX-5—Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 Through 2018 Model Year Vehicles </TTITLE>
                        <TDESC>[7% Discount rate, millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">
                                Alt. 1 
                                <LI>baseline</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 2 less 
                                <LI>stringent</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 3 
                                <LI>preferred</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 4 more 
                                <LI>stringent</LI>
                            </CHED>
                            <CHED H="1">
                                Alt. 5 max 
                                <LI>technology</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$5,900</ENT>
                            <ENT>$8,100</ENT>
                            <ENT>$20,700+c</ENT>
                            <ENT>$37,200+c</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>30,900</ENT>
                            <ENT>34,400</ENT>
                            <ENT>43,800</ENT>
                            <ENT>53,900</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value</E>
                                 
                                <SU>a</SU>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,100</ENT>
                            <ENT>1,200</ENT>
                            <ENT>1,600</ENT>
                            <ENT>1,900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>5,100</ENT>
                            <ENT>5,700</ENT>
                            <ENT>7,200</ENT>
                            <ENT>9,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>8,400</ENT>
                            <ENT>9,400</ENT>
                            <ENT>12,000</ENT>
                            <ENT>15,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>16,000</ENT>
                            <ENT>17,000</ENT>
                            <ENT>22,000</ENT>
                            <ENT>27,000</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,600</ENT>
                            <ENT>1,800</ENT>
                            <ENT>2,300</ENT>
                            <ENT>2,900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>^900</ENT>
                            <ENT>^1,000</ENT>
                            <ENT>^1,100</ENT>
                            <ENT>^1,100</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>200</ENT>
                            <ENT>200</ENT>
                            <ENT>300</ENT>
                            <ENT>400</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value</E>
                                 
                                <SU>a</SU>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>27,000</ENT>
                            <ENT>28,500</ENT>
                            <ENT>26,200+c</ENT>
                            <ENT>20,800+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>31,000</ENT>
                            <ENT>33,000</ENT>
                            <ENT>31,800+c</ENT>
                            <ENT>27,900+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>34,300</ENT>
                            <ENT>36,700</ENT>
                            <ENT>36,600+c</ENT>
                            <ENT>33,900+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>41,900</ENT>
                            <ENT>44,300</ENT>
                            <ENT>46,600+c</ENT>
                            <ENT>45,900+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             The monetized GHG benefits presented in this analysis exclude the value of changes in non-CO
                            <E T="52">2</E>
                             GHG emissions expected under this rulemaking (
                            <E T="03">See</E>
                             RIA chapter 5). Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <P>The agencies also project the monetized net benefits associated with each alternative by vehicle class for the 2014 through 2018 MY vehicles over their lifetimes as shown in Table IX-6 through Table IX-8 at a three percent discount rate for HD pickup trucks &amp; vans, vocational vehicles and combination tractors, respectively, and in Table IX-9 through Table IX-11 at a seven percent discount rate for HD pickup trucks and vans, vocational vehicles and combination tractors, respectively.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table IX-6—Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 Through 2018 Model Year HD Pickup Trucks &amp; Vans</TTITLE>
                        <TDESC>[3% Discount rate, millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Alt. 1 baseline</CHED>
                            <CHED H="1">
                                Alt. 2 less
                                <LI>stringent</LI>
                            </CHED>
                            <CHED H="1">Alt. 3 preferred</CHED>
                            <CHED H="1">Alt. 4 more stringent</CHED>
                            <CHED H="1">Alt. 5 max technology</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$1,780</ENT>
                            <ENT>$1,970</ENT>
                            <ENT>$3,220+c</ENT>
                            <ENT>$9,890+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>3,480</ENT>
                            <ENT>4,060</ENT>
                            <ENT>4,910</ENT>
                            <ENT>7,700</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>190</ENT>
                            <ENT>220</ENT>
                            <ENT>270</ENT>
                            <ENT>420</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>−330</ENT>
                            <ENT>−350</ENT>
                            <ENT>−370</ENT>
                            <ENT>−350</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>40</ENT>
                            <ENT>50</ENT>
                            <ENT>60</ENT>
                            <ENT>90</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="0732">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>500</ENT>
                            <ENT>500</ENT>
                            <ENT>600</ENT>
                            <ENT>900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>800</ENT>
                            <ENT>900</ENT>
                            <ENT>1,100</ENT>
                            <ENT>1,500</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3%  (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,400</ENT>
                            <ENT>1,600</ENT>
                            <ENT>1,900</ENT>
                            <ENT>2,800</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,700</ENT>
                            <ENT>2,110</ENT>
                            <ENT>1,750+c</ENT>
                            <ENT>−1,830+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,100</ENT>
                            <ENT>2,510</ENT>
                            <ENT>2,250+c</ENT>
                            <ENT>−1,130+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,400</ENT>
                            <ENT>2,910</ENT>
                            <ENT>2,750+c</ENT>
                            <ENT>−530+c</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57359"/>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>3,000</ENT>
                            <ENT>3,610</ENT>
                            <ENT>3,550+c</ENT>
                            <ENT>770+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis. Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table IX-7 Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 Through 2018 Model Year Vocational Vehicles</TTITLE>
                        <TDESC>[3% Discount rate, millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Alt. 1 baseline</CHED>
                            <CHED H="1">
                                Alt. 2 less
                                <LI>stringent</LI>
                            </CHED>
                            <CHED H="1">Alt. 3 preferred</CHED>
                            <CHED H="1">Alt. 4 more stringent</CHED>
                            <CHED H="1">Alt. 5 max technology</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$670</ENT>
                            <ENT>$1,140</ENT>
                            <ENT>$9,140+c</ENT>
                            <ENT>$15,840+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>3,420</ENT>
                            <ENT>5,420</ENT>
                            <ENT>8,930</ENT>
                            <ENT>14,270</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>180</ENT>
                            <ENT>290</ENT>
                            <ENT>480</ENT>
                            <ENT>760</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>−540</ENT>
                            <ENT>−650</ENT>
                            <ENT>−670</ENT>
                            <ENT>−500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>40</ENT>
                            <ENT>60</ENT>
                            <ENT>110</ENT>
                            <ENT>170</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="0732">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>200</ENT>
                            <ENT>300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>400</ENT>
                            <ENT>600</ENT>
                            <ENT>1,000</ENT>
                            <ENT>1,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>700</ENT>
                            <ENT>1,100</ENT>
                            <ENT>1,700</ENT>
                            <ENT>2,600</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,300</ENT>
                            <ENT>1,900</ENT>
                            <ENT>3,100</ENT>
                            <ENT>4,700</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,530</ENT>
                            <ENT>4,080</ENT>
                            <ENT>−90+c</ENT>
                            <ENT>−840+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,830</ENT>
                            <ENT>4,580</ENT>
                            <ENT>710+c</ENT>
                            <ENT>360+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>3,130</ENT>
                            <ENT>5,080</ENT>
                            <ENT>1,410+c</ENT>
                            <ENT>1,460+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>3,730</ENT>
                            <ENT>5,880</ENT>
                            <ENT>2,810+c</ENT>
                            <ENT>3,560+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis. Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table IX-8—Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 through 2018 Model Year Combination Tractors </TTITLE>
                        <TDESC>[3% Discount rate, millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Alt. 1 baseline</CHED>
                            <CHED H="1">
                                Alt. 2 less
                                <LI>stringent</LI>
                            </CHED>
                            <CHED H="1">Alt. 3 preferred</CHED>
                            <CHED H="1">Alt. 4 more stringent</CHED>
                            <CHED H="1">Alt. 5 max technology</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$3,300</ENT>
                            <ENT>$4,950</ENT>
                            <ENT>$8,430+c</ENT>
                            <ENT>$11,540+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>38,140</ENT>
                            <ENT>40,650</ENT>
                            <ENT>50,030</ENT>
                            <ENT>57,190</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,030</ENT>
                            <ENT>2,160</ENT>
                            <ENT>2,660</ENT>
                            <ENT>3,040</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>−450</ENT>
                            <ENT>−480</ENT>
                            <ENT>−590</ENT>
                            <ENT>−770</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>230</ENT>
                            <ENT>250</ENT>
                            <ENT>300</ENT>
                            <ENT>350</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <PRTPAGE P="57360"/>
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="0732">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value </E>
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>900</ENT>
                            <ENT>1,000</ENT>
                            <ENT>1,200</ENT>
                            <ENT>1,400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>4,200</ENT>
                            <ENT>4,500</ENT>
                            <ENT>5,600</ENT>
                            <ENT>6,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>7,000</ENT>
                            <ENT>7,500</ENT>
                            <ENT>9,300</ENT>
                            <ENT>11,000</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>13,000</ENT>
                            <ENT>14,000</ENT>
                            <ENT>17,000</ENT>
                            <ENT>20,000</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value </E>
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>37,550</ENT>
                            <ENT>38,630</ENT>
                            <ENT>45,170+c</ENT>
                            <ENT>49,670+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>40,850</ENT>
                            <ENT>42,130</ENT>
                            <ENT>49,570+c</ENT>
                            <ENT>54,770+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>43,650</ENT>
                            <ENT>45,130</ENT>
                            <ENT>53,270+c</ENT>
                            <ENT>59,270+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>49,650</ENT>
                            <ENT>51,630</ENT>
                            <ENT>60,970+c</ENT>
                            <ENT>68,270+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes: </E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis. Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table IX-9: Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 Through 2018 Model Year HD Pickup Trucks &amp; Vans </TTITLE>
                        <TDESC>[7% Discount rate, millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"/>
                            <CHED H="1">Alt. 1 baseline</CHED>
                            <CHED H="1">Alt. 2 less stringent</CHED>
                            <CHED H="1">Alt. 3 preferred</CHED>
                            <CHED H="1">Alt. 4 more stringent</CHED>
                            <CHED H="1">Alt. 5 max technology</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$1,780</ENT>
                            <ENT>$1,970</ENT>
                            <ENT>$3,220+c</ENT>
                            <ENT>$9,890+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,180</ENT>
                            <ENT>2,550</ENT>
                            <ENT>3,090</ENT>
                            <ENT>4,830</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>120</ENT>
                            <ENT>140</ENT>
                            <ENT>170</ENT>
                            <ENT>260</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>−220</ENT>
                            <ENT>−230</ENT>
                            <ENT>−250</ENT>
                            <ENT>−230</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>40</ENT>
                            <ENT>60</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="0732">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>200</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>500</ENT>
                            <ENT>500</ENT>
                            <ENT>600</ENT>
                            <ENT>900</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>800</ENT>
                            <ENT>900</ENT>
                            <ENT>1,100</ENT>
                            <ENT>1,500</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,400</ENT>
                            <ENT>1,600</ENT>
                            <ENT>1,900</ENT>
                            <ENT>2,800</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value</E>
                                 
                                <E T="51">a b</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>430</ENT>
                            <ENT>620</ENT>
                            <ENT>−70+c</ENT>
                            <ENT>−4,770+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>830</ENT>
                            <ENT>1,020</ENT>
                            <ENT>430+c</ENT>
                            <ENT>−4,070+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,130</ENT>
                            <ENT>1,420</ENT>
                            <ENT>930+c</ENT>
                            <ENT>−3,470+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,730</ENT>
                            <ENT>2,120</ENT>
                            <ENT>1,730+c</ENT>
                            <ENT>−2,170+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis. Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57361"/>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table 1X-10—Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 Through 2018 Model Year Vocational Vehicles </TTITLE>
                        <TDESC>[7% Discount rate, millions, 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Alt. 1 baseline</CHED>
                            <CHED H="1">Alt. 2 less stringent</CHED>
                            <CHED H="1">Alt. 3 preferred</CHED>
                            <CHED H="1">Alt. 4 more stringent</CHED>
                            <CHED H="1">Alt. 5 max technology</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$0</ENT>
                            <ENT>$670</ENT>
                            <ENT>$1,140</ENT>
                            <ENT>$9,140+c</ENT>
                            <ENT>$15,840+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,280</ENT>
                            <ENT>3,630</ENT>
                            <ENT>5,970</ENT>
                            <ENT>9,410</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>120</ENT>
                            <ENT>190</ENT>
                            <ENT>320</ENT>
                            <ENT>500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>−380</ENT>
                            <ENT>−450</ENT>
                            <ENT>−460</ENT>
                            <ENT>−350</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>30</ENT>
                            <ENT>40</ENT>
                            <ENT>70</ENT>
                            <ENT>110</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="05">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value</E>
                                 
                                <SU>a</SU>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>100</ENT>
                            <ENT>100</ENT>
                            <ENT>200</ENT>
                            <ENT>300</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>400</ENT>
                            <ENT>600</ENT>
                            <ENT>1,000</ENT>
                            <ENT>1,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>700</ENT>
                            <ENT>1,100</ENT>
                            <ENT>1,700</ENT>
                            <ENT>2,600</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,300</ENT>
                            <ENT>1,900</ENT>
                            <ENT>3,100</ENT>
                            <ENT>4,700</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value</E>
                                 
                                <SU>a</SU>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,480</ENT>
                            <ENT>2,370</ENT>
                            <ENT>−3,040+c</ENT>
                            <ENT>−5,870+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,780</ENT>
                            <ENT>2,870</ENT>
                            <ENT>−2,240+c</ENT>
                            <ENT>−4,670+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,080</ENT>
                            <ENT>3,370</ENT>
                            <ENT>−1,540+c</ENT>
                            <ENT>−3,570+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>2,680</ENT>
                            <ENT>4,170</ENT>
                            <ENT>−140+c</ENT>
                            <ENT>−1,470+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis. Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s100,12,12,12,12,12">
                        <TTITLE>Table 1X-11 Monetized Net Benefits Associated With Each Alternative Relative to Alternative 1 for Lifetime of 2014 Through 2018 Model Year Combination Tractors </TTITLE>
                        <TDESC>[7% Discount rate, millions, 2009]</TDESC>
                        <BOXHD>
                            <CHED H="1">  </CHED>
                            <CHED H="1">Alt. 1 baseline</CHED>
                            <CHED H="1">Alt. 2 less stringent</CHED>
                            <CHED H="1">Alt. 3 preferred</CHED>
                            <CHED H="1">Alt. 4 more stringent</CHED>
                            <CHED H="1">Alt. 5 max technology</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                Truck Program Costs 
                                <SU>d</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>3,300</ENT>
                            <ENT>4,950</ENT>
                            <ENT>8,430+c</ENT>
                            <ENT>11,540+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings (pre-tax)</ENT>
                            <ENT>0</ENT>
                            <ENT>26,420</ENT>
                            <ENT>28,170</ENT>
                            <ENT>34,710</ENT>
                            <ENT>39,680</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Security Impacts (price shock)</ENT>
                            <ENT>0</ENT>
                            <ENT>1,410</ENT>
                            <ENT>1,500</ENT>
                            <ENT>1,850</ENT>
                            <ENT>2,110</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Accidents, Congestion, Noise 
                                <SU>e</SU>
                            </ENT>
                            <ENT>0</ENT>
                            <ENT>−320</ENT>
                            <ENT>−340</ENT>
                            <ENT>−420</ENT>
                            <ENT>−550</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Refueling Savings</ENT>
                            <ENT>0</ENT>
                            <ENT>160</ENT>
                            <ENT>170</ENT>
                            <ENT>210</ENT>
                            <ENT>240</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Non-CO
                                <E T="52">2</E>
                                 GHG Impacts and  Non-GHG Impacts 
                                <SU>c</SU>
                            </ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                            <ENT>N/A</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Reduced CO</E>
                                <E T="52">2</E>
                                  
                                <E T="02">Emissions at Each Assumed SCC Value</E>
                                 
                                <SU>a</SU>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>900</ENT>
                            <ENT>1,000</ENT>
                            <ENT>1,200</ENT>
                            <ENT>1,400</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>4,200</ENT>
                            <ENT>4,500</ENT>
                            <ENT>5,600</ENT>
                            <ENT>6,500</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>7,000</ENT>
                            <ENT>7,500</ENT>
                            <ENT>9,300</ENT>
                            <ENT>11,000</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>13,000</ENT>
                            <ENT>14,000</ENT>
                            <ENT>17,000</ENT>
                            <ENT>20,000</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Monetized Net Benefits at Each Assumed SCC Value</E>
                                 
                                <SU>a</SU>
                                 
                                <SU>b</SU>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>25,270</ENT>
                            <ENT>25,550</ENT>
                            <ENT>29,120+c</ENT>
                            <ENT>31,340+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>28,570</ENT>
                            <ENT>29,050</ENT>
                            <ENT>33,520+c</ENT>
                            <ENT>36,440+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2.5% (avg SCC)</ENT>
                            <ENT>0</ENT>
                            <ENT>31,370</ENT>
                            <ENT>32,050</ENT>
                            <ENT>37,220+c</ENT>
                            <ENT>40,940+c</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3% (95th percentile)</ENT>
                            <ENT>0</ENT>
                            <ENT>37,370</ENT>
                            <ENT>38,550</ENT>
                            <ENT>44,920+c</ENT>
                            <ENT>49,940+c</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             Net present value of reduced CO
                            <E T="52">2</E>
                             emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to the SCC TSD for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Section VIII.G notes that SCC increases over time. Corresponding to the years in this table, the SCC estimates range as follows: for Average SCC at 5%: $5-$16; for Average SCC at 3%: $22-$46; for Average SCC at 2.5%: $36-$66; and for 95th percentile SCC at 3%: $66-$139. Section VIII.G also presents these SCC estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Due to analytical and resource limitations, MY non-GHG emissions (direct PM, VOCs, NO
                            <E T="52">2</E>
                             and SO
                            <E T="52">2</E>
                            ) were not estimated for this analysis. Although EPA has not monetized changes in non-CO
                            <E T="52">2</E>
                             GHGs, the value of any increases or reductions should not be interpreted as zero.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             “+c” indicates additional costs not estimated in this rulemaking.
                            <PRTPAGE P="57362"/>
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             Negative sign represents an increase in Accidents, Congestion, and Noise.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD2">C. What is the agencies' decision regarding trailer standards?</HD>
                    <P>
                        A central theme throughout our HD Program is the recognition of the diversity and complexity of the heavy-duty vehicle segment. Trailers are an important part of this segment and are no less diverse in the range of functions and applications they serve. They are the primary vehicle for moving freight in the United States. The type of freight varies from retail products to be sold in stores, to bulk goods such as stones, to industrial liquids such as chemicals, to equipment such as bulldozers. Semi-trailers come in a large variety of styles—box, refrigerated box, flatbed, tankers, bulk, dump, grain, and many others. The most common type of trailer is the box trailer, but even box trailers come in many different lengths ranging from 28 feet to 53 feet or greater, and in different widths, heights, depths, materials (wood, composites, and/or aluminum), construction (curtain side or hard side), axle configuration (sliding tandem or fixed tandem), and multiple other distinct features. NHTSA and EPA believe trailers impact the fuel consumption and CO
                        <E T="52">2</E>
                         emissions from combination tractors and the agencies see opportunities for reductions. Unlike our experience with trucks and engines, the agencies have very limited experience related to regulating trailers for fuel efficiency or emissions. Likewise, the trailer manufacturing industry has only the most limited experience complying with regulations related to emissions and none with regard to EPA or NHTSA certification and compliance procedures.
                    </P>
                    <P>The agencies broadly solicited comments on controlling fuel efficiency and GHG emissions through eventual trailer regulations as we described in the notice of proposed rulemaking which could set the foundation of a future rulemaking for trailers. 75 FR at 74345-351 (although this was a solicitation for comment regarding future action outside the present rulemaking).</P>
                    <P>The general theme of the comments received was that technologies exist today that can improve trailer efficiency. We received several comments from stakeholders which encouraged the agencies to set fuel efficiency and GHG emissions standards for trailers in this rulemaking. The agencies also received comments supporting a delay in trailer regulations. Specifically, IPI commented that the agencies should regulate trailers at least to some degree, arguing that the agencies' reasoning for not doing so was insufficient and requesting a plan and schedule in the final rule for the future regulation of trailers. One commenter recognized that there are well over 100 trailer manufacturers in the U.S., with almost all being small businesses. They stressed the need for the agencies to reach out to the trailer industry and associations prior to developing a regulatory program for this industry. In addition, they stated that time is needed to develop sufficient research into the area. None of the commenters that supported trailer regulation in this action addressed the complexities of the trailer industry, nor a method to measure trailer aerodynamic improvements.</P>
                    <P>
                        In the NPRM, the agencies discussed relatively conceptual approaches to how a future trailer regulation could be developed; however, we did not provide a proposed test procedure or proposed standard. The agencies proposed to delay the regulation of trailers, as the inclusion would not be feasible at this time due to the lack of a test procedure and the myriad of technical and policy issues not teed up in the NPRM or addressed in comments. Additionally, since a number of trailer manufacturing entities are small businesses, EPA and NHTSA need to allow sufficient time to convene a SBREFA panel to conduct the proper outreach to the potentially impacted stakeholders. As noted earlier, the agencies do not believe it warranted to delay the combination tractor and vocational vehicle standards for the years it will take to resolve these issues. NHTSA and EPA agree that the regulation of trailers, when appropriate, is likely to provide fuel efficiency benefits. We continue to believe that both agencies must perform a more comprehensive assessment of the trailer industry, and therefore that their inclusion at this time is not feasible. Until that time, the SmartWay Transport Partnership Program will continue to encourage the development and use of technologies to reduce fuel consumption and CO
                        <E T="52">2</E>
                         emissions from trailers.
                    </P>
                    <HD SOURCE="HD1">X. Public Participation</HD>
                    <P>The agencies proposed their respective rules on November 30, 2010 (75 FR 74152). Two public hearings were held to provide interested parties the opportunity to present data, views, or arguments concerning the proposal; the first hearing was held in Chicago, IL on November 15, 2010, and the second in Cambridge, MA on November 18, 2010. The public was invited to submit written comments on the proposal during the formal comment period, which ended on January 31, 2011. The agencies received over 41,000 comments—over 3,000 of them unique—from industry, environmental organizations, states, and individuals.</P>
                    <P>The vast majority of commenters supported the central tenets of the proposed HD National Program. That is, there was broad support for a national program which would reduce fuel consumption and GHG emissions from the three heavy-duty regulatory categories—heavy-duty pickup trucks and vans, vocational vehicles, and combination tractors. The agencies received specific comments on many aspects of the proposal.</P>
                    <P>Throughout this notice, the agencies discuss many of the key issues arising from the public comments and the agencies' responses. In addition, the agencies have addressed all of the public comments in the Response to Comments document associated with this final action and located in the docket (Docket ID EPA-HQ-OAR-2010-0162, or NHTSA-2010-0079).</P>
                    <HD SOURCE="HD1">XI. NHTSA's Record of Decision</HD>
                    <P>
                        On May 21, 2010, President Obama issued a memorandum entitled “Improving Energy Security, American Competitiveness and Job Creation, and Environmental Protection through a Transformation of our Nation's Fleet of Cars and Trucks” to the Secretary of Transportation, the Administrator of NHTSA, the Administrator of EPA, and the Secretary of Energy.
                        <SU>574</SU>
                        <FTREF/>
                         The memorandum requested that the Administrators of EPA and NHTSA begin work on a Joint Rulemaking under EISA and the Clean Air Act and establish fuel efficiency and GHG emission standards for commercial medium- and heavy-duty vehicles beginning with MY 2014. The President requested that NHTSA implement fuel efficiency standards and EPA implement GHG emission standards that take into account the market structure of the trucking industry and the unique demands of heavy-duty vehicle applications; seek harmonization with applicable State standards; consider the findings and recommendations published in the National Academy of 
                        <PRTPAGE P="57363"/>
                        Sciences (NAS) report on medium- and heavy-duty truck regulation; strengthen the industry and enhance job creation in the United States; and seek input from all stakeholders, while recognizing the continued leadership role of California and other States.
                    </P>
                    <FTNT>
                        <P>
                            <SU>574</SU>
                             The White House, Office of the Press Secretary, 
                            <E T="03">Presidential Memorandum Regarding Fuel Efficiency Standards</E>
                             (May 21, 2010); The White House, Office of the Press Secretary, 
                            <E T="03">President Obama Directs Administration to Create First-Ever National Efficiency and Emissions Standards for Medium- and Heavy-Duty Trucks</E>
                             (May 21, 2010).
                        </P>
                    </FTNT>
                    <P>
                        In accordance with this policy, this Final Rule promulgates fuel efficiency standards for HD vehicles built in MYs 2014-2018. This Final Rule constitutes the Record of Decision (ROD) for NHTSA's HD vehicle Fuel Efficiency Improvement Program, pursuant to the National Environmental Policy Act (NEPA) and the Council on Environmental Quality's (CEQ) implementing regulations.
                        <SU>575</SU>
                        <FTREF/>
                          
                        <E T="03">See</E>
                         40 CFR1505.2.
                    </P>
                    <FTNT>
                        <P>
                            <SU>575</SU>
                             NEPA is codified at 42 U.S.C. 4321-47. CEQ NEPA implementing regulations are codified at 40 Code of Federal Regulations (CFR) Parts 1500-08.
                        </P>
                    </FTNT>
                    <P>As required by CEQ regulations, this Final Rule and ROD sets forth the following: (1) the agency's decision; (2) alternatives considered by NHTSA in reaching its decision, including the environmentally preferable alternative; (3) the factors balanced by NHTSA in making its decision, including considerations of national policy; (4) how these factors and considerations entered into its decision; and (5) the agency's preferences among alternatives based on relevant factors, including economic and technical considerations and agency statutory missions. This Final Rule also briefly addresses mitigation.</P>
                    <HD SOURCE="HD2">A. The Agency's Decision</HD>
                    <P>In the Draft Environmental Impact Statement (DEIS) and the Final Environmental Impact Statement (FEIS), the agency identified a Preferred Alternative which would set overall fuel consumption standards for HD vehicles and engines. The Preferred Alternative, identified as Alternative 3 in the FEIS, would include standards for engines used in Classes 2b-8 vocational vehicles (except engines in HD pickups and vans, which are regulated as complete vehicles), fuel consumption standards for HD pickups and vans by work factor, overall vehicle fuel consumption standards for Classes 2b-8 vocational vehicles (in gal/1,000 ton-miles), and overall fuel consumption standards for Classes 7 and 8 tractors.</P>
                    <P>
                        The Preferred Alternative identified in the NPRM, DEIS, and FEIS assumed that the vocational vehicle standards would lead to a 10 percent reduction in the tire rolling resistance levels of the tires installed in vocational vehicles. After carefully reviewing and analyzing all of the information in the public record including technical support documents, the FEIS, and public and agency comments submitted on the DEIS, the FEIS, and the NPRM, NHTSA has decided to finalize a standard that includes slightly more stringent requirements for vocational vehicles than those included in the Preferred Alternative analyzed in the FEIS. Subsequent to issuing the proposed rule, NHTSA and EPA conducted a tire testing program to evaluate the tire rolling resistance of 156 different tires across a wide range of truck applications. The results of the study indicate that the baseline tire rolling resistance of this segment of vehicles was better than the level assumed during the proposal. In the final action, therefore, the agencies made the vocational truck standards slightly more stringent than those included as part of the Preferred Alternative for the FEIS, reflecting the better overall performance of tires in this segment. In addition, the agencies have reduced the projected improvement in average tire performance from 10 percent to 5 percent, reflecting the better than expected baseline performance. NHTSA's analysis indicates that the Agency's Decision will result in slightly less fuel savings and CO
                        <E T="52">2</E>
                         emissions reductions than those noted in the EIS.
                        <SU>576</SU>
                        <FTREF/>
                         For environmental impacts associated with the final rule, see Sections VI.C and VII of this Final Rule.
                        <SU>577</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>576</SU>
                             The agencies' analysis indicates that the change results in a decrease in total 2014-2050 fuel savings of about 1.05% percent compared to the Preferred Alternative modeled in the EIS and a corresponding increase in CO
                            <E T="52">2</E>
                             emissions.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>577</SU>
                             The environmental impacts of this decision fall within the spectrum of impacts analyzed in the DEIS and the FEIS. There are no “substantial changes to the proposed action” and there are no “significant new circumstances or information relevant to environmental concerns and bearing on the proposed action or its impacts.” Therefore, consistent with 40 CFR 1502.9(c), no supplement to the EIS is required.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">B. Alternatives Considered by NHTSA in Reaching Its Decision, Including the Environmentally Preferable Alternative</HD>
                    <P>When preparing an EIS, NEPA requires an agency to compare the potential environmental impacts of its proposed action and a reasonable range of alternatives. In the FEIS, NHTSA identified alternatives that represent the spectrum of potential actions the agency could take. The environmental impacts of these alternatives, in turn, represent the spectrum of potential environmental impacts that could result from NHTSA's chosen action in setting fuel efficiency standards for HD vehicles.</P>
                    <P>
                        The FEIS analyzed the impacts of four “action” alternatives, each of which would separately regulate segments of the HD vehicle fleet.
                        <SU>578</SU>
                        <FTREF/>
                         Three of the action alternatives (Alternatives 2, 3 and 4) would regulate the same vehicle categories, but at increasing levels of stringency, with Alternative 2 being the least stringent alternative and Alternative 4 being the most stringent. Alternatives 2 and 4 were constructed by starting with the Preferred Alternative (Alternative 3) and either removing the least cost effective technology in each of the vehicle categories or adding the next most cost effective technology in each of the vehicle categories.
                        <SU>579</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>578</SU>
                             In the DEIS, NHTSA analyzed several alternatives that applied only to specific components and/or segments of the HD vehicle fleet. Many commenters urged the agency to consider alternatives that applied to the entire HD vehicle fleet, reasoning that such an approach would be more consistent with EISA requirements. After careful consideration, NHTSA decided that those alternatives that would set standards for the whole fleet—that is, the engine as well as the entire vehicle for pickup trucks and vans, vocational vehicles, and tractors—best met the purpose and need for this action. It also allows for the achievement of the “maximum feasible improvement” in HD fuel efficiency. Therefore, the FEIS examined impacts associated with four of the action alternatives analyzed in the DEIS.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>579</SU>
                             
                            <E T="03">See</E>
                             Section 2.3.2 of the FEIS.
                        </P>
                    </FTNT>
                    <P>Alternative 5 built on the Preferred Alternative by adding a performance standard for the commercial trailers pulled by tractors and by specifying more stringent standards based on accelerated adoption of hybrid powertrains for HD vehicles. The DEIS and FEIS also analyzed the impacts that would be expected if NHTSA adopted no HD vehicle standards (the No Action Alternative). For a discussion of the environmental impacts associated with each of the alternatives, see Chapters 3 and 4 of the FEIS.</P>
                    <P>Along with the FEIS, the agency conducted a national-scale photochemical air quality modeling and health risk assessment for a subset of the DEIS alternatives to support and confirm the health effects and health-related economic estimates of the EIS. The photochemical air quality study is included as Appendix F to the FEIS. The study used air quality modeling and health benefits analysis tools to quantify the air quality and health-related benefits associated with the alternative HD standards.</P>
                    <P>
                        NHTSA's environmental analysis indicates that Alternative 5 (Trailers and Accelerated Hybrid) is the overall Environmentally Preferable Alternative because it would result in the largest reductions in fuel use and GHG emissions among the alternatives 
                        <PRTPAGE P="57364"/>
                        considered. Under each action alternative the agency considered, the reduction in fuel consumption resulting from higher fuel efficiency causes emissions that occur during fuel refining and distribution to decline. For most pollutants, this decline is more than sufficient to offset the increase in tailpipe emissions that results from increased driving due to the fuel efficiency rebound effect, leading to a net reduction in total emissions from fuel production, distribution, and use. Because it leads to the largest reductions in fuel refining, distribution, and consumption among the alternatives considered, Alternative 5 would also lead to the lowest total emissions of CO
                        <E T="52">2</E>
                         and other GHGs, as well as most criteria air pollutants and mobile source air toxics (MSATs).
                        <SU>580</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>580</SU>
                             Emissions of fine particulate matter (PM
                            <E T="52">2.5</E>
                            ) and diesel particulate matter (DPM) for Alternative 5 are forecast to be lower than under other action alternatives under all analysis years, but slightly higher than under the No Action Alternative in analysis years 2030 and 2050. 
                            <E T="03">See</E>
                             FEIS Tables 3.5.2-1 and 3.5.2-5. This anomaly results from the agencies' assumptions regarding the percent of all long-haul tractors that use an APU rather than the truck's engine as a power source during extended idling (discussed further in FEIS Section 3.2.4.1).
                        </P>
                    </FTNT>
                    <P>
                        NHTSA's environmental analysis indicates that emissions of carbon monoxide (CO), acrolein, acetaldehyde, and formaldehyde are slightly (less than one percent) higher under Alternative 5 than under some other action alternatives and analysis years. This occurs when increased tailpipe emissions are forecast to exceed the reductions in emissions due to reduced fuel refining and distribution. Thus, while Alternative 5 is the environmentally preferable alternative on the basis of CO
                        <E T="52">2</E>
                         and other GHGs, and on the basis of most criteria air pollutants and MSATs, other alternatives are environmentally preferable from the standpoint of some criteria air pollutants and MSATs in some years. Overall, NHTSA considers Alternative 5 to be the Environmentally Preferable Alternative.
                    </P>
                    <P>For additional discussion regarding the alternatives considered by the agency in reaching its decision, including the Environmentally Preferable Alternative, see Section IX of this Final Rule. For a discussion of the environmental impacts associated with each alternative, see Chapters 3 and 4 of the FEIS.</P>
                    <HD SOURCE="HD2">C. Factors Balanced by NHTSA in Making Its Decision</HD>
                    <P>For discussion of the factors balanced by NHTSA in making its decision, see Sections III, VIII and IX of this Final Rule.</P>
                    <HD SOURCE="HD2">D. How the Factors and Considerations Balanced by NHTSA Entered Into Its Decision</HD>
                    <P>For discussion of how the factors and considerations balanced by the agency entered into NHTSA's Decision, see Sections III, VIII and IX of this Final Rule.</P>
                    <HD SOURCE="HD2">E. The Agency's Preferences among Alternatives Based on Relevant Factors, Including Economic and Technical Considerations and Agency Statutory Missions</HD>
                    <P>For discussion of the agency's preferences among alternatives based on relevant factors, including economic and technical considerations, see Section VIII and IX of this Final Rule.</P>
                    <HD SOURCE="HD2">F. Mitigation</HD>
                    <P>
                        The CEQ regulations specify that a ROD must “state whether all practicable means to avoid or minimize environmental harm from the alternative selected have been adopted, and if not, why they were not.” 49 CFR 1505.2(c). The majority of the environmental effects of NHTSA's action are positive, 
                        <E T="03">i.e.</E>
                        , beneficial environmental impacts, and would not raise issues of mitigation. Emissions of criteria and toxic air pollutants are generally projected to decrease under the final standards under all analysis years as compared to their levels under the No Action Alternative. Analysis of the environmental trends reported in the FEIS indicates that the only exceptions to this decline are emissions of PM
                        <E T="52">2.5</E>
                        , DPM, and 1,3-butadiene in some analysis years. 
                        <E T="03">See</E>
                         Chapter 5 of the FEIS. The agency forecasts these emissions increases because, under all the alternatives analyzed in the EIS, increase in vehicle use due to improved fuel efficiency is projected to result in growth in total miles traveled by HD vehicles. The growth in travel outpaces emissions reductions for some pollutants, resulting in projected increases for these pollutants. In addition, NHTSA's NEPA analysis predicted increases in emissions of air toxic and criteria pollutants to occur under certain alternatives based on assumptions about the use of Auxiliary Power Units (APUs). For example, NHTSA's NEPA analysis assumes that some manufacturers will install anti-idling technologies (including APUs) on some vehicle classes to meet the requirements of the rule and that drivers' subsequent use of those APUs will result in an increase in emissions of some criteria and toxic air pollutants.
                    </P>
                    <P>NHTSA's authority to promulgate new fuel efficiency standards for HD vehicles is limited and does not allow regulation of vehicle emissions or of factors affecting vehicle emissions, including driving habits and APU usage. Consequently, under the HD Fuel Efficiency Improvement Program, NHTSA must set standards but is unable to take steps to mitigate the impacts of these standards. Chapter 5 of the FEIS outlines a number of other initiatives across government that could ameliorate the environmental impacts of motor vehicle use, including the use of HD vehicles.</P>
                    <HD SOURCE="HD1">XII. Statutory and Executive Order Reviews</HD>
                    <HD SOURCE="HD2">(1) Executive Order 12866: Regulatory Planning and Review</HD>
                    <P>Under section 3(f)(1) of Executive Order 12866 (58 FR 51735, October 4, 1993), this action is an “economically significant regulatory action” because it is likely to have an annual effect on the economy of $100 million or more. Accordingly, the agencies submitted this action to the Office of Management and Budget (OMB) for review under Executive Order 12866 and any changes made in response to OMB recommendations have been documented in the docket for this action.</P>
                    <P>The agencies are also subject to Executive Order 13563 (76 FR 3821, January 21, 2011) and NHTSA is subject to the Department of Transportation's Regulatory Policies and Procedures. These final rules are also significant within the meaning of the DOT Regulatory Policies and Procedures. Executive Order 12866 additionally requires NHTSA to submit this action to OMB for review and document any changes made in response to OMB recommendations.</P>
                    <P>
                        In addition, the agencies prepared an analysis of the potential costs, fuel savings, and benefits associated with this action. This analysis is contained in the Regulatory Impact Analysis, which is available in the docket for these rules and at the docket Internet address listed under 
                        <E T="02">ADDRESSES</E>
                         above and is briefly summarized in Table XII-1.
                        <PRTPAGE P="57365"/>
                    </P>
                    <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="s150,15">
                        <TTITLE>
                            Table XII-1—Estimated Lifetime Discounted Costs, Benefits, and Net Benefits for 2014-2018 Model Year HD Vehicles 
                            <E T="51">a, b</E>
                        </TTITLE>
                        <TDESC>[Billion 2009$]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Lifetime Present Value 
                                    <SU>c</SU>
                                    —3% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Program Costs</ENT>
                            <ENT>$8.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>50</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Benefits</ENT>
                            <ENT>7.3</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits 
                                <SU>d</SU>
                            </ENT>
                            <ENT>49</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Annualized Value 
                                    <SU>e</SU>
                                    —3% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Annualized Costs</ENT>
                            <ENT>0.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>2.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annualized Benefits</ENT>
                            <ENT>0.4</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits 
                                <SU>d</SU>
                            </ENT>
                            <ENT>2.2</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Lifetime Present Value 
                                    <SU>c</SU>
                                    —7% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Program Costs</ENT>
                            <ENT>8.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>34</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Benefits</ENT>
                            <ENT>6.7</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                Net Benefits 
                                <SU>d</SU>
                            </ENT>
                            <ENT>$33</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">
                                    Annualized Value 
                                    <SU>e</SU>
                                    —7% Discount Rate
                                </E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Annualized Costs</ENT>
                            <ENT>0.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Fuel Savings</ENT>
                            <ENT>2.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annualized Benefits</ENT>
                            <ENT>0.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Net Benefits 
                                <SU>d</SU>
                            </ENT>
                            <ENT>2.5</ENT>
                        </ROW>
                        <TNOTE>
                            <E T="02">Notes:</E>
                        </TNOTE>
                        <TNOTE>
                            <SU>a</SU>
                             The agencies estimated the benefits associated with four different values of a one ton CO
                            <E T="52">2</E>
                             reduction (model average at 2.5% discount rate, 3%, and 5%; 95th percentile at 3%), which each increase over time. For the purposes of this overview presentation of estimated costs and benefits, however, we are showing the benefits associated with the marginal value deemed to be central by the interagency working group on this topic: the model average at 3% discount rate, in 2009 dollars. Section VIII.F provides a complete list of values for the 4 estimates.
                        </TNOTE>
                        <TNOTE>
                            <SU>b</SU>
                             Note that net present value of reduced GHG emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SCC at 5, 3, and 2.5 percent) is used to calculate net present value of SCC for internal consistency. Refer to Section VIII.F for more detail.
                        </TNOTE>
                        <TNOTE>
                            <SU>c</SU>
                             Present value is the total, aggregated amount that a series of monetized costs or benefits that occur over time is worth now (in year 2009 dollar terms), discounting future values to the present.
                        </TNOTE>
                        <TNOTE>
                            <SU>d</SU>
                             Net benefits reflect the fuel savings plus benefits minus costs.
                        </TNOTE>
                        <TNOTE>
                            <SU>e</SU>
                             The annualized value is the constant annual value through a given time period (2012 through 2050 in this analysis) whose summed present value equals the present value from which it was derived.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD2">(2) National Environmental Policy Act </HD>
                    <P>Under NEPA, a Federal agency must prepare an Environmental Impact Statement (EIS) on proposed actions that could significantly impact the quality of the human environment. The requirement is designed to serve three major functions: (1) To provide the decisionmaker(s) with a detailed description of the potential environmental impacts of a proposed action prior to its adoption, (2) to rigorously explore and evaluate all reasonable alternatives, and (3) to inform the public of, and allow comment on, such efforts. </P>
                    <P>
                        In addition, the CEQ regulations emphasize agency cooperation early in the NEPA process and allow a lead agency (in this case, NHTSA) to request the assistance of other agencies that either have jurisdiction by law or have special expertise regarding issues considered in an EIS.
                        <SU>581</SU>
                        <FTREF/>
                         At NHTSA's request, both EPA and the Federal Motor Carrier Safety Administration (FMCSA) agreed to act as cooperating agencies in the preparation of the EIS. EPA has special expertise in climate change and air quality, and FMCSA has special expertise regarding HD vehicles. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>581</SU>
                             40 CFR 1501.6. 
                        </P>
                    </FTNT>
                    <P>
                        NHTSA, in cooperation with EPA and FMCSA, prepared a DEIS, solicited public comments in writing and in public hearings, and prepared an FEIS responding to those comments. Specifically, in June 2010, NHTSA published a Notice of Intent to prepare an EIS for proposed HD fuel efficiency standards.
                        <SU>582</SU>
                        <FTREF/>
                          
                        <E T="03">See</E>
                         40 CFR 1501.7. On October 29, 2010, EPA issued its Notice of Availability of the DEIS,
                        <SU>583</SU>
                        <FTREF/>
                         triggering a public comment period. 
                        <E T="03">See</E>
                         40 CFR 1506.10. The public was invited to submit written comments on the DEIS until January 3, 2011. NHTSA mailed (both electronically and through regular U.S. mail) copies of the DEIS to interested parties, including federal, state, and local officials and agencies; elected officials; environmental and public interest groups; Native American tribes; and other interested individuals. NHTSA and EPA held two hearings on the proposed rules and the EIS, the first on November 15, 2010 in Chicago, Illinois, and the second on November 18, 2010 in Cambridge, Massachusetts. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>582</SU>
                             
                            <E T="03">See</E>
                             Notice of Intent to Prepare an Environmental Impact Statement for New Medium- and Heavy-Duty Fuel Efficiency Improvement Program, 75 FR 33565 (June 14, 2010). 
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>583</SU>
                             Environmental Impact Statements; Notice of Availability, 75 FR 66756 (Oct. 29, 2010); NHTSA also published a separate Notice of Availability describing the program in greater detail, 75 FR 68312 (Nov. 5, 2010). 
                        </P>
                    </FTNT>
                    <P>
                        NHTSA received 3,048 written comments to the DEIS and the NPRM. The transcript from the public hearing and written comments submitted to NHTSA are part of the administrative record and are available on the Federal Docket, which can be found online at 
                        <E T="03">http://www.regulations.gov,</E>
                         Reference Docket No. NHTSA-2010-0079. NHTSA reviewed and analyzed all comments received during the public comment period and revised the FEIS in response 
                        <PRTPAGE P="57366"/>
                        to comments on the EIS where appropriate.
                        <SU>584</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>584</SU>
                             The agency also changed the FEIS as a result of updated information that became available after issuance of the DEIS. 
                        </P>
                    </FTNT>
                    <P>
                        On June 20, 2011, NHTSA submitted the FEIS to EPA. NHTSA also mailed (both electronically and through regular U.S. mail) the FEIS to interested parties and posted the FEIS on its Web site, 
                        <E T="03">http://www.nhtsa.gov/fuel-economy.</E>
                         On June 24, 2011, EPA published a Notice of Availability of the FEIS in the 
                        <E T="04">Federal Register</E>
                        .
                        <SU>585</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>585</SU>
                             76 FR 37111 (June 24, 2011). 
                        </P>
                    </FTNT>
                    <P>
                        The FEIS analyzes and discloses the potential environmental impacts of the proposed HD fuel efficiency standards pursuant to the National Environmental Policy Act (NEPA), the CEQ regulations implementing NEPA, DOT Order 5610.1C, and NHTSA regulations.
                        <SU>586</SU>
                        <FTREF/>
                         The FEIS compares the potential environmental impacts of alternative standards considered by NHTSA for the final rule. It also analyzes direct, indirect, and cumulative impacts and analyzes impacts in proportion to their significance. See the FEIS and the FEIS Summary for a discussion of the environmental impacts analyzed. Docket No. NHTSA-2011-0079. 
                    </P>
                    <FTNT>
                        <P>
                            <SU>586</SU>
                             NEPA is codified at 42 U.S.C. 4321-4347. CEQ NEPA implementing regulations are codified at 40 Code of Federal Regulations (CFR) Parts 1500-1508. NHTSA NEPA implementing regulations are codified at 49 CFR part 520. 
                        </P>
                    </FTNT>
                    <P>
                        The standards adopted in this Final Rule have been informed by analyses contained in the 
                        <E T="03">Medium- and Heavy-Duty Fuel Efficiency Improvement Program, Final Environmental Impact Statement,</E>
                         Docket No. NHTSA-2010-0079 (FEIS). For purposes of this rulemaking, the agency referred to an extensive compilation of technical and policy documents available in NHTSA's EIS/Rulemaking docket and EPA's docket. NHTSA's EIS and rulemaking docket and EPA's rulemaking docket can be found online at 
                        <E T="03">http://www.regulations.gov,</E>
                         Reference Docket Nos.: NHTSA-2010-0079 (EIS and Rulemaking) and EPA-HQ-OAR-2010-0162 (EPA Rulemaking).
                    </P>
                    <P>Based on the foregoing, the agency concludes that the environmental analysis and public involvement process complies with NEPA implementing regulations issued by CEQ, DOT Order 5610.1C, and NHTSA regulations. </P>
                    <HD SOURCE="HD3">(a) Clean Air Act (CAA) </HD>
                    <P>The CAA (42 U.S.C. § 7401) is the primary Federal legislation that addresses air quality. Under the authority of the CAA and subsequent amendments, the EPA has established National Ambient Air Quality Standards (NAAQS) for six criteria pollutants, which are relatively commonplace pollutants that can accumulate in the atmosphere as a result of normal levels of human activity. The EPA is required to review each NAAQS every five years and to change the standards if warranted by new scientific information. </P>
                    <P>The air quality of a geographic region is usually assessed by comparing the levels of criteria air pollutants found in the atmosphere to the applicable NAAQS. Concentrations of criteria pollutants within the air mass of a region are measured in parts of a pollutant per million parts of air (ppm) or in micrograms of a pollutant per cubic meter (μg/m3) of air present in repeated air samples taken at designated monitoring locations. These ambient concentrations of each criteria pollutant are compared to the permissible levels specified by the NAAQS in order to assess whether the region's air quality attains the standard. </P>
                    <P>When the measured concentrations of a criteria pollutant within a geographic region are below those permitted by the NAAQS, the region is designated by the EPA as an attainment area for that pollutant, while regions where concentrations of criteria pollutants exceed the NAAQS are called nonattainment areas (NAAs). Former NAAs that have attained the NAAQS are designated as maintenance areas. Each NAA is required to develop and implement a State Implementation Plan (SIP), which documents how the region will reach attainment levels within time periods specified in the CAA. In maintenance areas, the SIP documents how the State intends to maintain compliance with the NAAQS. When EPA changes a NAAQS, States must revise their SIPs to address how they will attain the new standard. </P>
                    <P>Section 176(c) of the CAA prohibits Federal agencies from taking actions in nonattainment or maintenance areas that do not “conform” to the State Implementation Plan (SIP). The purpose of this conformity requirement is to ensure that Federal activities do not interfere with meeting the emissions targets in the SIPs, do not cause or contribute to new violations of the NAAQS, and do not impede the ability to attain or maintain the NAAQS. The EPA has issued two sets of regulations to implement CAA Section 176(c): </P>
                    <P>
                        • The Transportation Conformity Rules (40 CFR part 93, subpart A), which apply to transportation plans, programs, and projects funded or approved under U.S.C. Title 23 or the Federal Transit Laws (49 U.S.C. chapter 53). Projects funded by the Federal Highway Administration (FHWA) or the Federal Transit Administration (FTA) usually are subject to transportation conformity. 
                        <E T="03">See</E>
                         40 CFR 93.102. 
                    </P>
                    <P>
                        • The General Conformity Rules (40 CFR part 93, subpart B) apply to all other federal actions not covered under transportation conformity. The General Conformity Rule established emissions thresholds, or 
                        <E T="03">de minimis</E>
                         levels, for use in evaluating the conformity of a project. If the net emissions increases attributable to the project are less than these thresholds, then the project is presumed to conform and no further conformity evaluation is required. If the emissions increases exceed any of these thresholds, then a conformity determination is required. The conformity determination can entail air quality modeling studies, consultation with EPA and state air quality agencies, and commitments to revise the SIP or to implement measures to mitigate air quality impacts. 
                    </P>
                    <P>The final fuel consumption standards and associated program activities are not funded or approved under U.S.C. Title 23 or the Federal Transit Act. Further, NHTSA's HD Fuel Efficiency Improvement Program is not a highway or transit project funded or approved by FHWA or FTA. Accordingly, the standards and associated rulemakings are not subject to transportation conformity. </P>
                    <P>Under the General Conformity Rule, a conformity determination is required where a Federal action would result in total direct and indirect emissions of a criteria pollutant or precursor equaling or exceeding the rates specified in 40 CFR 93.153(b)(1) and (2) for nonattainment and maintenance areas. As explained below, NHTSA's action results in neither direct nor indirect emissions as defined in 40 CFR 93.152.</P>
                    <P>The General Conformity Rule defines direct emissions as those of “a criteria pollutant or its precursors that are caused or initiated by the Federal action and originate in a nonattainment or maintenance area and occur at the same time and place as the action and are reasonably foreseeable.” 40 CFR 93.152. Because NHTSA's action only sets fuel consumption standards for HD vehicles, it causes no direct emissions within the meaning of the General Conformity Rule. </P>
                    <P>
                        Indirect emissions under the General Conformity Rule include emissions or precursors: (1) That are caused or initiated by the Federal action and originate in the same nonattainment or maintenance area but occur at a different time or place than the action; (2) that are reasonably foreseeable; (3) 
                        <PRTPAGE P="57367"/>
                        that the agency can practically control; and (4) for which the agency has continuing program responsibility. 40 CFR 93.152. Each element of the definition must be met to qualify as an indirect emission. NHTSA has determined that, for the purposes of general conformity, emissions that occur as a result of the fuel consumption standards are not caused by NHTSA's action, but rather occur due to subsequent activities that the agency cannot practically control. “[E]ven if a Federal licensing, rulemaking, or other approving action is a required initial step for a subsequent activity that causes emissions, such initial steps do not mean that a Federal agency can practically control any resulting emissions” (75 FR 17254, 17260; 40 CFR 93.152). NHTSA cannot control vehicle manufacturers' production of HD vehicles and consumer purchasing and driving behavior. For the purposes of analyzing the environmental impacts of this action under NEPA, NHTSA has made assumptions regarding the technologies manufacturers will install and how companies will react to increased fuel efficiency standards. Specifically, NHTSA's NEPA analysis predicted increases in air toxic and criteria pollutants to occur in some nonattainment areas under certain alternatives based on assumptions about the use of APUs and the rebound effect. For example, NHTSA's NEPA analysis assumes that some manufacturers will install anti-idling technologies (including APUs) on some vehicle classes to meet the requirements of the program and that drivers' subsequent use of those APUs will result in an increase in some criteria pollutants. However, neither NHTSA's nor EPA's rules mandate this specific manufacturer decision or driver behavior—the program does not require that manufacturers install APUs to meet the requirements of the rule, and it does not require drivers to use anti-idling technologies instead of, for example, shutting off all power when parked. Similarly, NHTSA's NEPA analysis assumes a rebound effect, wherein the standards could create an incentive for additional vehicle use by reducing the cost of fuel consumed per mile driven. This rebound effect is an estimate of how NHTSA assumes some drivers will react to the rule and is useful for estimating the costs and benefits of the rule, but the agency does not have the statutory authority, or the program responsibility, to control, among other items discussed above, the actual vehicle miles traveled by drivers. Accordingly, changes in any emissions that result from NHTSA's HD vehicle Fuel Efficiency Improvement Program are not changes that the agency can practically control; therefore, this action causes no indirect emissions and a general conformity determination is not required. 
                    </P>
                    <HD SOURCE="HD3">(b) National Historic Preservation Act (NHPA) </HD>
                    <P>
                        The NHPA (16 U.S.C. 470) sets forth government policy and procedures regarding “historic properties”—that is, districts, sites, buildings, structures, and objects included in or eligible for the National Register of Historic Places (NRHP). 
                        <E T="03">See also</E>
                         36 CFR part 800. Section 106 of the NHPA requires federal agencies to “take into account” the effects of their actions on historic properties. The agency concludes that the NHPA is not applicable to NHTSA's Decision because it does not directly involve historic properties. The agency has, however, conducted a qualitative review of the related direct, indirect, and cumulative impacts, positive or negative, of the alternatives on potentially affected resources, including historic and cultural resources. 
                        <E T="03">See</E>
                         Section 4.5 of the FEIS. 
                    </P>
                    <HD SOURCE="HD3">(c) Executive Order 12898 (Environmental Justice) </HD>
                    <P>Under Executive Order 12898, Federal agencies are required to identify and address any disproportionately high and adverse human health or environmental effects of its programs, policies, and activities on minority populations and low-income populations. NHTSA complied with this order by identifying and addressing the potential effects of the alternatives on minority and low-income populations in Sections 3.6 and 4.6 of the FEIS, where the agency set forth a qualitative analysis of the cumulative effects of the alternatives on these populations. </P>
                    <HD SOURCE="HD3">(d) Fish and Wildlife Conservation Act (FWCA) </HD>
                    <P>The FWCA (16 U.S.C. § 2900) provides financial and technical assistance to States for the development, revision, and implementation of conservation plans and programs for nongame fish and wildlife. In addition, the Act encourages all Federal agencies and departments to utilize their authority to conserve and to promote conservation of nongame fish and wildlife and their habitats. The agency concludes that the FWCA is not applicable to NHTSA's Decision because it does not directly involve fish and wildlife. </P>
                    <HD SOURCE="HD3">(e) Coastal Zone Management Act (CZMA) </HD>
                    <P>The Coastal Zone Management Act (16 U.S.C. 1450) provides for the preservation, protection, development, and (where possible) restoration and enhancement of the nation's coastal zone resources. Under the statute, States are provided with funds and technical assistance in developing coastal zone management programs. Each participating State must submit its program to the Secretary of Commerce for approval. Once the program has been approved, any activity of a Federal agency, either within or outside of the coastal zone, that affects any land or water use or natural resource of the coastal zone must be carried out in a manner that is consistent, to the maximum extent practicable, with the enforceable policies of the State's program. </P>
                    <P>
                        The agency concludes that the CZMA is not applicable to NHTSA's Decision because it does not involve an activity within, or outside of, the nation's coastal zones. The agency has, however, conducted a qualitative review of the related direct, indirect, and cumulative impacts, positive or negative, of the alternatives on potentially affected resources, including coastal zones. 
                        <E T="03">See</E>
                         Section 4.5 of the FEIS.
                    </P>
                    <HD SOURCE="HD3">(f) Endangered Species Act (ESA)</HD>
                    <P>
                        Under Section 7(a)(2) of the Endangered Species Act (ESA) federal agencies must ensure that actions they authorize, fund, or carry out are “not likely to jeopardize” federally listed threatened or endangered species or result in the destruction or adverse modification of the designated critical habitat of these species. 16 U.S.C. 1536(a)(2). If a federal agency determines that an agency action may affect a listed species or designated critical habitat, it must initiate consultation with the appropriate Service—the U.S. Fish and Wildlife Service (FWS) of the Department of the Interior and/or National Oceanic and Atmospheric Administration's National Marine Fisheries Service (NOAA Fisheries Service) of the Department of Commerce, depending on the species involved—in order to ensure that the action is not likely to jeopardize the species or destroy or adversely modify designated critical habitat. 
                        <E T="03">See</E>
                         50 CFR 402.14. Under this standard, the federal agency taking action evaluates the possible effects of its action and determines whether to initiate consultation. 
                        <E T="03">See</E>
                         51 FR 19926, 19949 (Jun. 3, 1986).
                        <PRTPAGE P="57368"/>
                    </P>
                    <P>
                        NHTSA received one comment to the Scoping notice for the HD program indicating that the agency should engage in consultation under Section 7 of the ESA when analyzing the overall impact of GHG emissions and other air pollutants. NHTSA has reviewed applicable ESA regulations, case law, guidance, and rulings in assessing the potential for impacts to threatened and endangered species from the HD fuel efficiency standards. Consistent with NHTSA's determination under the agency's most recent light-duty fuel economy rule, NHTSA believes that the agency's action, which will result in nationwide fuel savings and, consequently, emissions reductions from what would otherwise occur in the absence of the agency's action, does not require consultation with NOAA Fisheries Service or the FWS under Section 7(a)(2) of the ESA. For discussion of the agency's rationale in the context of the CAFE program, see Appendix G of the FEIS for MYs 2012-2016, available at: 
                        <E T="03">http://www.nhtsa.gov/fuel-economy.</E>
                         Accordingly, NHTSA has concluded its review of this action under Section 7 of the ESA.
                    </P>
                    <HD SOURCE="HD3">(g) Floodplain Management (Executive Order 11988 &amp; DOT Order 5650.2)</HD>
                    <P>These Orders require Federal agencies to avoid the long- and short-term adverse impacts associated with the occupancy and modification of floodplains, and to restore and preserve the natural and beneficial values served by floodplains. Executive Order 11988 also directs agencies to minimize the impact of floods on human safety, health and welfare, and to restore and preserve the natural and beneficial values served by floodplains through evaluating the potential effects of any actions the agency may take in a floodplain and ensuring that its program planning and budget requests reflect consideration of flood hazards and floodplain management. DOT Order 5650.2 sets forth DOT policies and procedures for implementing Executive Order 11988. The DOT Order requires that the agency determine if a proposed action is within the limits of a base floodplain, meaning it is encroaching on the floodplain, and whether this encroachment is significant. If significant, the agency is required to conduct further analysis of the proposed action and any practicable alternatives. If a practicable alternative avoids floodplain encroachment, then the agency is required to implement it.</P>
                    <P>
                        In this rulemaking, the agency is not occupying, modifying and/or encroaching on floodplains. The agency, therefore, concludes that the Orders are not applicable to NHTSA's Decision. The agency has, however, conducted a review of the alternatives on potentially affected resources, including floodplains. 
                        <E T="03">See</E>
                         Section 4.5 of the FEIS.
                    </P>
                    <HD SOURCE="HD3">(h) Preservation of the Nation's Wetlands (Executive Order 11990 &amp; DOT Order 5660.1a)</HD>
                    <P>These Orders require Federal agencies to avoid, to the extent possible, undertaking or providing assistance for new construction located in wetlands unless the agency head finds that there is no practicable alternative to such construction and that the proposed action includes all practicable measures to minimize harms to wetlands that may result from such use. Executive Order 11990 also directs agencies to take action to minimize the destruction, loss or degradation of wetlands in “conducting Federal activities and programs affecting land use, including but not limited to water and related land resources planning, regulating, and licensing activities.” DOT Order 5660.1a sets forth DOT policy for interpreting Executive Order 11990 and requires that transportation projects “located in or having an impact on wetlands” should be conducted to assure protection of the Nation's wetlands. If a project does have a significant impact on wetlands, an EIS must be prepared.</P>
                    <P>
                        The agency is not undertaking or providing assistance for new construction located in wetlands. The agency, therefore, concludes that these Orders do not apply to NHTSA's Decision. The agency has, however, conducted a review of the alternatives on potentially affected resources, including wetlands. 
                        <E T="03">See</E>
                         Section 4.5 of the FEIS.
                    </P>
                    <HD SOURCE="HD3">(i) Migratory Bird Treaty Act (MBTA), Bald and Golden Eagle Protection Act (BGEPA), Executive Order 13186</HD>
                    <P>
                        The MBTA provides for the protection of migratory birds that are native to the United States by making it illegal for anyone to pursue, hunt, take, attempt to take, kill, capture, collect, possess, buy, sell, trade, ship, import, or export any migratory bird covered under the statute. The statute prohibits both intentional and unintentional acts. Therefore, the statute is violated if an agency acts in a manner that harms a migratory bird, whether it was intended or not. 
                        <E T="03">See, e.g., United States</E>
                         v. 
                        <E T="03">FMC Corp.,</E>
                         572 F.2d 902 (2nd Cir. 1978).
                    </P>
                    <P>The BGEPA (16 U.S.C. 668) prohibits any form of possession or taking of both bald and golden eagles. Under the BGEPA, violators are subject to criminal and civil sanctions as well as an enhanced penalty provision for subsequent offenses.</P>
                    <P>Executive Order 13186, “Responsibilities of Federal Agencies to Protect Migratory Birds,” helps to further the purposes of the MBTA by requiring a Federal agency to develop a Memorandum of Understanding (MOU) with the Fish and Wildlife Service when it is taking an action that has (or is likely to have) a measurable negative impact on migratory bird populations.</P>
                    <P>The agency concludes that the MBTA, BGEPA, and Executive Order 13186 do not apply to NHTSA's Decision because there is no disturbance and/or take involved in NHTSA's Decision.</P>
                    <HD SOURCE="HD3">(j) Department of Transportation Act (Section 4(f))</HD>
                    <P>Section 4(f) of the Department of Transportation Act of 1966 (49 U.S.C. 303), as amended by Public Law 109-59, is designed to preserve publicly owned parklands, waterfowl and wildlife refuges, and significant historic sites. Specifically, Section 4(f) of the Department of Transportation Act provides that DOT agencies cannot approve a transportation program or project that requires the use of any publicly owned land from a significant public park, recreation area, or wildlife and waterfowl refuge, or any land from a significant historic site, unless a determination is made that:</P>
                    <P>• There is no feasible and prudent alternative to the use of land, and</P>
                    <P>• The program or project includes all possible planning to minimize harm to the property resulting from use, or</P>
                    <P>
                        • A transportation use of Section 4(f) property results in a 
                        <E T="03">de minimis</E>
                         impact.
                    </P>
                    <P>The agency concludes that the Section 4(f) is not applicable to NHTSA's Decision because this rulemaking does not require the use of any publicly owned land. For a more detailed discussion, please see Section 3.1 of the FEIS.</P>
                    <HD SOURCE="HD2">(3) Paperwork Reduction Act</HD>
                    <P>
                        The information collection requirements in these rules have been submitted for approval to OMB under the 
                        <E T="03">Paperwork Reduction Act,</E>
                         44 U.S.C. 3501 
                        <E T="03">et seq.</E>
                         The information collection requirements are not enforceable until OMB approves them.
                    </P>
                    <P>
                        The agencies propose to collect information to ensure compliance with the provisions in these rules. This includes a variety of testing, reporting and recordkeeping requirements for vehicle manufacturers. Section 208(a) of the CAA requires that vehicle manufacturers provide information the Administrator may reasonably require to determine compliance with the 
                        <PRTPAGE P="57369"/>
                        regulations; submission of the information is therefore mandatory. We will consider confidential all information meeting the requirements of section 208(c) of the CAA.
                    </P>
                    <P>It is estimated that this collection affects approximately 34 engine and vehicle manufacturers. The information that is subject to this collection is collected whenever a manufacturer applies for a certificate of conformity. Under section 206 of the CAA (42 U.S.C. 7521), a manufacturer must have a certificate of conformity before a vehicle or engine can be introduced into commerce.</P>
                    <P>
                        The burden to the manufacturers affected by these rules has a range based on the number of engines and vehicles a manufacturer produces. The total estimated burden associated with these rules is 58,064 hours annually (
                        <E T="03">See</E>
                         Table XII-2). This estimated burden for engine and vehicle manufacturers is a total estimate for new reporting requirements. Burden is defined at 5 CFR 1320.3(b).
                    </P>
                    <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="s200,14">
                        <TTITLE>Table XII-2—Burden for Reporting and Recordkeeping Requirements</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Number of Affected Manufacturers</ENT>
                            <ENT>34</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annual Labor Hours for Each Manufacturer to Prepare and Submit Required Information</ENT>
                            <ENT>Varies</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Total Annual Information Collection Burden</ENT>
                            <ENT>58,064 Hours</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA's regulations are listed in 40 CFR part 9. When this ICR is approved by OMB, the agency will publish a technical amendment to 40 CFR part 9 in the 
                        <E T="04">Federal Register</E>
                         to display the OMB control number for the approved information collection requirements contained in this final action.
                    </P>
                    <HD SOURCE="HD2">(4) Regulatory Flexibility Act</HD>
                    <HD SOURCE="HD3">(a) Overview</HD>
                    <P>The Regulatory Flexibility Act 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.</P>
                    <P>For purposes of assessing the impacts of these rules on small entities, small entity is defined as: (1) A small business as defined by SBA 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.</P>
                    <HD SOURCE="HD3">(b) Summary of Potentially Affected Small Entities</HD>
                    <P>The agencies have not conducted a Regulatory Flexibility Analysis for this action because the agencies are certifying that these rules would not have a significant economic impact on a substantial number of small entities. As proposed, the agencies are deferring standards for manufacturers meeting SBA's definition of small business as described in 13 CFR 121.201 due to the extremely small fuel savings and emissions contribution of these entities, and the short lead time to develop these rules, especially with our expectation that the program would need to be structured differently for them (which would require more time). The agencies are instead envisioning fuel consumption and GHG emissions standards for these entities as part of a future regulatory action. This includes small entities in several distinct categories of businesses for heavy-duty engines and vehicles: chassis manufacturers, combination tractor manufacturers, and alternative fuel engine converters.</P>
                    <P>
                        Based on a preliminary assessment, the agencies have identified a total of about 17 engine manufacturers, 3 complete pickup truck and van manufacturers, 11 combination tractor manufacturers and 43 heavy-duty chassis manufacturers. Notably, several of these manufacturers produce vehicles in more than just one regulatory category (HD pickup trucks/vans, combination tractors, or vocational vehicles (
                        <E T="03">i.e.</E>
                         heavy-duty chassis manufacturers)). Based on the types of vehicles they manufacture, these companies, however, would be subject to slightly different testing and reporting requirements. Taking this feature of the heavy-duty trucking sector into account, the agencies estimate that although there are fewer than 30 manufacturers covered by the program, there are close to 60 divisions within these companies that will be subject to the final regulations. Of these, about 15 entities fit the SBA criteria of a small business. There are approximately three engine converters, two tractor manufacturers, and ten heavy-duty chassis manufacturers in the heavy-duty engine and vehicle market that are small businesses. (No major heavy-duty engine manufacturers, heavy-duty chassis manufacturers, or tractor manufacturers meet the small-entity criteria as defined by SBA). The agencies estimate that these small entities comprise less than 0.35 percent of the total heavy-duty vehicle sales in the United States, and therefore the deferment will have a negligible impact on the fuel consumption and GHG emissions reductions from the final standards.
                    </P>
                    <P>
                        To ensure that the agencies are aware of which companies are being deferred, the agencies are requiring that such entities submit a declaration to the agencies containing a detailed written description of how that manufacturer qualifies as a small entity under the provisions of 13 CFR 121.201. Some small entities, such as heavy-duty tractor and chassis manufacturers, are not currently covered under criteria pollutant motor vehicle emissions regulations. Small engine entities are currently covered by a number of EPA motor vehicle emission regulations, and they routinely submit information and data on an annual basis as part of their compliance responsibilities. Because such entities are not automatically exempted from other EPA regulations for heavy-duty engines and vehicles, absent such a declaration, EPA would assume that the entity was subject to the greenhouse gas control requirements in this program. The declaration to the agencies will need to be submitted at the time of either engine or vehicle emissions certification under the HD highway engine program for criteria pollutants. The agencies expect that the additional paperwork burden associated with completing and submitting a small entity declaration to gain deferral from the final GHG and fuel consumption standards will be negligible and easily done in the context of other routine submittals to the agencies. However, the 
                        <PRTPAGE P="57370"/>
                        agencies have accounted for this cost with a nominal estimate included in the Information Collection Request completed under the Paperwork Reduction Act. Additional information can be found in the Paperwork Reduction Act discussion in Section 0Paperwork Reduction Act. Based on this, the agencies are certifying that the rules will not have a significant economic impact on a substantial number of small entities.
                    </P>
                    <HD SOURCE="HD2">(5) Unfunded Mandates Reform Act</HD>
                    <P>Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), Public Law 104-4, establishes requirements for Federal agencies to assess the effects of their regulatory actions on State, local, and tribal governments and the private sector. Under section 202 of the UMRA, the agencies generally must prepare a written statement, including a cost-benefit analysis, for proposed and final rules with “Federal mandates” that may result in expenditures to State, local, and tribal governments, in the aggregate, or to the private sector, of $100 million or more in any one year. Before promulgating a rule for which a written statement is needed, section 205 of the UMRA generally requires the agencies to identify and consider a reasonable number of regulatory alternatives and adopt the least costly, most cost-effective or least burdensome alternative that achieves the objectives of the rule. The provisions of section 205 do not apply when they are inconsistent with applicable law. Moreover, section 205 allows the agencies to adopt an alternative other than the least costly, most cost-effective or least burdensome alternative if the Administrator (of either agency) publishes with the final rule an explanation why that alternative was not adopted.</P>
                    <P>Before the agencies establish any regulatory requirements that may significantly or uniquely affect small governments, including tribal governments, they must have developed under section 203 of the UMRA a small government agency plan. The plan must provide for notifying potentially affected small governments, enabling officials of affected small governments to have meaningful and timely input in the development of EPA and NHTSA regulations with significant Federal intergovernmental mandates, and informing, educating, and advising small governments on compliance with the regulatory requirements.</P>
                    <P>These rules contain no Federal mandates (under the regulatory provisions of Title II of the UMRA) for State, local, or tribal governments. The rules impose no enforceable duty on any State, local or tribal governments. The agencies have determined that these rules contain no regulatory requirements that might significantly or uniquely affect small governments. The agencies have determined that these rules contain a Federal mandate that may result in expenditures of $134 million or more for the private sector in any one year. The agencies believe that the program represents the least costly, most cost-effective approach to achieve the statutory requirements of the rules. Section VIII.L, above, explains why the agencies believe that the fuel savings that will result from these rules will lead to lower prices economy-wide, improving U.S. international competitiveness. The costs and benefits associated with the program are discussed in more detail above in Section VIII and in the Regulatory Impact Analysis, as required by the UMRA.</P>
                    <P>Table XII-1, above, presents the rule-related benefits, fuel savings, costs and net benefits in both present value terms and in annualized terms. In both cases, the discounted values are based on an underlying time varying stream of cost and benefit values that extend into the future (2012 through 2050). The distribution of each monetized economic impact over time can be viewed in the RIA that accompanies these rules.</P>
                    <P>
                        Present values represent the 
                        <E T="03">total</E>
                         amount that a stream of monetized costs/benefits/net benefits that occur over time are worth now (in year 2009 dollar terms for this analysis), accounting for the time value of money by discounting future values using either a 3 or 7 percent discount rate, per OMB Circular A-4 guidance. An annualized value takes the present value and converts it into a 
                        <E T="03">constant stream of annual values</E>
                         through a given time period (2012 through 2050 in this analysis) and thus averages (in present value terms) the annual values. The present value of the constant stream of annualized values equals the present value of the underlying time varying stream of values. The ratio of benefits to costs is identical whether it is measured with present values or annualized values.
                    </P>
                    <P>It is important to note that annualized values cannot simply be summed over time to reflect total costs/benefits/net benefits; they must be discounted and summed. Additionally, the annualized value can vary substantially from the time varying stream of cost/benefit/net benefit values that occur in any given year.</P>
                    <HD SOURCE="HD2">(6) Executive Order 13132 (Federalism)</HD>
                    <P>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. These rules will apply to manufacturers of motor vehicles and not to state or local governments. Thus, Executive Order 13132 does not apply to this action. Although section 6 of Executive Order 13132 does not apply to this action, the agencies did consult with representatives of state governments in developing this action.</P>
                    <P>NHTSA notes that EPCA contains a provision (49 U.S.C. 32919(a)) that expressly preempts any State or local government from adopting or enforcing a law or regulation related to fuel economy standards or average fuel economy standards for automobiles covered by an average fuel economy standard under 49 U.S.C. Chapter 329. However, commercial medium- and heavy-duty on-highway vehicles and work trucks are not “automobiles,” as defined in 49 U.S.C. 32901(a)(3). Accordingly, NHTSA has tentatively concluded that EPCA's express preemption provision would not reach the fuel efficiency standards to be established in this rulemaking.</P>
                    <P>
                        NHTSA also considered the issue of implied or conflict preemption. The possibility of such preemption is dependent upon there being an actual conflict between a standard established by NHTSA in this rulemaking and a State or local law or regulation. 
                        <E T="03">See</E>
                         Spriestma v. Mercury Marine, 537 U.S. 51, 64-65 (2002). At present, NHTSA has no knowledge of any State or local law or regulation that would actually conflict with one of the fuel efficiency standards being established in this rulemaking.
                    </P>
                    <HD SOURCE="HD2">(7) Executive Order 13175 (Consultation and Coordination With Indian Tribal Governments)</HD>
                    <P>
                        These final rules do not have tribal implications, as specified in Executive Order 13175 (65 FR 67249, November 9, 2000). These rules will be implemented at the Federal level and impose compliance costs only on vehicle manufacturers. Tribal governments would be affected only to the extent they purchase and use regulated vehicles. Thus, Executive Order 13175 does not apply to these rules.
                        <PRTPAGE P="57371"/>
                    </P>
                    <HD SOURCE="HD2">(8) Executive Order 13045: “Protection of Children From Environmental Health Risks and Safety Risks”</HD>
                    <P>
                        This action is subject to Executive Order 13045 (62 FR 19885, April 23, 1997) because it is an economically significant regulatory action as defined by Executive Order 12866, and the agencies believe that the environmental health or safety risk addressed by this action may have a disproportionate effect on children. A synthesis of the science and research regarding how climate change may affect children and other vulnerable subpopulations is contained in the Technical Support Document for Endangerment or Cause or Contribute Findings for Greenhouse Gases under section 202(a) of the Clean Air Act, which can be found in the public docket for these rules.
                        <SU>587</SU>
                        <FTREF/>
                         A summary of the analysis is presented below.
                    </P>
                    <FTNT>
                        <P>
                            <SU>587</SU>
                             
                            <E T="03">See</E>
                             Endangerment TSD, Note 10, above.
                        </P>
                    </FTNT>
                    <P>With respect to GHG emissions, the effects of climate change observed to date and projected to occur in the future include the increased likelihood of more frequent and intense heat waves. Specifically, EPA's analysis of the scientific assessment literature has determined that severe heat waves are projected to intensify in magnitude, frequency, and duration over the portions of the United States where these events already occur, with potential increases in mortality and morbidity, especially among the young, elderly, and frail. EPA has estimated reductions in projected global mean surface temperatures as a result of reductions in GHG emissions associated with the final standards in this action (Section II). Children may receive benefits from reductions in GHG emissions because they are included in the segment of the population that is most vulnerable to extreme temperatures.</P>
                    <P>For non-GHG pollutants, EPA has determined that climate change is expected to increase regional ozone pollution, with associated risks in respiratory infection, aggravation of asthma, and premature death. The directional effect of climate change on ambient PM levels remains uncertain. However, disturbances such as wildfires are increasing in the United States and are likely to intensify in a warmer future with drier soils and longer growing seasons. PM emissions from forest fires can contribute to acute and chronic illnesses of the respiratory system, particularly in children, including pneumonia, upper respiratory diseases, asthma and chronic obstructive pulmonary diseases.</P>
                    <HD SOURCE="HD2">(9) Executive Order 13211 (Energy Effects)</HD>
                    <P>This rulemaking is not a “significant energy action” as defined in Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use” (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. In fact, these rules have a positive effect on energy supply and use. Because the final GHG emission and fuel consumption standards will result in significant fuel savings, these rules encourage more efficient use of fuels. Therefore, we have concluded that these rules are not likely to have any adverse energy effects. Our energy effects analysis is described above in Section VIII.I.</P>
                    <HD SOURCE="HD2">(10) National Technology Transfer Advancement Act</HD>
                    <P>
                        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 the agencies 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 T="03">e.g.,</E>
                         materials, specifications, test methods, sampling procedures, and business practices) that are developed or adopted by voluntary consensus standards bodies. NTTAA directs the agencies to provide Congress, through OMB, explanations when the agencies decide not to use available and applicable voluntary consensus standards.
                    </P>
                    <P>
                        For CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O, and CH
                        <E T="52">4</E>
                         emissions and fuel consumption from heavy-duty engines, the agencies will collect data over the same tests that are used for the heavy-duty highway engine program for criteria pollutants. This will minimize the amount of testing done by manufacturers, since manufacturers are already required to run these tests.
                    </P>
                    <P>
                        For CO
                        <E T="52">2</E>
                        , N
                        <E T="52">2</E>
                        O, and CH
                        <E T="52">4</E>
                         emissions and fuel consumption from complete pickup trucks and vans, the agencies will collect data over the same tests that are used for EPA's heavy-duty highway engine program for criteria pollutants and for the California Air Resources Board. This will minimize the amount of testing done by manufacturers, since manufacturers are already required to run these tests.
                    </P>
                    <P>
                        For CO
                        <E T="52">2</E>
                         emissions and fuel consumption from heavy-duty combination tractors and vocational vehicles, the agencies will collect data through the use of a simulation model instead of a full-vehicle chassis dynamometer testing. This will minimize the amount of testing done by manufacturers. EPA's compliance assessment tool is based upon well-established engineering and physics principals that are the basis of general academic understanding in this area, and the foundation of any dynamic vehicle simulation model, including the models cited by ICCT in its study.
                        <SU>588</SU>
                        <FTREF/>
                         Therefore, the EPA's compliance assessment tool satisfies the description of a consensus. For the evaluation of tire rolling resistance input to the model, EPA is finalizing to use the ISO 28580 test, a voluntary consensus methodology. EPA is adopting several alternatives for the evaluation of aerodynamics which allows the industry to continue to use their own evaluation tools because EPA does not know of a single consensus standard available for heavy-duty truck aerodynamic evaluation.
                    </P>
                    <FTNT>
                        <P>
                            <SU>588</SU>
                             ICCT. ICCT Evaluation of Vehicle Simulation Tools. 2009.
                        </P>
                    </FTNT>
                    <P>For air conditioning standards, EPA is finalizing a consensus methodology developed by the Society of Automotive Engineers (SAE).</P>
                    <HD SOURCE="HD2">(11) Executive Order 12898: Federal Actions To Address Environmental Justice in Minority Populations and Low-Income Populations</HD>
                    <P>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.</P>
                    <P>
                        With respect to GHG emissions, EPA has determined that these final rules will not have disproportionately high and adverse human health or environmental effects on minority or low-income populations because they increase the level of environmental protection for all affected populations without having any disproportionately high and adverse human health or environmental effects on any population, including any minority or low-income population. The reductions in CO
                        <E T="52">2</E>
                         and other GHGs associated with the standards will affect climate change 
                        <PRTPAGE P="57372"/>
                        projections, and EPA has estimated reductions in projected global mean surface temperatures (Section VI). Within communities experiencing climate change, certain parts of the population may be especially vulnerable; these include the poor, the elderly, those already in poor health, the disabled, those living alone, and/or indigenous populations dependent on one or a few resources.
                        <SU>589</SU>
                        <FTREF/>
                         In addition, the U.S. Climate Change Science Program stated as one of its conclusions: “The United States is certainly capable of adapting to the collective impacts of climate change. However, there will still be certain individuals and locations where the adaptive capacity is less and these individuals and their communities will be disproportionally impacted by climate change.” 
                        <SU>590</SU>
                        <FTREF/>
                         Therefore, these specific sub-populations may receive benefits from reductions in GHGs.
                    </P>
                    <FTNT>
                        <P>
                            <SU>589</SU>
                             
                            <E T="03">See</E>
                             Endangerment TSD, Note 10, above.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>590</SU>
                             CCSP (2008) 
                            <E T="03">Analyses of the effects of global change on human health and welfare and human systems.</E>
                             A Report by the U.S. Climate Change Science Program and the Subcommittee on Global Change Research. [Gamble, J.L. (ed.), K.L. Ebi, F.G. Sussman, T.J. Wilbanks, (Authors)]. U.S. Environmental Protection Agency, Washington, DC, USA.
                        </P>
                    </FTNT>
                    <P>
                        For non-GHG co-pollutants such as ozone, PM
                        <E T="52">2.5</E>
                        , and toxics, EPA has concluded that it is not practicable to determine whether there would be disproportionately high and adverse human health or environmental effects on minority and/or low income populations from these rules.
                    </P>
                    <HD SOURCE="HD2">(12) Congressional Review Act</HD>
                    <P>
                        The Congressional Review Act, 5 U.S.C. 801 
                        <E T="03">et seq.,</E>
                         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. The agencies will submit a report containing these rules 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 rules in the 
                        <E T="04">Federal Register</E>
                        . A Major rule cannot take effect until 60 days after it is published in the 
                        <E T="04">Federal Register</E>
                        . This action is a “major rule” as defined by 5 U.S.C. 804(2). These rules will be effective November 14, 2011, sixty days after date of publication in the 
                        <E T="04">Federal Register</E>
                        .
                    </P>
                    <HD SOURCE="HD2">(13) Privacy Act</HD>
                    <P>
                        Anyone is able to search the electronic form of all comments received into any of our dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an organization, business, labor union, 
                        <E T="03">etc.</E>
                        ). You may review DOT's complete Privacy Act statement in the 
                        <E T="04">Federal Register</E>
                         (65 FR 19477-78, April 11, 2000) or you may visit 
                        <E T="03">http://www.dot.gov/privacy.html.</E>
                    </P>
                    <HD SOURCE="HD1">XIII. Statutory Provisions and Legal Authority</HD>
                    <HD SOURCE="HD2">A. EPA</HD>
                    <P>Statutory authority for the vehicle controls in these rules is found in CAA section 202(a) (which requires EPA to establish standards for emissions of pollutants from new motor vehicles and engines 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 of the CAA, 42 U.S.C. 7521 (a), 7521 (d), 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7550, and 7601.</P>
                    <HD SOURCE="HD2">B. NHTSA</HD>
                    <P>Statutory authority for the fuel consumption standards in these rules is found in EISA 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).</P>
                    <LSTSUB>
                        <HD SOURCE="HED">List of Subjects</HD>
                        <CFR>40 CFR Part 85</CFR>
                        <P>Confidential business information, Imports, Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements, Research, Warranties.</P>
                        <CFR>40 CFR Part 86</CFR>
                        <P>Administrative practice and procedure, Confidential business information, Incorporation by reference, Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements.</P>
                        <CFR>40 CFR Part 600</CFR>
                        <P>Administrative practice and procedure, Electric power, Fuel economy, Incorporation by reference, Labeling, Reporting and recordkeeping requirements.</P>
                        <CFR>40 CFR Part 1033</CFR>
                        <P>Administrative practice and procedure, Air pollution control.</P>
                        <CFR>40 CFR Parts 1036 and 1037</CFR>
                        <P>Administrative practice and procedure, Air pollution control, Confidential business information, Environmental protection, Incorporation by reference, Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements, Warranties.</P>
                        <CFR>40 CFR Part 1039</CFR>
                        <P>Environmental protection, Administrative practice and procedure, Air pollution control, Confidential business information, Imports, Labeling, Penalties, Reporting and recordkeeping requirements, Warranties.</P>
                        <CFR>40 CFR Parts 1065 and 1066</CFR>
                        <P>Administrative practice and procedure, Air pollution control, Incorporation by reference, Reporting and recordkeeping requirements, Research.</P>
                        <CFR>40 CFR Part 1068</CFR>
                        <P>Environmental protection, Administrative practice and procedure, Confidential business information, Imports, Incorporation by reference, Motor vehicle pollution, Penalties, Reporting and recordkeeping requirements, Warranties.</P>
                        <CFR>49 CFR Parts 523, 534, and 535 </CFR>
                        <P>Fuel economy.</P>
                    </LSTSUB>
                    <HD SOURCE="HD1">Environmental Protection Agency</HD>
                    <HD SOURCE="HD1">40 CFR Chapter I</HD>
                    <P>For the reasons set forth in the preamble, the Environmental Protection Agency is amending 40 CFR chapter I of the Code of Federal Regulations as follows:</P>
                    <REGTEXT TITLE="40" PART="85">
                        <PART>
                            <HD SOURCE="HED">PART 85—CONTROL OF AIR POLLUTION FROM MOBILE SOURCES</HD>
                        </PART>
                        <AMDPAR>1. The authority citation for part 85 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority:</HD>
                            <P>42 U.S.C. 7401-7671q.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="85">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart F—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>2. Section 85.525 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 85.525 </SECTNO>
                            <SUBJECT>Applicable standards.</SUBJECT>
                            <P>To qualify for an exemption from the tampering prohibition, vehicles/engines that have been converted to operate on a different fuel must meet emission standards and related requirements as follows:</P>
                            <P>
                                (a) The modified vehicle/engine must meet the requirements that applied for 
                                <PRTPAGE P="57373"/>
                                the OEM vehicle/engine, or the most stringent OEM vehicle/engine standards in any allowable grouping. Fleet average standards do not apply unless clean alternative fuel conversions are specifically listed as subject to the standards.
                            </P>
                            <P>
                                (1) If the vehicle/engine was certified with a Family Emission Limit for NO
                                <E T="52">X</E>
                                , NO
                                <E T="52">X</E>
                                +HC, or particulate matter, as noted on the vehicle/engine emission control information label, the modified vehicle/engine may not exceed this Family Emission Limit.
                            </P>
                            <P>(2) Compliance with greenhouse gas emission standards is demonstrated as follows:</P>
                            <P>
                                (i) Subject to the following exceptions and special provisions, compliance with light-duty vehicle greenhouse gas emission standards is demonstrated by complying with the N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 standards and provisions set forth in 40 CFR 86.1818-12(f)(1) and the in-use CO
                                <E T="52">2</E>
                                 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).
                            </P>
                            <P>
                                (A) If the OEM complied with the light-duty greenhouse gas standards using the fleet averaging option for N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                , as allowed under 40 CFR 86.1818-12(f)(2), the calculations of the carbon-related exhaust emissions require the input of grams/mile values for N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                , and you are not required to demonstrate compliance with the standalone CH
                                <E T="52">4</E>
                                 and N
                                <E T="52">2</E>
                                O standards.
                            </P>
                            <P>
                                (B) If the OEM complied with alternate standards for N
                                <E T="52">2</E>
                                O and/or CH
                                <E T="52">4</E>
                                , as allowed under 40 CFR 86.1818-12(f)(3), you may demonstrate compliance with the same alternate standards.
                            </P>
                            <P>
                                (C) If the OEM complied with the nitrous oxide (N
                                <E T="52">2</E>
                                O) and methane (CH
                                <E T="52">4</E>
                                ) standards and provisions set forth in 40 CFR 86.1818-12(f)(1) or 86.1818-12(f)(3), and the fuel conversion CO
                                <E T="52">2</E>
                                 measured value is lower than the in-use CO
                                <E T="52">2</E>
                                 exhaust emission standard, you also have the option to convert the difference between the in-use CO
                                <E T="52">2</E>
                                 exhaust emission standard and the fuel conversion CO
                                <E T="52">2</E>
                                 measured value into GHG equivalents of CH
                                <E T="52">4</E>
                                 and/or N
                                <E T="52">2</E>
                                O, using 298 g CO
                                <E T="52">2</E>
                                 to represent 1 g N
                                <E T="52">2</E>
                                O and 25 g CO
                                <E T="52">2</E>
                                 to represent 1 g CH
                                <E T="52">4</E>
                                . You may then subtract the applicable converted values from the fuel conversion measured values of CH
                                <E T="52">4</E>
                                 and/or N
                                <E T="52">2</E>
                                O to demonstrate compliance with the CH
                                <E T="52">4</E>
                                 and/or N
                                <E T="52">2</E>
                                O standards.
                            </P>
                            <P>
                                (ii) Compliance with heavy-duty engine greenhouse gas emission standards is demonstrated by complying with the CO
                                <E T="52">2</E>
                                , N
                                <E T="52">2</E>
                                O, and CH
                                <E T="52">4</E>
                                 standards (or FELs, as applicable) and provisions set forth in 40 CFR 1036.108 for the engine family that is represented by the fuel conversion emission data engine (EDE). If the fuel conversion CO
                                <E T="52">2</E>
                                 measured value is lower than the CO
                                <E T="52">2</E>
                                 standard (or FEL, as applicable), you have the option to convert the difference between the CO
                                <E T="52">2</E>
                                 standard (or FEL, as applicable) and the fuel conversion CO
                                <E T="52">2</E>
                                 measured value into GHG equivalents of CH
                                <E T="52">4</E>
                                 and/or N
                                <E T="52">2</E>
                                O, using 298 g/hp-hr CO
                                <E T="52">2</E>
                                 to represent 1 g/hp-hr N
                                <E T="52">2</E>
                                O and 25 g/hp-hr CO
                                <E T="52">2</E>
                                 to represent 1 g/hp-hr CH
                                <E T="52">4</E>
                                . You may then subtract the applicable converted values from the fuel conversion measured values of CH
                                <E T="52">4</E>
                                 and/or N
                                <E T="52">2</E>
                                O to demonstrate compliance with the CH
                                <E T="52">4</E>
                                 and/or N
                                <E T="52">2</E>
                                O standards (or FEL, as applicable).
                            </P>
                            <P>(3) Conversion systems for engines that would have qualified for chassis certification at the time of OEM certification may use those procedures, even if the OEM did not. Conversion manufacturers choosing this option must designate test groups using the appropriate criteria as described in this subpart and meet all vehicle chassis certification requirements set forth in 40 CFR part 86, subpart S.</P>
                            <P>(b) [Reserved]</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="85">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart P—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>3. Section 85.1511 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 85.1511 </SECTNO>
                            <SUBJECT>Exemptions and exclusions.</SUBJECT>
                            <P>(a) Individuals, as well as certificate holders, shall be eligible for importing vehicles into the United States under the provisions of this section, unless otherwise specified.</P>
                            <P>(b) Notwithstanding any other requirements of this subpart, a motor vehicle or motor vehicle engine entitled to a temporary exemption under this paragraph (b) may be conditionally admitted into the United States if prior written approval for such conditional admission is obtained from the Administrator. Conditional admission shall be under bond. A written request for approval from the Administrator shall contain the identification required in § 85.1504(a)(1) (except for § 85.1504(a)(1)(v)) and information that indicates that the importer is entitled to the exemption. Noncompliance with provisions of this section may result in the forfeiture of the total amount of the bond or exportation of the vehicle or engine. The following temporary exemptions apply:</P>
                            <P>
                                (1) 
                                <E T="03">Exemption for repairs or alterations.</E>
                                 Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(a). Such vehicles or engines may not be registered or licensed in the United States for use on public roads and highways.
                            </P>
                            <P>
                                (2) 
                                <E T="03">Testing exemption.</E>
                                 Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(b). Test vehicles or engines may be operated on and registered for use on public roads or highways provided that the operation is an integral part of the test.
                            </P>
                            <P>
                                (3) 
                                <E T="03">Precertification exemption.</E>
                                 Prototype vehicles for use in applying to EPA for certification may be imported by independent commercial importers subject to applicable provisions of § 85.1706 and the following requirements:
                            </P>
                            <P>(i) No more than one prototype vehicle for each engine family for which an independent commercial importer is seeking certification shall be imported by each independent commercial importer.</P>
                            <P>(ii) Unless a certificate of conformity is issued for the prototype vehicle, the total amount of the bond shall be forfeited or the vehicle must be exported within 180 days from the date of entry.</P>
                            <P>
                                (4) 
                                <E T="03">Display exemptions.</E>
                                 Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(c). Display vehicles or engines may not be registered or licensed for use or operated on public roads or highways in the United States, unless an applicable certificate of conformity has been received.
                            </P>
                            <P>(c) Notwithstanding any other requirements of this subpart, a motor vehicle or motor vehicle engine may be finally admitted into the United States under this paragraph (c) if prior written approval for such final admission is obtained from the Administrator. Conditional admission of these vehicles is not permitted for the purpose of obtaining written approval from the Administrator. A request for approval shall contain the identification information required in § 85.1504(a)(1) (except for § 85.1504(a)(1)(v)) and information that indicates that the importer is entitled to the exemption or exclusion. The following exemptions or exclusions apply:</P>
                            <P>
                                (1) 
                                <E T="03">National security exemption.</E>
                                 Vehicles may be imported under the national security exemption found at 40 CFR 1068.315(a). Only persons who are manufacturers may import a vehicle under a national security exemption.
                            </P>
                            <P>
                                (2) 
                                <E T="03">Hardship exemption.</E>
                                 The Administrator may exempt on a case-by-case basis certain motor vehicles from Federal emission requirements to accommodate unforeseen cases of extreme hardship or extraordinary 
                                <PRTPAGE P="57374"/>
                                circumstances. Some examples are as follows:
                            </P>
                            <P>(i) Handicapped individuals who need a special vehicle unavailable in a certified configuration;</P>
                            <P>(ii) Individuals who purchase a vehicle in a foreign country where resale is prohibited upon the departure of such an individual;</P>
                            <P>(iii) Individuals emigrating from a foreign country to the U.S. in circumstances of severe hardship.</P>
                            <P>(d) Foreign diplomatic and military personnel may import nonconforming vehicles without bond. At the time of admission, the importer shall submit to the Administrator the written report required in § 85.1504(a)(1) (except for information required by § 85.1504(a)(1)(v)). Such vehicles may not be sold in the United States.</P>
                            <P>(e) Racing vehicles may be imported by any person provided the vehicles meet one or more of the exclusion criteria specified in § 85.1703. Racing vehicles may not be registered or licensed for use on or operated on public roads and highways in the United States.</P>
                            <P>(f) The following exclusions and exemptions apply based on date of original manufacture:</P>
                            <P>(1) Notwithstanding any other requirements of this subpart, the following motor vehicles or motor vehicle engines are excluded from the requirements of the Act in accordance with section 216(3) of the Act and may be imported by any person:</P>
                            <P>(i) Gasoline-fueled light-duty vehicles and light-duty trucks originally manufactured prior to January 1, 1968.</P>
                            <P>(ii) Diesel-fueled light-duty vehicles originally manufactured prior to January 1, 1975.</P>
                            <P>(iii) Diesel-fueled light-duty trucks originally manufactured prior to January 1, 1976.</P>
                            <P>(iv) Motorcycles originally manufactured prior to January 1, 1978.</P>
                            <P>(v) Gasoline-fueled and diesel-fueled heavy-duty engines originally manufactured prior to January 1, 1970.</P>
                            <P>(2) Notwithstanding any other requirements of this subpart, a motor vehicle or motor vehicle engine not subject to an exclusion under paragraph (f)(1) of this section but greater than twenty OP years old is entitled to an exemption from the requirements of the Act, provided that it is imported into the United States by a certificate holder. At the time of admission, the certificate holder shall submit to the Administrator the written report required in § 85.1504(a)(1) (except for information required by § 85.1504(a)(1)(v)).</P>
                            <P>(g) Applications for exemptions and exclusions provided for in paragraphs (b) and (c) of this section shall be mailed to the Designated Compliance Officer (see 40 CFR 1068.30).</P>
                            <P>(h) Vehicles conditionally or finally admitted under this section must still comply with all applicable requirements, if any, of the Energy Tax Act of 1978, the Energy Policy and Conservation Act and any other Federal or state requirements.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="85">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart R—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>4. Section 85.1701 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 85.1701 </SECTNO>
                            <SUBJECT>General applicability.</SUBJECT>
                            <P>(a) The provisions of this subpart regarding exemptions are applicable to new and in-use motor vehicles and motor vehicle engines, except as follows:</P>
                            <P>(1) Beginning January 1, 2014, the exemption provisions of 40 CFR part 1068, subpart C, apply for heavy-duty motor vehicles and engines, except that the competition exemption of 40 CFR 1068.235 and the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines.</P>
                            <P>(2) Prior to January 1, 2014, the provisions of §§ 85.1706 through 85.1709 apply for heavy-duty motor vehicle engines.</P>
                            <P>(b) The provisions of this subpart regarding exclusion are applicable after the effective date of these regulations.</P>
                            <P>(c) References in this subpart to engine families and emission control systems shall be deemed to apply to durability groups and test groups as applicable for manufacturers certifying new light-duty vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles under the provisions of 40 CFR part 86, subpart S.</P>
                            <P>(d) In a given model year, manufacturers of motor vehicles and motor vehicle engines may ask us to approve the use of administrative or compliance procedures specified in 40 CFR part 1068 instead of the comparable procedures that apply for vehicles or engines certified under this part or 40 CFR part 86.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="85">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart T—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>5. Section 85.1901 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 85.1901 </SECTNO>
                            <SUBJECT>Applicability.</SUBJECT>
                            <P>Except as specified in this section, the requirements of this subpart shall be applicable to all 1972 and later model year vehicles and engines. The requirement to report emission-related defects affecting a given class or category of vehicles or engines shall remain applicable for five years from the end of the model year in which such vehicles or engines were manufactured. Manufacturers of heavy-duty motor vehicle engines may comply with the defect reporting requirements of 40 CFR 1068.501 instead of the requirements of this subpart.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <PART>
                            <HD SOURCE="HED">PART 86—CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND ENGINES</HD>
                        </PART>
                        <AMDPAR>6. The authority citation for part 86 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority:</HD>
                            <P>42 U.S.C. 7401-7671q.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>7. Section 86.1 is amended by adding paragraphs (b)(2)(xli) and (b)(2)(xlii) and removing and reserving paragraph (b)(4)(i)(A) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1 </SECTNO>
                            <SUBJECT>Reference materials.</SUBJECT>
                            <STARS/>
                            <P>(b) * * *</P>
                            <P>(2) * * *</P>
                            <P>(xli) SAE J1711, Recommended Practice for Measuring the Exhaust Emissions and Fuel Economy of Hybrid-Electric Vehicles, Including Plug-In Hybrid Vehicles, June 2010, IBR approved for § 86.1811-04(n).</P>
                            <P>(xlii) SAE J1634, Electric Vehicle Energy Consumption and Range Test Procedure, Cancelled October 2002, IBR approved for § 86.1811-04(n).</P>
                            <STARS/>
                            <P>(4) * * *</P>
                            <P>(i) * * *</P>
                            <P>(A) [Reserved]</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart A—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>8. Section 86.010-18 is amended by adding paragraphs (j)(1)(ii)(E) and (q) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.010-18 </SECTNO>
                            <SUBJECT>On-board Diagnostics for engines used in applications greater than 14,000 pounds GVWR.</SUBJECT>
                            <STARS/>
                            <P>(j) * * *</P>
                            <P>(1) * * *</P>
                            <P>(ii) * * *</P>
                            <P>(E) For hybrid engine families with projected U.S.-directed production volume of less than 5,000 engines, the manufacturers are only required to test one engine-hybrid combination per family.</P>
                            <STARS/>
                            <P>
                                (q) 
                                <E T="03">Optional phase-in for hybrid vehicles.</E>
                                 This paragraph (q) applies for model year 2013 through 2015 engines when used with hybrid powertrain systems. It also applies for model year 2016 engines used with hybrid powertrain systems that were offered for 
                                <PRTPAGE P="57375"/>
                                sale prior to January 1, 2013, as specified in paragraph (q)(4) of this section. Manufacturers choosing to use the provisions of this paragraph (q) must submit an annual pre-compliance report to EPA for model years 2013 and later, as specified in paragraph (q)(5) of this section. Note that all hybrid powertrain systems must be fully compliant with the OBD requirements of this section no later than model year 2017.
                            </P>
                            <P>
                                (1) If an engine-hybrid system has been certified by the California Air Resources Board with respect to its OBD requirements and it effectively meets the full OBD requirements of this section, all equivalent systems must meet those same requirements and may not be certified under this paragraph (q). For purposes of this paragraph (q)(1), an engine-hybrid system is considered to be equivalent to the certified system if it uses the same basic design (
                                <E T="03">e.g.</E>
                                 displacement) for the engine and primary hybrid components (see paragraph (q)(4) of this section). Equivalent systems may have minor hardware or calibration differences.
                            </P>
                            <P>(2) As of 2013, if an engine-hybrid system has not been certified to meet the full OBD requirements of this section, it must comply with the following requirements:</P>
                            <P>(i) The engine in its installed configuration must meet the EMD and EMD+ requirements in 13 CCR § 1971.1(d)(7.1.4) of the California Code of Regulations. For purposes of this paragraph (q), a given EMD requirement is deemed to be met if the engine's OBD system addresses the same function. This allowance does not apply for OBD monitors or diagnostics that have been modified under paragraph (q)(2)(ii) of this section.</P>
                            <P>(ii) The engine-hybrid system must maintain existing OBD capability for engines where the same or equivalent engine has been OBD certified. An equivalent engine is one produced by the same engine manufacturer with the same fundamental design, but that may have hardware or calibration differences that do not impact OBD functionality, such as slightly different displacement, rated power, or fuel system. (Note that engines with the same fundamental design will be presumed to be equivalent unless the manufacturer demonstrates that the differences effectively preclude applying equivalent OBD systems.) Though the OBD capability must be maintained, it does not have to meet detection thresholds (as described in Tables 1 and 2 of this section) and in-use performance frequency requirements (as described in paragraph (d) of this section). A manufacturer may modify detection thresholds to prevent false detection, and must indicate all deviations from the originally certified package with engineering justification in the certification documentation.</P>
                            <P>(iii) This paragraph (q)(2)(iii) applies for derivatives of hybrid powertrain system designs that were offered for sale prior to January 1, 2013. Until these systems achieve full OBD certification, they must at a minimum maintain all fault-detection and diagnostic capability included on similar systems offered for sale prior to 2013. Manufacturers choosing to use the provisions of this paragraph (q)(2) must keep copies of the service manuals (and similar documents) for these previous model years to show the technical description of the system's fault detection and diagnostic capabilities.</P>
                            <P>(iv) You must submit an annual pre-compliance report to EPA for model years 2013 and later, as specified in paragraph (q)(5) of this section.</P>
                            <P>
                                (3) Engine-hybrid systems may be certified to the requirements of paragraph (q)(2) of this section by the engine manufacturer, the hybrid system manufacturer, or the vehicle manufacturer. If engine manufacturers certify the engine hybrid system, they must provide detailed installation instructions. Where the engine manufacturer does not specifically certify its engines for use in hybrid vehicles under this paragraph (q), the hybrid system manufacturer and vehicle manufacturer must install the engine to conform to the requirements of this section (
                                <E T="03">i.e.,</E>
                                 full OBD) or recertify under paragraph (q)(2) of this section.
                            </P>
                            <P>(4) The provisions of this paragraph (q) apply for model year 2016 engines where you demonstrate that the hybrid powertrain system used is a derivative of a design that was offered for sale prior to January 1, 2013. In this case, you may ask us to consider the original system and the later system to be the same model for purposes of this paragraph (q), unless the systems are fundamentally different. In determining whether such systems are derivative or fundamentally different, we will consider factors such as the similarity of the following:</P>
                            <P>(i) Transmissions.</P>
                            <P>(ii) Hybrid machines (where “hybrid machine” means any system that is the part of a hybrid vehicle system that captures energy from and returns energy to the powertrain).</P>
                            <P>(iii) Hybrid architecture (such as parallel or series).</P>
                            <P>(iv) Motor/generator size, controller/CPU (memory or inputs/outputs), control algorithm, and batteries. This paragraph (q)(4)(iv) applies only if all of these are modified simultaneously.</P>
                            <P>(5) Manufacturers choosing to use the provisions of this paragraph (q) must submit an annual pre-compliance report to EPA for model years 2013 and later. Engine manufacturers must submit this report with their engine certification information. Hybrid manufacturers that are not certifying the engine-hybrid system must submit their report by June 1 of the model year, or at the time of certification if they choose to certify. Include the following in the report:</P>
                            <P>(i) A description of the manufacturer's product plans and of the engine-hybrid systems being certified.</P>
                            <P>(ii) A description of activities undertaken and progress made by the manufacturer towards achieving full OBD certification, including monitoring, diagnostics, and standardization.</P>
                            <P>(iii) For model year 2016 engines, a description of your basis for applying the provision of this paragraph (q) to the engines.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>9. A new § 86.012-2 is added to subpart A to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.012-2 </SECTNO>
                            <SUBJECT>Definitions.</SUBJECT>
                            <P>
                                The definitions of § 86.010-2 continue to apply to model year 2010 and later model year vehicles. The definitions listed in this section apply beginning with model year 2012. 
                                <E T="03">Urban bus</E>
                                 means a passenger-carrying vehicle with a load capacity of fifteen or more passengers and intended primarily for intracity operation, 
                                <E T="03">i.e.</E>
                                , within the confines of a city or greater metropolitan area. Urban bus operation is characterized by short rides and frequent stops. To facilitate this type of operation, more than one set of quick-operating entrance and exit doors would normally be installed. Since fares are usually paid in cash or tokens, rather than purchased in advance in the form of tickets, urban buses would normally have equipment installed for collection of fares. Urban buses are also typically characterized by the absence of equipment and facilities for long distance travel, 
                                <E T="03">e.g.</E>
                                , rest rooms, large luggage compartments, and facilities for stowing carry-on luggage.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>10. A new § 86.016-1 is added to subpart A to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.016-1 </SECTNO>
                            <SUBJECT>General applicability.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">Applicability.</E>
                                 The provisions of this subpart generally apply to 2005 and later model year new Otto-cycle heavy-duty engines used in incomplete vehicles and vehicles above 14,000 pounds GVWR and 2005 and later model year new diesel-cycle heavy-duty engines. In cases where a provision 
                                <PRTPAGE P="57376"/>
                                applies only to a certain vehicle group based on its model year, vehicle class, motor fuel, engine type, or other distinguishing characteristics, the limited applicability is cited in the appropriate section or paragraph. The provisions of this subpart continue to generally apply to 2000 and earlier model year new Otto-cycle and diesel-cycle light-duty vehicles, 2000 and earlier model year new Otto-cycle and diesel-cycle light-duty trucks, and 2004 and earlier model year new Otto-cycle complete heavy-duty vehicles at or below 14,000 pounds GVWR. Provisions generally applicable to 2001 and later model year new Otto-cycle and diesel-cycle light-duty vehicles, 2001 and later model year new Otto-cycle and diesel-cycle light-duty trucks, and 2005 and later model year Otto-cycle complete heavy-duty vehicles at or below 14,000 pounds GVWR are located in subpart S of this part.
                            </P>
                            <P>
                                (b) 
                                <E T="03">Optional applicability.</E>
                                 A manufacturer may request to certify any incomplete Otto-cycle heavy-duty vehicle of 14,000 pounds Gross Vehicle Weight Rating or less in accordance with the provisions for Otto-cycle complete heavy-duty vehicles located in subpart S of this part. Heavy-duty engine or heavy-duty vehicle provisions of this subpart A do not apply to such a vehicle.
                            </P>
                            <P>
                                (c) 
                                <E T="03">Otto-cycle heavy-duty engines and vehicles.</E>
                                 The following requirements apply to Otto-cycle heavy-duty engines and vehicles:
                            </P>
                            <P>(1) Exhaust emission standards according to the provisions of § 86.008-10 or § 86.1816, as applicable.</P>
                            <P>(2) On-board diagnostics requirements according to the provisions of § 86.007-17 or § 86.1806, as applicable.</P>
                            <P>(3) Evaporative emission standards as follows:</P>
                            <P>(i) Evaporative emission standards for complete vehicles according to the provisions of §§ 86.1810 and 86.1816.</P>
                            <P>(ii) For 2013 and earlier model years, evaporative emission standards for incomplete vehicles according to the provisions of § 86.008-10, or §§ 86.1810 and 86.1816, as applicable.</P>
                            <P>(iii) For 2014 and later model years, evaporative emission standards for incomplete vehicles according to the provisions of §§ 86.1810 and 86.1816, or 40 CFR part 1037, as applicable.</P>
                            <P>(4) Refueling emission requirements for Otto-cycle complete vehicles according to the provisions of §§ 86.1810 and 86.1816.</P>
                            <P>
                                (d) 
                                <E T="03">Non-petroleum fueled vehicles.</E>
                                 The standards and requirements of this part apply to model year 2016 and later non-petroleum fueled motor vehicles as follows:
                            </P>
                            <P>(1) The standards and requirements of this part apply as specified for vehicles fueled with methanol, natural gas, and LPG.</P>
                            <P>(2) The standards and requirements of subpart S of this part apply as specified for light-duty vehicles and light-duty trucks.</P>
                            <P>(3) The standards and requirements of this part applicable to methanol-fueled heavy-duty vehicles and engines (including flexible fuel vehicles and engines) apply to heavy-duty vehicles and engines fueled with any oxygenated fuel (including flexible fuel vehicles and engines). Most significantly, this means that the hydrocarbon standards apply as NMHCE and the vehicles and engines must be tested using the applicable oxygenated fuel according to the test procedures in 40 CFR part 1065 applicable for oxygenated fuels. For purposes of this paragraph (d), oxygenated fuel means any fuel containing at least 50 volume percent oxygenated compounds. For example, a fuel mixture of 85 gallons of ethanol and 15 gallons of gasoline is an oxygenated fuel, while a fuel mixture of 15 gallons of ethanol and 85 gallons of gasoline is not an oxygenated fuel.</P>
                            <P>
                                (4) The standards and requirements of subpart S of this part applicable to heavy-duty vehicles under 14,000 pounds GVWR apply to all heavy-duty vehicles powered solely by electricity, including plug-in electric vehicles and solar-powered vehicles. Use good engineering judgment to apply these requirements to these vehicles, including applying these provisions to vehicles over 14,000 pounds GVWR. Electric heavy-duty vehicles may not generate NO
                                <E T="52">X</E>
                                 or PM emission credits. Heavy-duty vehicles powered solely by electricity are deemed to have zero emissions of regulated pollutants.
                            </P>
                            <P>(5) The standards and requirements of this part applicable to diesel-fueled heavy-duty vehicles and engines apply to all other heavy-duty vehicles and engines not otherwise addressed in this paragraph (d).</P>
                            <P>(6) See 40 CFR parts 1036 and 1037 for requirements related to greenhouse gas emissions.</P>
                            <P>(7) Manufacturers may voluntarily certify to the standards of paragraphs (d)(3) through (5) of this section before model year 2016. Note that other provisions in this part require compliance with the standards described in paragraphs (d)(1) and (2) of this section for model years before 2016.</P>
                            <P>
                                (e) 
                                <E T="03">Small volume manufacturers.</E>
                                 Special certification procedures are available for any manufacturer whose projected combined U.S. sales of light-duty vehicles, light-duty trucks, heavy-duty vehicles, and heavy-duty engines in its product line (including all vehicles and engines imported under the provisions of 40 CFR 85.1505 and 85.1509) are fewer than 10,000 units for the model year in which the manufacturer seeks certification. To certify its product line under these optional procedures, the small-volume manufacturer must first obtain the Administrator's approval. The manufacturer must meet the eligibility criteria specified in § 86.098-14(b) before the Administrator's approval will be granted. The small-volume manufacturer's certification procedures are described in § 86.098-14.
                            </P>
                            <P>
                                (f) 
                                <E T="03">Optional procedures for determining exhaust opacity.</E>
                                 (1) The provisions of subpart I of this part apply to tests which are performed by the Administrator, and optionally, by the manufacturer.
                            </P>
                            <P>(2) Measurement procedures, other than those described in subpart I of this part, may be used by the manufacturer provided the manufacturer satisfies the requirements of § 86.007-23(f).</P>
                            <P>(3) When a manufacturer chooses to use an alternative measurement procedure, it has the responsibility to determine whether the results obtained by the procedure will correlate with the results which would be obtained from the measurement procedure in subpart I of this part. Consequently, the Administrator will not routinely approve or disapprove any alternative opacity measurement procedure or any associated correlation data which the manufacturer elects to use to satisfy the data requirements for subpart I of this part.</P>
                            <P>(4) If a confirmatory test is performed and the results indicate there is a systematic problem suggesting that the data generated under an optional alternative measurement procedure do not adequately correlate with data obtained in accordance with the procedures described in subpart I of this part, EPA may require that all certificates of conformity not already issued be based on data obtained from procedures described in subpart I of this part.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>11. Section 86.090-2 is amended by revising the definition of “primary intended service class” to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.090-2 </SECTNO>
                            <SUBJECT>Definitions.</SUBJECT>
                            <STARS/>
                            <P>
                                <E T="03">Primary intended service class</E>
                                 has the meaning given in 40 CFR 1036.140.
                            </P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <PRTPAGE P="57377"/>
                            <HD SOURCE="HED">Subpart B—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>12. Section 86.144-94 is amended by adding paragraphs (b)(11) and (c)(10) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.144-94 </SECTNO>
                            <SUBJECT>Calculations; exhaust emissions.</SUBJECT>
                            <STARS/>
                            <P>(b) * * *</P>
                            <P>
                                (11) Nitrous Oxide Mass: V
                                <E T="52">mix</E>
                                 × Density
                                <E T="52">N2O</E>
                                 × (N
                                <E T="52">2</E>
                                O
                                <E T="52">conc</E>
                                /1,000,000)
                            </P>
                            <P>(c) * * *</P>
                            <P>
                                (10)(i) N
                                <E T="52">2</E>
                                O
                                <E T="52">mass</E>
                                 = Nitrous oxide emissions, in grams per test phase.
                            </P>
                            <P>
                                (ii) Density
                                <E T="52">N2O</E>
                                 = Density of nitrous oxide is 51.81 g/ft
                                <SU>3</SU>
                                 (1.83 kg/m
                                <SU>3</SU>
                                ), at 68 °F (20 °C) and 760 mm Hg (101.3kPa) pressure.
                            </P>
                            <P>
                                (iii)(A) N
                                <E T="52">2</E>
                                O
                                <E T="52">conc</E>
                                 = Nitrous oxide concentration of the dilute exhaust sample corrected for background, in ppm.
                            </P>
                            <P>
                                (B) N
                                <E T="52">2</E>
                                O
                                <E T="52">conc</E>
                                 = N
                                <E T="52">2</E>
                                O
                                <E T="52">e</E>
                                 − N
                                <E T="52">2</E>
                                O
                                <E T="52">d</E>
                                (1 − (1/DF)).
                            </P>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    N
                                    <E T="52">2</E>
                                    O
                                    <E T="52">e</E>
                                     = Nitrous oxide concentration of the dilute exhaust sample as measured, in ppm.
                                </FP>
                                <FP SOURCE="FP-2">
                                    N
                                    <E T="52">2</E>
                                    O
                                    <E T="52">d</E>
                                     = Nitrous oxide concentration of the dilution air as measured, in ppm.
                                </FP>
                            </EXTRACT>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart F—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>13. Section 86.544-90 is amended by adding paragraphs (b)(8) and (c)(8) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.544-90 </SECTNO>
                            <SUBJECT>Calculations; exhaust emissions.</SUBJECT>
                            <STARS/>
                            <P>(b) * * *</P>
                            <P>
                                (8) Nitrous Oxide Mass: V
                                <E T="52">mix</E>
                                 × Density
                                <E T="52">N2O</E>
                                 × (N
                                <E T="52">2</E>
                                O
                                <E T="52">conc</E>
                                /1,000,000)
                            </P>
                            <P>(c) * * *</P>
                            <P>
                                (8)(i) N
                                <E T="52">2</E>
                                O
                                <E T="52">mass</E>
                                 = Nitrous oxide emissions, in grams per test phase.
                            </P>
                            <P>
                                (ii) Density N2O = Density of nitrous oxide is 51.81 g/ft
                                <SU>3</SU>
                                 (1.83 kg/m
                                <SU>3</SU>
                                ), at 68 °F (20 °C) and 760 mm Hg (101.3kPa) pressure.
                            </P>
                            <P>
                                (iii)(A) N
                                <E T="52">2</E>
                                O
                                <E T="52">conc</E>
                                 = Nitrous oxide concentration of the dilute exhaust sample corrected for background, in ppm.
                            </P>
                            <P>
                                (B) N
                                <E T="52">2</E>
                                O
                                <E T="52">conc</E>
                                 = N
                                <E T="52">2</E>
                                O
                                <E T="52">e</E>
                                -N
                                <E T="52">2</E>
                                O
                                <E T="52">d</E>
                                (1−(1/DF)).
                            </P>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    N
                                    <E T="52">2</E>
                                    O
                                    <E T="52">e</E>
                                     = Nitrous oxide concentration of the dilute exhaust sample as measured, in ppm.
                                </FP>
                                <FP SOURCE="FP-2">
                                    N
                                    <E T="52">2</E>
                                    O
                                    <E T="52">d</E>
                                     = Nitrous oxide concentration of the dilution air as measured, in ppm.
                                </FP>
                            </EXTRACT>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart N—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>14. Section 86.1305-2010 is amended by revising paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1305-2010 </SECTNO>
                            <SUBJECT>Introduction; structure of subpart.</SUBJECT>
                            <STARS/>
                            <P>(b) Use the applicable equipment and procedures for spark-ignition or compression-ignition engines in 40 CFR part 1065 to determine whether engines meet the duty-cycle emission standards in subpart A of this part. Measure the emissions of all regulated pollutants as specified in 40 CFR part 1065. Use the duty cycles and procedures specified in §§ 86.1333-2010, 86.1360-2007, and 86.1362-2010. Adjust emission results from engines using aftertreatment technology with infrequent regeneration events as described in § 86.004-28.</P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart S—[Amended]</HD>
                            <SECTION>
                                <SECTNO>§ 86.1806-01—[Amended] </SECTNO>
                                <SUBJECT/>
                            </SECTION>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>15. Section 86.1806-01 is amended by removing and reserving paragraph (b)(8)(ii).</AMDPAR>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <SECTION>
                            <SECTNO>§ 86.1806-05—[Amended] </SECTNO>
                            <SUBJECT/>
                        </SECTION>
                        <AMDPAR>16. Section 86.1806-05 is amended by removing and reserving paragraph (b)(8)(ii).</AMDPAR>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>17. Section 86.1811-04 is amended by revising paragraph (n) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1811-04 </SECTNO>
                            <SUBJECT>Emission standards for light-duty vehicles, light-duty trucks and medium-duty passenger vehicles.</SUBJECT>
                            <STARS/>
                            <P>
                                (n) 
                                <E T="03">Hybrid electric vehicle (HEV) and Zero Emission Vehicle (ZEV) requirements.</E>
                                 For FTP and SFTP exhaust emissions, manufacturers must measure emissions from all HEVs and ZEVs according to the procedures specified in SAE J1711 and SAE J1634, respectively (incorporated by reference in § 86.1).
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>18. Section 86.1818-12 is amended by revising paragraph (f) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1818-12 </SECTNO>
                            <SUBJECT>Greenhouse gas emission standards for light-duty vehicles, light-duty trucks, and medium-duty passenger vehicles.</SUBJECT>
                            <STARS/>
                            <P>
                                (f) 
                                <E T="03">Nitrous oxide (N</E>
                                <E T="52">2</E>
                                <E T="03">O) and methane (CH</E>
                                <E T="52">4</E>
                                ) 
                                <E T="03">exhaust emission standards for passenger automobiles and light trucks.</E>
                                 Each manufacturer's fleet of combined passenger automobile and light trucks must comply with N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 standards using either the provisions of paragraph (f)(1), (f)(2), or (f)(3) of this section. Except with prior EPA approval, a manufacturer may not use the provisions of both paragraphs (f)(1) and (2) of this section in a model year. For example, a manufacturer may not use the provisions of paragraph (f)(1) of this section for their passenger automobile fleet and the provisions of paragraph (f)(2) of this section for their light truck fleet in the same model year. The manufacturer may use the provisions of both paragraphs (f)(1) and (3) of this section in a model year. For example, a manufacturer may meet the N
                                <E T="52">2</E>
                                O standard in paragraph (f)(1)(i) of this section and an alternative CH
                                <E T="52">4</E>
                                 standard determined under paragraph (f)(3) of this section in the same model year. Use of the provisions in paragraph (f)(3) of this section is limited to the 2012 through 2016 model years.
                            </P>
                            <P>
                                (1) 
                                <E T="03">Standards applicable to each test group.</E>
                                 (i) Exhaust emissions of nitrous oxide (N
                                <E T="52">2</E>
                                O) shall not exceed 0.010 grams per mile at full useful life, as measured according to the Federal Test Procedure (FTP) described in subpart B of this part. Manufacturers may optionally determine an alternative N
                                <E T="52">2</E>
                                O standard under paragraph (f)(3) of this section. (ii) Exhaust emissions of methane (CH
                                <E T="52">4</E>
                                ) shall not exceed 0.030 grams per mile at full useful life, as measured according to the Federal Test Procedure (FTP) described in subpart B of this part. Manufacturers may optionally determine an alternative CH
                                <E T="52">4</E>
                                 standard under paragraph (f)(3) of this section.
                            </P>
                            <P>
                                (2) 
                                <E T="03">Include N</E>
                                  
                                <E T="52">2</E>
                                <E T="03">O and CH</E>
                                <E T="52">4</E>
                                  
                                <E T="03">in fleet averaging program.</E>
                                 Manufacturers may elect to not meet the emission standards in paragraph (f)(1) of this section. Manufacturers making this election shall include N
                                <E T="52">2</E>
                                O 
                                <E T="03">and</E>
                                 CH
                                <E T="52">4</E>
                                 emissions in the determination of their fleet average carbon-related exhaust emissions, as calculated in 40 CFR part 600, subpart F. Manufacturers using this option must include both N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 full useful life values in the fleet average calculations for passenger automobiles and light trucks. Use of this option will account for N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 emissions within the carbon-related exhaust emission value determined for each model type according to the provisions of 40 CFR part 600. This option requires the determination of full useful life emission values for both the Federal Test Procedure and the Highway Fuel Economy Test. Manufacturers selecting this option are not required to demonstrate compliance with the standards in paragraph (f)(1) of this section.
                            </P>
                            <P>
                                (3) 
                                <E T="03">Optional use of alternative N</E>
                                <E T="52">2</E>
                                <E T="03">O and/or CH</E>
                                <E T="52">4</E>
                                  
                                <E T="03">standards.</E>
                                 Manufacturers may select an alternative standard applicable to a test group, for either N
                                <E T="52">2</E>
                                O, CH
                                <E T="52">4,</E>
                                 or both. For example, a manufacturer may choose to meet the N
                                <E T="52">2</E>
                                O standard in paragraph (f)(1)(i) of this section and an alternative CH
                                <E T="52">4</E>
                                  
                                <PRTPAGE P="57378"/>
                                standard in lieu of the standard in paragraph (f)(1)(ii) of this section. The alternative standard for each pollutant must be greater than the applicable exhaust emission standard specified in paragraph (f)(1) of this section. Alternative N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 standards apply to emissions measured according to the Federal Test Procedure (FTP) described in Subpart B of this part for the full useful life, and become the applicable certification and in-use emission standard(s) for the test group. Manufacturers using an alternative standard for N
                                <E T="52">2</E>
                                O and/or CH
                                <E T="52">4</E>
                                 must calculate emission debits according to the provisions of paragraph (f)(4) of this section for each test group/alternative standard combination. Debits must be included in the calculation of total credits or debits generated in a model year as required under § 86.1865-12(k)(5). For flexible fuel vehicles (or other vehicles certified for multiple fuels) you must meet these alternative standards when tested on any applicable test fuel type.
                            </P>
                            <P>
                                (4) 
                                <E T="03">CO</E>
                                <E T="52">2</E>
                                <E T="03">-equivalent debits.</E>
                                 CO
                                <E T="52">2</E>
                                -equivalent debits for test groups using an alternative N
                                <E T="52">2</E>
                                Oand/or CH
                                <E T="52">4</E>
                                 standard as determined under paragraph (f)(3) of this section shall be calculated according to the following equation and rounded to the nearest megagram:
                            </P>
                            <P>Debits = [GWP × (Production) × (AltStd—Std) × VLM]/1,000,000</P>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    Debits = N
                                    <E T="52">2</E>
                                    O or CH
                                    <E T="52">4</E>
                                     CO
                                    <E T="52">2</E>
                                    -equivalent debits for a test group using an alternative N
                                    <E T="52">2</E>
                                    O or CH
                                    <E T="52">4</E>
                                     standard;
                                </FP>
                                <FP SOURCE="FP-2">
                                    GWP = 25 if calculating CH
                                    <E T="52">4</E>
                                     debits and 298 if calculating N
                                    <E T="52">2</E>
                                    O debits;
                                </FP>
                                <FP SOURCE="FP-2">Production = The number of vehicles of that test group domestically produced plus those imported as defined in § 600.511 of this chapter;</FP>
                                <FP SOURCE="FP-2">
                                    AltStd = The alternative standard (N
                                    <E T="52">2</E>
                                    O or CH
                                    <E T="52">4</E>
                                    ) selected by the manufacturer under paragraph (f)(3) of this section;
                                </FP>
                                <FP SOURCE="FP-2">
                                    Std = The exhaust emission standard for N
                                    <E T="52">2</E>
                                    O or CH
                                    <E T="52">4</E>
                                     specified in paragraph (f)(1) of this section; and
                                </FP>
                                <FP SOURCE="FP-2">VLM = 195,264 for passenger automobiles and 225,865 for light trucks.</FP>
                            </EXTRACT>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>19. Section 86.1823-08 is amended by revising paragraph (m) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1823-08 </SECTNO>
                            <SUBJECT>Durability demonstration procedures for exhaust emissions.</SUBJECT>
                            <STARS/>
                            <P>
                                (m) 
                                <E T="03">Durability demonstration procedures for vehicles subject to the greenhouse gas exhaust emission standards specified in § 86.1818.</E>
                                 (1) 
                                <E T="03">CO</E>
                                <E T="52">2</E>
                                <E T="03">.</E>
                                 (i) Unless otherwise specified under paragraph (m)(1)(ii) of this section, manufacturers may use a multiplicative CO
                                <E T="52">2</E>
                                 deterioration factor of one or an additive deterioration factor of zero to determine full useful life emissions for the FTP and HFET tests.
                            </P>
                            <P>
                                (ii) Based on an analysis of industry-wide data, EPA may periodically establish and/or update the deterioration factor for CO
                                <E T="52">2</E>
                                 emissions, including air conditioning and other credit-related emissions. Deterioration factors established and/or updated under this paragraph (m)(1)(ii) will provide adequate lead time for manufacturers to plan for the change.
                            </P>
                            <P>
                                (iii) Alternatively, manufacturers may use the whole-vehicle mileage accumulation procedures in § 86.1823-08 (c) or (d)(1) to determine CO
                                <E T="52">2</E>
                                 deterioration factors. In this case, each FTP test performed on the durability data vehicle selected under § 86.1822 must also be accompanied by an HFET test, and combined FTP/HFET CO
                                <E T="52">2</E>
                                 results determined by averaging the city (FTP) and highway (HFET) CO
                                <E T="52">2</E>
                                 values, weighted 0.55 and 0.45 respectively. The deterioration factor will be determined for this combined CO
                                <E T="52">2</E>
                                 value. Calculated multiplicative deterioration factors that are less than one shall be set to equal one, and calculated additive deterioration factors that are less than zero shall be set to zero.
                            </P>
                            <P>
                                (iv) If, in the good engineering judgment of the manufacturer, the deterioration factors determined according to paragraphs (m)(1)(i), (m)(1)(ii), or (m)(1)(iii) of this section do not adequately account for the expected CO
                                <E T="52">2</E>
                                 emission deterioration over the vehicle's useful life, the manufacturer may petition EPA to request a more appropriate deterioration factor.
                            </P>
                            <P>
                                (2) 
                                <E T="03">N</E>
                                <E T="52">2</E>
                                <E T="03">O and CH</E>
                                <E T="52">4</E>
                                <E T="03">.</E>
                                 (i) For manufacturers complying with the FTP emission standards for N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 specified in § 86.1818-12(f)(1) or determined under § 86.1818-12(f)(3), FTP-based deterioration factors for N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 shall be determined according to the provisions of paragraphs (a) through (l) of this section.
                            </P>
                            <P>
                                (ii) For manufacturers complying with the fleet averaging option for N
                                <E T="52">2</E>
                                O and CH
                                <E T="52">4</E>
                                 as allowed under § 86.1818-12(f)(2), deterioration factors based on FTP testing shall be determined and may be used to determine full useful life emissions for the FTP and HFET tests. The manufacturer may at its option determine separate deterioration factors for the FTP and HFET test cycles, in which case each FTP test performed on the durability data vehicle selected under § 86.1822 of this part must also be accompanied by an HFET test.
                            </P>
                            <P>
                                (iii) For the 2012 through 2014 model years only, manufacturers may use alternative deterioration factors. For N
                                <E T="52">2</E>
                                O, the alternative deterioration factor to be used to adjust FTP and HFET emissions is the deterioration factor determined for NO
                                <E T="52">X</E>
                                 emissions according to the provisions of this section. For CH
                                <E T="52">4</E>
                                , the alternative deterioration factor to be used to adjust FTP and HFET emissions is the deterioration factor determined for NMOG or NMHC emissions according to the provisions of this section.
                            </P>
                            <P>
                                (3) 
                                <E T="03">Other carbon-related exhaust emissions.</E>
                                 FTP-based deterioration factors shall be determined for carbon-related exhaust emissions (CREE), hydrocarbons, and CO according to the provisions of paragraphs (a) through (l) of this section. The FTP-based deterioration factor shall be used to determine full useful life emissions for both the FTP (city) and HFET (highway) test cycles. The manufacturer may at its option determine separate deterioration factors for the FTP and HFET test cycles, in which case each FTP test performed on the durability data vehicle selected under § 86.1822 must also be accompanied by an HFET test. In lieu of determining emission-specific deterioration factors for the specific hydrocarbons of CH
                                <E T="52">3</E>
                                OH (methanol), HCHO (formaldehyde), C
                                <E T="52">2</E>
                                H
                                <E T="52">5</E>
                                OH (ethanol), and C
                                <E T="52">2</E>
                                H
                                <E T="52">4</E>
                                O (acetaldehyde) as may be required for some alternative fuel vehicles, manufacturers may use the additive or multiplicative deterioration factor determined for (or derived from, using good engineering judgment) NMOG or NMHC emissions according to the provisions of this section.
                            </P>
                            <P>
                                (4) 
                                <E T="03">Air Conditioning leakage and efficiency or other emission credit requirements to comply with exhaust</E>
                                 CO
                                <E T="52">2</E>
                                  
                                <E T="03">standards.</E>
                                 Manufactures will attest to the durability of components and systems used to meet the CO
                                <E T="52">2</E>
                                 standards. Manufacturers may submit engineering data to provide durability demonstration. Deterioration factors do not apply to emission-related components and systems used to generate air conditioning leakage and/or efficiency credits.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>20. Section 86.1844-01 is amended by revising paragraph (d)(15) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1844-01 </SECTNO>
                            <SUBJECT>Information requirements: Application for certification and submittal of information upon request.</SUBJECT>
                            <STARS/>
                            <P>(d) * * *</P>
                            <P>(15)(i) For HEVs and EVs, describe the recharging procedures and methods for determining battery performance, such as state of charge and charging capacity.</P>
                            <P>
                                (ii) For vehicles with fuel-fired heaters, include the information specified in this paragraph (d)(15)(ii). 
                                <PRTPAGE P="57379"/>
                                Describe the control system logic of the fuel-fired heater, including an evaluation of the conditions under which it can be operated and an evaluation of the possible operational modes and conditions under which evaporative emissions can exist. Use good engineering judgment to establish an estimated exhaust emission rate from the fuel-fired heater in grams per mile. Describe the testing used to establish the exhaust emission rate.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>21. Section 86.1863-07 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1863-07 </SECTNO>
                            <SUBJECT>Chassis certification for diesel vehicles.</SUBJECT>
                            <P>(a) A manufacturer may optionally certify heavy-duty diesel vehicles 14,000 pounds GVWR or less to the standards specified in § 86.1816. Such vehicles must meet all the requirements of this subpart S that are applicable to Otto-cycle vehicles, except for evaporative, refueling, and OBD requirements where the diesel-specific OBD requirements would apply.</P>
                            <P>(b) For OBD, diesel vehicles optionally certified under this section are subject to the OBD requirements of § 86.1806.</P>
                            <P>(c) Diesel vehicles certified under this section may be tested using the test fuels, sampling systems, or analytical systems specified for diesel engines in subpart N of this part or in 40 CFR part 1065.</P>
                            <P>(d) Diesel vehicles optionally certified under this section to the standards of this subpart may not be included in any averaging, banking, or trading program for criteria emissions under this part.</P>
                            <P>(e) The provisions of § 86.004-40 apply to the engines in vehicles certified under this section.</P>
                            <P>(f) Diesel vehicles may be certified under this section to the standards applicable to model year 2008 in earlier model years.</P>
                            <P>(g) Diesel vehicles optionally certified under this section in model years 2007, 2008, or 2009 shall be included in phase-in calculations specified in § 86.007-11(g).</P>
                            <P>(h) Diesel vehicles subject to the standards of 40 CFR 1037.104 are subject to the provisions of this subpart as specified in 40 CFR 1037.104.</P>
                            <P>
                                (i) Non-petroleum fueled complete vehicles subject to the standards
                                <E T="03"/>
                                 and requirements of this part under § 86.016-01(d)(5) are subject to the provisions of this section applicable to diesel-fueled heavy-duty vehicles.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="86">
                        <AMDPAR>22. Section 86.1865-12 is amended by adding paragraph (k)(5)(iv) and by revising paragraphs (l)(1)(ii)(F) and (l)(2)(i) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 86.1865-12 </SECTNO>
                            <SUBJECT>
                                How to comply with the fleet average CO
                                <E T="52">2</E>
                                 standards.
                            </SUBJECT>
                            <STARS/>
                            <P>(k) * * *</P>
                            <P>(5) * * *</P>
                            <P>
                                (iv) N
                                <E T="52">2</E>
                                O and/or CH
                                <E T="52">4</E>
                                 CO
                                <E T="52">2</E>
                                -equivalent debits accumulated according to the provisions of § 86.1818-12(f)(4).
                            </P>
                            <STARS/>
                            <P>(l) * * *</P>
                            <P>(1) * * *</P>
                            <P>(ii) * * *</P>
                            <P>
                                (F) Carbon-related exhaust emission standard, N
                                <E T="52">2</E>
                                O emission standard, and CH
                                <E T="52">4</E>
                                 emission standard to which the passenger car or light truck is certified.
                            </P>
                            <STARS/>
                            <P>(2) * * *</P>
                            <P>
                                (i) Each manufacturer must submit an annual report. The annual report must contain for each applicable CO
                                <E T="52">2</E>
                                 standard, the calculated fleet average CO
                                <E T="52">2</E>
                                 value, all values required to calculate the CO
                                <E T="52">2</E>
                                 emissions value, the number of credits generated or debits incurred, all the values required to calculate the credits or debits, and the resulting balance of credits or debits. For each applicable alternative N
                                <E T="52">2</E>
                                O and/or CH
                                <E T="52">4</E>
                                 standard selected under the provisions of § 86.1818-12(f)(3), the report must contain the N
                                <E T="52">2</E>
                                O and/or CH
                                <E T="52">4</E>
                                 CO
                                <E T="52">2</E>
                                -equivalent debits calculated according to § 86.1818-12(f)(4) for each test group and all values required to calculate the number of debits incurred.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="600">
                        <PART>
                            <HD SOURCE="HED">PART 600—FUEL ECONOMY AND GREENHOUSE GAS EXHAUST EMISSIONS OF MOTOR VEHICLES</HD>
                        </PART>
                        <AMDPAR>23. The authority citation for part 600 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority: </HD>
                            <P>49 U.S.C. 32901—23919q, Pub. L. 109-58.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="600">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart A—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>24. Section 600.011 is amended by revising paragraph (c)(3) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 600.011 </SECTNO>
                            <SUBJECT>Incorporation by reference.</SUBJECT>
                            <STARS/>
                            <P>(c) * * *</P>
                            <P>(3) SAE J1711, Recommended Practice for Measuring the Exhaust Emissions and Fuel Economy of Hybrid-Electric Vehicles, Including Plug-In Hybrid Vehicles, June 2010, IBR approved for §§ 600.114-12(c) and (f), 600.116-12(b), and 600.311-12(d), (j), and (k).</P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart B—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="600">
                        <AMDPAR>25. Section 600.114-12 is amended by revising the introductory text of paragraph (c), paragraph (e)(2)(ii), and the introductory text of paragraph (f), to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 600.114-12 </SECTNO>
                            <SUBJECT>Vehicle-specific 5-cycle fuel economy and carbon-related exhaust emission calculations.</SUBJECT>
                            <STARS/>
                            <P>
                                (c) 
                                <E T="03">Fuel economy calculations for hybrid electric vehicles.</E>
                                 Test hybrid electric vehicles as described in SAE J1711 (incorporated by reference in § 600.011). For FTP testing, this generally involves emission sampling over four phases (bags) of the UDDS (cold-start, transient, warm-start, transient); however, these four phases may be combined into two phases (phases 1 + 2 and phases 3 + 4). Calculations for these sampling methods follow:
                            </P>
                            <STARS/>
                            <P>(e) * * *</P>
                            <P>(2) * * *</P>
                            <P>(ii) Determine the 5-cycle highway carbon-related exhaust emissions according to the following formula:</P>
                            <GPH SPAN="3" DEEP="25">
                                <GID>ER15SE11.064</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <GPH SPAN="3" DEEP="25">
                                    <GID>ER15SE11.065</GID>
                                </GPH>
                                <PRTPAGE P="57380"/>
                                <FP SOURCE="FP-2">
                                    Start CREE
                                    <E T="52">75</E>
                                     = 3.6 × (Bag 1CREE
                                    <E T="52">75</E>
                                     − Bag 3CREE
                                    <E T="52">75</E>
                                    )
                                </FP>
                                <FP SOURCE="FP-2">Running CREE = 1.007 × [(0.79 × US06 Highway CREE) + (0.21 × HFET CREE)] + [0.377 × 0.133 × ((0.00540 × A) + (0.1357 × US06 CREE))]</FP>
                            </EXTRACT>
                            <STARS/>
                            <P>
                                (f) 
                                <E T="03">CO</E>
                                <E T="52">2</E>
                                  
                                <E T="03">and carbon-related exhaust emissions calculations for hybrid electric vehicles.</E>
                                 Test hybrid electric vehicles as described in SAE J1711 (incorporated by reference in § 600.011). For FTP testing, this generally involves emission sampling over four phases (bags) of the UDDS (cold-start, transient, warm-start, transient); however, these four phases may be combined into two phases (phases 1 + 2 and phases 3 + 4). Calculations for these sampling methods follow:
                            </P>
                            <STARS/>
                        </SECTION>
                        <AMDPAR>26. Section 600.115-11 is amended by revising the introductory text to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 600.115-11 </SECTNO>
                            <SUBJECT>Criteria for determining the fuel economy label calculation method.</SUBJECT>
                            <P>
                                This section provides the criteria to determine if the derived 5-cycle method for determining fuel economy label values, as specified in § 600.210-08(a)(2) or (b)(2) or § 600.210-12(a)(2) or (b)(2), as applicable, may be used to determine label values. Separate criteria apply to city and highway fuel economy for each test group. The provisions of this section are optional. If this option is not chosen, or if the criteria provided in this section are not met, fuel economy label values must be determined according to the vehicle-specific 5-cycle method specified in § 600.210-08(a)(1) or (b)(1) or § 600.210-12(a)(1) or (b)(1), as applicable. However, dedicated alternative-fuel vehicles, dual fuel vehicles when operating on the alternative fuel, plug-in hybrid electric vehicles while operating in charge-depleting mode, MDPVs, and vehicles imported by Independent Commercial Importers may use the derived 5-cycle method for determining fuel economy label values whether or not the criteria provided in this section are met. Manufacturers may alternatively account for this effect by multiplying 2-cycle fuel economy values by 0.7 and dividing 2-cycle CO
                                <E T="52">2</E>
                                 emission values by 0.7.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="600">
                        <AMDPAR>
                            27. Section 600.116-12 is amended by adding paragraph (a)(6) and revising the equation for 
                            <E T="03">UF</E>
                            <E T="52">i</E>
                             in paragraph (b)(4) to read as follows:
                        </AMDPAR>
                        <SECTION>
                            <SECTNO>§ 600.116-12 </SECTNO>
                            <SUBJECT>Special procedures related to electric vehicles and plug-in hybrid electric vehicles.</SUBJECT>
                            <P>(a) * * *</P>
                            <P>(6) All label values related to fuel economy, energy consumption, and range must be based on 5-cycle testing or on values adjusted to be equivalent to 5-cycle results.</P>
                            <P>(b) * * *</P>
                            <P>(4) * * *</P>
                            <GPH SPAN="3" DEEP="38">
                                <GID>ER15SE11.066</GID>
                            </GPH>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart C—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="600">
                        <AMDPAR>28. Section 600.210-12 is amended by revising paragraph (d)(3)(ii) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 600.210-12 </SECTNO>
                            <SUBJECT>
                                Calculation of fuel economy and CO
                                <E T="52">2</E>
                                 emission values for labeling.
                            </SUBJECT>
                            <STARS/>
                            <P>(d) * * *</P>
                            <P>(3) * * *</P>
                            <P>
                                (ii) Multiply 2-cycle fuel economy values by 0.7 and divide 2-cycle CO
                                <E T="52">2</E>
                                 emission values by 0.7.
                            </P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart D—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="600">
                        <AMDPAR>29. Section 600.302-12 is amended by revising paragraph (e)(4) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 600.302-12 </SECTNO>
                            <SUBJECT>Fuel economy label—general provisions.</SUBJECT>
                            <P>(e) * * *</P>
                            <P>(4) Insert a slider bar in the right portion of the field to characterize the vehicle's level of emission control for ozone-related air pollutants relative to that of all vehicles. Position a box with a downward-pointing wedge above the slider bar positioned to show where that vehicle's emission rating falls relative to the total range. Include the vehicle's emission rating (as described in § 600.311) inside the box. Include the number 1 in the border at the left end of the slider bar; include the number 10 in the border at the right end of the slider bar and add the term “Best” below the slider bar, directly under the number. EPA will periodically calculate and publish updated range values as described in § 600.311. Add color to the slider bar such that it is blue at the left end of the range, white at the right end of the range, and shaded continuously across the range.</P>
                            <STARS/>
                        </SECTION>
                        <AMDPAR>30. Section 600.311-12 is amended by revising paragraph (f) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 600.311-12 </SECTNO>
                            <SUBJECT>Determination of values for fuel economy labels.</SUBJECT>
                            <STARS/>
                            <P>
                                (f) 
                                <E T="03">Fuel savings.</E>
                                 Calculate an estimated five-year cost increment relative to an average vehicle by multiplying the annual fuel cost from paragraph (e) of this section by 5 and subtracting this value from the average five-year fuel cost. We will calculate the average five-year fuel cost from the annual fuel cost equation in paragraph (e) of this section based on a gasoline-fueled vehicle with a mean fuel economy value, consistent with the value dividing the 5 and 6 ratings under paragraph (d) of this section. The average five-year fuel cost for model year 2012 is $12,600 for a 22-mpg vehicle that drives 15,000 miles per year with gasoline priced at $3.70 per gallon. We may periodically update this five year reference fuel cost for later model years to better characterize the fuel economy for an average vehicle. Round the calculated five-year cost increment to the nearest $50. Negative values represent a cost increase compared to the average vehicle.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1033">
                        <PART>
                            <HD SOURCE="HED">PART 1033—CONTROL OF EMISSIONS FROM LOCOMOTIVES</HD>
                        </PART>
                        <AMDPAR>31. The authority citation for part 1033 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority:</HD>
                            <P>42 U.S.C. 7401-7671q.</P>
                        </AUTH>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart G—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="600">
                        <AMDPAR>32. Section 1033.625 is amended by revising paragraph (a)(2) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1033.625 </SECTNO>
                            <SUBJECT>Special certification provisions for non-locomotive-specific engines.</SUBJECT>
                            <STARS/>
                            <P>(a) * * *</P>
                            <P>
                                (2) The engines were certified to PM, NO
                                <E T="52">X</E>
                                , and hydrocarbon standards that are numerically lower than the applicable locomotive standards of this part.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1036">
                        <PRTPAGE P="57381"/>
                        <AMDPAR>33. A new part 1036 is added to subchapter U to read as follows:</AMDPAR>
                        <PART>
                            <HD SOURCE="HED">PART 1036—CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY HIGHWAY ENGINES</HD>
                            <CONTENTS>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart A—Overview and Applicability</HD>
                                    <SECHD>Sec.</SECHD>
                                    <SECTNO>1036.1</SECTNO>
                                    <SUBJECT> Does this part apply for my engines?</SUBJECT>
                                    <SECTNO>1036.2 </SECTNO>
                                    <SUBJECT>Who is responsible for compliance?</SUBJECT>
                                    <SECTNO>1036.5 Which </SECTNO>
                                    <SUBJECT>engines are excluded from this part's requirements?</SUBJECT>
                                    <SECTNO>1036.10</SECTNO>
                                    <SUBJECT> How is this part organized?</SUBJECT>
                                    <SECTNO>1036.15 </SECTNO>
                                    <SUBJECT>Do any other regulation parts apply to me?</SUBJECT>
                                    <SECTNO>1036.30 </SECTNO>
                                    <SUBJECT>Submission of information.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart B—Emission Standards and Related Requirements</HD>
                                    <SECTNO>1036.100</SECTNO>
                                    <SUBJECT> Overview of exhaust emission standards.</SUBJECT>
                                    <SECTNO>1036.108 </SECTNO>
                                    <SUBJECT>Greenhouse gas emission standards.</SUBJECT>
                                    <SECTNO>1036.115 </SECTNO>
                                    <SUBJECT>Other requirements.</SUBJECT>
                                    <SECTNO>1036.130 </SECTNO>
                                    <SUBJECT>Installation instructions for vehicle manufacturers.</SUBJECT>
                                    <SECTNO>1036.135 </SECTNO>
                                    <SUBJECT>Labeling.</SUBJECT>
                                    <SECTNO>1036.140 </SECTNO>
                                    <SUBJECT>Primary intended service class.</SUBJECT>
                                    <SECTNO>1036.150 </SECTNO>
                                    <SUBJECT>Interim provisions.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart C—Certifying Engine Families</HD>
                                    <SECTNO>1036.205</SECTNO>
                                    <SUBJECT> What must I include in my application?</SUBJECT>
                                    <SECTNO>1036.210 </SECTNO>
                                    <SUBJECT>Preliminary approval before certification.</SUBJECT>
                                    <SECTNO>1036.225</SECTNO>
                                    <SUBJECT> Amending my application for certification.</SUBJECT>
                                    <SECTNO>1036.230</SECTNO>
                                    <SUBJECT> Selecting engine families.</SUBJECT>
                                    <SECTNO>1036.235 </SECTNO>
                                    <SUBJECT>Testing requirements for certification.</SUBJECT>
                                    <SECTNO>1036.241</SECTNO>
                                    <SUBJECT>Demonstrating compliance with greenhouse gas pollutant standards.</SUBJECT>
                                    <SECTNO>1036.250</SECTNO>
                                    <SUBJECT> Reporting and recordkeeping for certification.</SUBJECT>
                                    <SECTNO>1036.255</SECTNO>
                                    <SUBJECT> What decisions may EPA make regarding my certificate of conformity?</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart D—[Reserved]</HD>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart E—In-use Testing</HD>
                                    <SECTNO>1036.401 </SECTNO>
                                    <SUBJECT>In-use testing.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart F—Test Procedures</HD>
                                    <SECTNO>1036.501</SECTNO>
                                    <SUBJECT> How do I run a valid emission test?</SUBJECT>
                                    <SECTNO>1036.525</SECTNO>
                                    <SUBJECT> Hybrid engines.</SUBJECT>
                                    <SECTNO>1036.530</SECTNO>
                                    <SUBJECT> Calculating greenhouse gas emission rates.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart G—Special Compliance Provisions</HD>
                                    <SECTNO>1036.601</SECTNO>
                                    <SUBJECT> What compliance provisions apply to these engines?</SUBJECT>
                                    <SECTNO>1036.610</SECTNO>
                                    <SUBJECT> Innovative technology credits and adjustments for reducing greenhouse gas emissions.</SUBJECT>
                                    <SECTNO>1036.615</SECTNO>
                                    <SUBJECT> Engines with Rankine cycle waste heat recovery and hybrid powertrains.</SUBJECT>
                                    <SECTNO>1036.620</SECTNO>
                                    <SUBJECT>
                                         Alternate CO
                                        <E T="52">2</E>
                                         standards based on model year 2011 compression-ignition engines.
                                    </SUBJECT>
                                    <SECTNO>1036.625</SECTNO>
                                    <SUBJECT> In-use compliance with family emission limits (FELs).</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart H—Averaging, Banking, and Trading for Certification</HD>
                                    <SECTNO>1036.701</SECTNO>
                                    <SUBJECT> General provisions.</SUBJECT>
                                    <SECTNO>1036.705</SECTNO>
                                    <SUBJECT> Generating and calculating emission credits.</SUBJECT>
                                    <SECTNO>1036.710</SECTNO>
                                    <SUBJECT> Averaging.</SUBJECT>
                                    <SECTNO>1036.715</SECTNO>
                                    <SUBJECT> Banking.</SUBJECT>
                                    <SECTNO>1036.720</SECTNO>
                                    <SUBJECT> Trading.</SUBJECT>
                                    <SECTNO>1036.725</SECTNO>
                                    <SUBJECT> What must I include in my application for certification?</SUBJECT>
                                    <SECTNO>1036.730</SECTNO>
                                    <SUBJECT> ABT reports.</SUBJECT>
                                    <SECTNO>1036.735</SECTNO>
                                    <SUBJECT> Recordkeeping.</SUBJECT>
                                    <SECTNO>1036.740</SECTNO>
                                    <SUBJECT> Restrictions for using emission credits.</SUBJECT>
                                    <SECTNO>1036.745</SECTNO>
                                    <SUBJECT>
                                         End-of-year CO
                                        <E T="52">2</E>
                                         credit deficits.
                                    </SUBJECT>
                                    <SECTNO>1036.750</SECTNO>
                                    <SUBJECT> What can happen if I do not comply with the provisions of this subpart?</SUBJECT>
                                    <SECTNO>1036.755</SECTNO>
                                    <SUBJECT> Information provided to the Department of Transportation.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart I—Definitions and Other Reference Information</HD>
                                    <SECTNO>1036.801</SECTNO>
                                    <SUBJECT> Definitions.</SUBJECT>
                                    <SECTNO>1036.805</SECTNO>
                                    <SUBJECT> Symbols, acronyms, and abbreviations.</SUBJECT>
                                    <SECTNO>1036.810 </SECTNO>
                                    <SUBJECT>Incorporation by reference.</SUBJECT>
                                    <SECTNO>1036.815</SECTNO>
                                    <SUBJECT> Confidential information.</SUBJECT>
                                    <SECTNO>1036.820</SECTNO>
                                    <SUBJECT> Requesting a hearing.</SUBJECT>
                                    <SECTNO>1036.825</SECTNO>
                                    <SUBJECT> Reporting and recordkeeping requirements.</SUBJECT>
                                </SUBPART>
                            </CONTENTS>
                            <AUTH>
                                <HD SOURCE="HED">Authority: </HD>
                                <P>42 U.S.C. 7401-7671q.</P>
                            </AUTH>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart A—Overview and Applicability</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.1 </SECTNO>
                                    <SUBJECT>Does this part apply for my engines?</SUBJECT>
                                    <P>(a) Except as specified in § 1036.5, the provisions of this part apply to all new 2014 model year and later heavy-duty engines. This includes engines fueled by conventional and alternative fuels.</P>
                                    <P>
                                        (b) This part does not apply with respect to exhaust emission standards for HC, CO, NO
                                        <E T="52">X</E>
                                        , or PM except that the provisions of § 1036.601 apply.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.2 </SECTNO>
                                    <SUBJECT>Who is responsible for compliance?</SUBJECT>
                                    <P>The regulations in this part 1036 contain provisions that affect both engine manufacturers and others. However, the requirements of this part are generally addressed to the engine manufacturer. The term “you” generally means the engine manufacturer, especially for issues related to certification.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.5 </SECTNO>
                                    <SUBJECT>Which engines are excluded from this part's requirements?</SUBJECT>
                                    <P>(a) The provisions of this part do not apply to engines used in medium-duty passenger vehicles that are subject to regulation under 40 CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart S, and § 1036.108(a)(4). For example, this exclusion applies for engines used in vehicles certified to the standards of 40 CFR 1037.104.</P>
                                    <P>(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 parts 1039, 1048, or 1054 for other requirements that apply for these auxiliary engines. See 40 CFR part 1037 for requirements that may apply for vehicles using these engines, such as the evaporative emission requirements of 40 CFR 1037.103.</P>
                                    <P>(c) The provisions of this part do not apply to aircraft or aircraft engines. Standards apply separately to certain aircraft engines, as described in 40 CFR part 87.</P>
                                    <P>(d) The provisions of this part do not apply to engines that are not internal combustion engines. For example, the provisions of this part do not apply to fuel cells.</P>
                                    <P>(e) The provisions of this part do not apply to engines used in heavy-duty vehicles that are subject to light-duty greenhouse gas standards under 40 CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart S, and § 1036.108(a)(4).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.10 </SECTNO>
                                    <SUBJECT>How is this part organized?</SUBJECT>
                                    <P>This part 1036 is divided into the following subparts:</P>
                                    <P>(a) Subpart A of this part defines the applicability of this part 1036 and gives an overview of regulatory requirements.</P>
                                    <P>(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify engines under this part. Note that § 1036.150 describes certain interim requirements and compliance provisions that apply only for a limited time.</P>
                                    <P>(c) Subpart C of this part describes how to apply for a certificate of conformity.</P>
                                    <P>(d) [Reserved]</P>
                                    <P>(e) Subpart E of this part describes provisions for testing in-use engines.</P>
                                    <P>(f) Subpart F of this part describes how to test your engines (including references to other parts of the Code of Federal Regulations).</P>
                                    <P>(g) Subpart G of this part describes requirements, prohibitions, and other provisions that apply to engine manufacturers, vehicle manufacturers, owners, operators, rebuilders, and all others.</P>
                                    <P>(h) Subpart H of this part describes how you may generate and use emission credits to certify your engines.</P>
                                    <P>(i) Subpart I of this part contains definitions and other reference information.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.15 </SECTNO>
                                    <SUBJECT>Do any other regulation parts apply to me?</SUBJECT>
                                    <P>
                                        (a) Part 86 of this chapter describes additional requirements that apply to 
                                        <PRTPAGE P="57382"/>
                                        engines that are subject to this part 1036. This part extensively references portions of 40 CFR part 86. For example, the regulations of part 86 specify emission standards and certification procedures related to criteria pollutants.
                                    </P>
                                    <P>(b) Part 1037 of this chapter describes requirements for controlling evaporative emissions and greenhouse gas emissions from heavy-duty vehicles, whether or not they use engines certified under this part. It also includes standards and requirements that apply instead of the standards and requirements of this part in some cases.</P>
                                    <P>(c) Part 1065 of this chapter describes procedures and equipment specifications for testing engines to measure exhaust emissions. Subpart F of this part 1036 describes how to apply the provisions of part 1065 of this chapter to determine whether engines meet the exhaust emission standards in this part.</P>
                                    <P>(d) Certain provisions of part 1068 of this chapter apply as specified in § 1036.601 to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the engines subject to this part 1036, or vehicles containing these engines. Part 1068 of this chapter describes general provisions that apply broadly, but do not necessarily apply for all engines or all persons. The issues addressed by these provisions include these seven areas:</P>
                                    <P>(1) Prohibited acts and penalties for engine manufacturers, vehicle manufacturers, and others.</P>
                                    <P>(2) Rebuilding and other aftermarket changes.</P>
                                    <P>(3) Exclusions and exemptions for certain engines.</P>
                                    <P>(4) Importing engines.</P>
                                    <P>(5) Selective enforcement audits of your production.</P>
                                    <P>(6) Recall.</P>
                                    <P>(7) Procedures for hearings.</P>
                                    <P>(e) Other parts of this chapter apply if referenced in this part.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.30 </SECTNO>
                                    <SUBJECT>Submission of information.</SUBJECT>
                                    <P>Send all reports and requests for approval to the Designated Compliance Officer (see § 1036.801). See § 1036.825 for additional reporting and recordkeeping provisions.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart B—Emission Standards and Related Requirements</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.100 </SECTNO>
                                    <SUBJECT>Overview of exhaust emission standards.</SUBJECT>
                                    <P>Engines used in vehicles certified to the applicable chassis standards for greenhouse gas pollutants described in 40 CFR 1037.104 are not subject to the standards specified in this part. All other engines subject to this part must meet the greenhouse gas standards in § 1036.108 in addition to the criteria pollutant standards of 40 CFR part 86.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.108 </SECTNO>
                                    <SUBJECT>Greenhouse gas emission standards.</SUBJECT>
                                    <P>
                                        This section contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. This section describes the applicable CO
                                        <E T="52">2</E>
                                        , N
                                        <E T="52">2</E>
                                        O, and CH
                                        <E T="52">4</E>
                                         standards for engines. Except as specified in paragraph (a)(4) of this section, these standards do not apply for engines used in vehicles subject to (or voluntarily certified to) the CO
                                        <E T="52">2</E>
                                        , N
                                        <E T="52">2</E>
                                        O, and CH
                                        <E T="52">4</E>
                                         standards for vehicles specified in 40 CFR 1037.104.
                                    </P>
                                    <P>
                                        (a) 
                                        <E T="03">Emission standards.</E>
                                         Emission standards apply for engines measured using the test procedures specified in subpart F of this part as follows:
                                    </P>
                                    <P>
                                        (1) CO
                                        <E T="52">2</E>
                                         emission standards apply as specified in this paragraph (a)(1). The applicable test cycle for measuring CO
                                        <E T="52">2</E>
                                         emissions differs depending on the engine family's primary intended service class and the extent to which the engines will be (or were designed to be) used in tractors. For medium and heavy heavy-duty engines certified as tractor engines, measure CO
                                        <E T="52">2</E>
                                         emissions using the steady-state duty cycle specified in 40 CFR 86.1362 (referred to as the SET cycle). This is intended for engines designed to be used primarily in tractors and other line-haul applications. Note that the use of some SET-certified tractor engines in vocational applications does not affect your certification obligation under this paragraph (a)(1); see other provisions of this part and 40 CFR part 1037 for limits on using engines certified to only one cycle. For medium and heavy heavy-duty engines certified as both tractor and vocational engines, measure CO
                                        <E T="52">2</E>
                                         emissions using the steady-state duty cycle and the transient duty cycle (sometimes referred to as the FTP engine cycle), both of which are specified in 40 CFR part 86, subpart N. This is intended for engines that are designed for use in both tractor and vocational applications. For all other engines (including all spark-ignition engines), measure CO
                                        <E T="52">2</E>
                                         emissions using the transient duty cycle specified in 40 CFR part 86, subpart N.
                                    </P>
                                    <P>
                                        (i) The CO
                                        <E T="52">2</E>
                                         standard for model year 2016 and later spark-ignition engines is 627 g/hp-hr.
                                    </P>
                                    <P>
                                        (ii) The following CO
                                        <E T="52">2</E>
                                         standards apply for compression-ignition engines and all other engines (in g/hp-hr):
                                    </P>
                                    <GPOTABLE COLS="6" OPTS="L2,tp0,i1" CDEF="s50,10,10,10,10,10">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Model years</CHED>
                                            <CHED H="1">Light heavy-duty</CHED>
                                            <CHED H="1">
                                                Medium heavy-duty—
                                                <LI>vocational</LI>
                                            </CHED>
                                            <CHED H="1">
                                                Heavy heavy-duty—
                                                <LI>vocational</LI>
                                            </CHED>
                                            <CHED H="1">
                                                Medium heavy-duty—
                                                <LI>tractor</LI>
                                            </CHED>
                                            <CHED H="1">
                                                Heavy heavy-duty—
                                                <LI>tractor</LI>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">2014-2016</ENT>
                                            <ENT>600</ENT>
                                            <ENT>600</ENT>
                                            <ENT>567</ENT>
                                            <ENT>502</ENT>
                                            <ENT>475</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2017 and later</ENT>
                                            <ENT>576</ENT>
                                            <ENT>576</ENT>
                                            <ENT>555</ENT>
                                            <ENT>487</ENT>
                                            <ENT>460</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                         (2) The CH
                                        <E T="52">4</E>
                                         emission standard is 0.10 g/hp-hr when measured over the transient duty cycle specified in 40 CFR part 86, subpart N. This standard begins in model year 2014 for compression ignition engines and in model year 2016 for spark-ignition engines. Note that this standard applies for all fuel types just as the other standards of this section do.
                                    </P>
                                    <P>
                                        (3) The N
                                        <E T="52">2</E>
                                        O emission standard for all model year 2014 and later engines is 0.10 g/hp-hr when measured over the transient duty cycle specified in 40 CFR part 86, subpart N. This standard begins in model year 2014 for compression ignition engines and in model year 2016 for spark-ignition engines.
                                    </P>
                                    <P>
                                        (4) This paragraph (a)(4) describes alternate emission standards for engines certified under 40 CFR 1037.150(m). The standards of paragraphs (a)(1) through (3) of this section do not apply for these engines. The standards in this paragraph (a)(4) apply for emissions measured with the engine installed in a complete vehicle consistent with the provisions of 40 CFR 1037.150(m)(6). The CO
                                        <E T="52">2</E>
                                         standard for the engines equals the test result specified in 40 CFR 1037.150(m)(6) multiplied by 1.10 and rounded to the nearest 0.1 g/mile. The N
                                        <E T="52">2</E>
                                        O and CH
                                        <E T="52">4</E>
                                         standards are both 0.05 g/mile (or any alternate standards that apply to the corresponding vehicle test group). The only requirements of this part that apply to these engines are those in this paragraph (a)(4) and those in §§ 1036.115 through 1036.135.
                                        <PRTPAGE P="57383"/>
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Family certification levels.</E>
                                         You must specify a CO
                                        <E T="52">2</E>
                                         Family Certification Level (FCL) for each engine family. The FCL may not be less than the certified emission level for the engine family. The CO
                                        <E T="52">2</E>
                                         Family Emission Limit (FEL) for the engine family is equal to the FCL multiplied by 1.03.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Averaging, banking, and trading.</E>
                                         You may generate or use emission credits under the averaging, banking, and trading (ABT) program described in subpart H of this part for demonstrating compliance with CO
                                        <E T="52">2</E>
                                         emission standards. Credits (positive and negative) are calculated from the difference between the FCL and the applicable emission standard. As described in § 1036.705, you may use CO
                                        <E T="52">2</E>
                                         credits to certify your engine families to FELs for N
                                        <E T="52">2</E>
                                        O and/or CH
                                        <E T="52">4</E>
                                        , instead of the N
                                        <E T="52">2</E>
                                        O/CH
                                        <E T="52">4</E>
                                         standards of this section that otherwise apply. Except as specified in §§ 1036.150 and 1036.705, you may not generate or use credits for N
                                        <E T="52">2</E>
                                        O or CH
                                        <E T="52">4</E>
                                         emissions.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Useful life.</E>
                                         Your engines must meet the exhaust emission standards of this section throughout their full useful life, expressed in service miles or calendar years, whichever comes first. The useful life values applicable to the criteria pollutant standards of 40 CFR part 86 apply for the standards of this section.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Applicability for testing.</E>
                                         The emission standards in this subpart apply as specified in this paragraph (e) to all duty-cycle testing (according to the applicable test cycles) of testable configurations, including certification, selective enforcement audits, and in-use testing. The CO
                                        <E T="52">2</E>
                                         FCLs serve as the CO
                                        <E T="52">2</E>
                                         emission standards for the engine family with respect to certification and confirmatory testing instead of the standards specified in paragraph (a)(1) of this section. The FELs serve as the emission standards for the engine family with respect to all other testing. See §§ 1036.235 and 1036.241 to determine which engine configurations within the engine family are subject to testing.
                                    </P>
                                    <P>
                                        (f) 
                                        <E T="03">Multi-fuel engines.</E>
                                         For dual-fuel, multi-fuel, and flexible-fuel engines, perform exhaust testing on each fuel type (for example, gasoline and E85).
                                    </P>
                                    <P>(1) This paragraph (f)(1) applies where you demonstrate the relative amount of each fuel type that your engines consume in actual use. Based on your demonstration, we will specify a weighting factor and allow you to submit the weighted average of your emission results. For example, if you certify an E85 flexible-fuel engine and we determine the engine will produce one-half of its work from E85 and one-half of its work from gasoline, you may average your E85 and gasoline emission results.</P>
                                    <P>
                                        (2) If you certify your engine family to N
                                        <E T="52">2</E>
                                        O and/or CH
                                        <E T="52">4</E>
                                         FELs the FELs apply for testing on all fuel types for which your engine is designed, to the same extent as criteria emission standards apply.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.115 </SECTNO>
                                    <SUBJECT>Other requirements.</SUBJECT>
                                    <P>(a) The warranty and maintenance requirements, adjustable parameter provisions, and defeat device prohibition of 40 CFR part 86 apply with respect to the standards of this part.</P>
                                    <P>(b) [Reserved]</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.130 </SECTNO>
                                    <SUBJECT>Installation instructions for vehicle manufacturers.</SUBJECT>
                                    <P>(a) If you sell an engine for someone else to install in a vehicle, give the engine installer instructions for installing it consistent with the requirements of this part. Include all information necessary to ensure that an engine will be installed in its certified configuration.</P>
                                    <P>(b) Make sure these instructions have the following information:</P>
                                    <P>(1) Include the heading: “Emission-related installation instructions”.</P>
                                    <P>(2) State: “Failing to follow these instructions when installing a certified engine in a heavy-duty motor vehicle violates federal law, subject to fines or other penalties as described in the Clean Air Act.”</P>
                                    <P>(3) Provide all instructions needed to properly install the exhaust system and any other components.</P>
                                    <P>(4) Describe any necessary steps for installing any diagnostic system required under 40 CFR part 86.</P>
                                    <P>
                                        (5) Describe how your certification is limited for any type of application. For example, if you certify heavy heavy-duty engines to the CO
                                        <E T="52">2</E>
                                         standards using only steady-state testing, you must make clear that the engine may be installed only in tractors.
                                    </P>
                                    <P>(6) Describe any other instructions to make sure the installed engine will operate according to design specifications in your application for certification. This may include, for example, instructions for installing aftertreatment devices when installing the engines.</P>
                                    <P>(7) State: “If you install the engine in a way that makes the engine's emission control information label hard to read during normal engine maintenance, you must place a duplicate label on the vehicle, as described in 40 CFR 1068.105.”</P>
                                    <P>(c) You do not need installation instructions for engines that you install in your own vehicles.</P>
                                    <P>(d) Provide instructions in writing or in an equivalent format. For example, you may post instructions on a publicly available Web site for downloading or printing. If you do not provide the instructions in writing, explain in your application for certification how you will ensure that each installer is informed of the installation requirements.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.135 </SECTNO>
                                    <SUBJECT>Labeling.</SUBJECT>
                                    <P>Label your engines as described in 40 CFR 86.007-35(a)(3), with the following additional information:</P>
                                    <P>(a) [Reserved]</P>
                                    <P>(b) Identify the emission control system. Use terms and abbreviations as described in 40 CFR 1068.45 or other applicable conventions.</P>
                                    <P>
                                        (c) Identify any limitations on your certification. For example, if you certify heavy heavy-duty engines to the CO
                                        <E T="52">2</E>
                                         standards using only transient cycle testing, include the statement “VOCATIONAL VEHICLES ONLY”.
                                    </P>
                                    <P>(d) You may ask us to approve modified labeling requirements in this part 1036 if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part. We may also specify modified labeling requirement to be consistent with the intent of 40 CFR part 1037.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.140 </SECTNO>
                                    <SUBJECT>Primary intended service class.</SUBJECT>
                                    <P>You must identify a single primary intended service class for each compression-ignition engine family. Select the class that best describes vehicles for which you design and market the engine. The three primary intended service classes are light heavy-duty, medium heavy-duty, and heavy heavy-duty. Note that provisions that apply based on primary intended service class often treat spark-ignition engines as if they were a separate service class.</P>
                                    <P>(a) Light heavy-duty engines usually are not designed for rebuild and do not have cylinder liners. Vehicle body types in this group might include any heavy-duty vehicle built for a light-duty truck chassis, van trucks, multi-stop vans, motor homes and other recreational vehicles, and some straight trucks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction. The GVWR of these vehicles is normally below 19,500 pounds.</P>
                                    <P>
                                        (b) Medium heavy-duty engines may be designed for rebuild and may have cylinder liners. Vehicle body types in this group would typically include school buses, straight trucks with dual 
                                        <PRTPAGE P="57384"/>
                                        rear axles, city tractors, and a variety of special purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include commercial short haul and intra-city delivery and pickup. Engines in this group are normally used in vehicles whose GVWR ranges from 19,500 to 33,000 pounds.
                                    </P>
                                    <P>(c) Heavy heavy-duty engines are designed for multiple rebuilds and have cylinder liners. Vehicles in this group are normally tractors, trucks, and buses used in inter-city, long-haul applications. These vehicles normally exceed 33,000 pounds GVWR.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.150 </SECTNO>
                                    <SUBJECT>Interim provisions.</SUBJECT>
                                    <P>The provisions in this section apply instead of other provisions in this part.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Early banking of greenhouse gas emissions.</E>
                                         You may generate CO
                                        <E T="52">2</E>
                                         emission credits for engines you certify in model year 2013 (2015 for spark-ignition engines) to the standards of § 1036.108.
                                    </P>
                                    <P>(1) Except as specified in paragraph (a)(2) of this section, to generate early credits, you must certify your entire U.S.-directed production volume within that averaging set to these standards. This means that you may not generate early credits while you produce engines in the averaging set that are certified to the criteria pollutant standards but not to the greenhouse gas standards. Calculate emission credits as described in subpart H of this part relative to the standard that would apply for model year 2014 (2016 for spark-ignition engines).</P>
                                    <P>
                                        (2) You may generate early credits for an individual compression-ignition engine family where you demonstrate that you have improved a model year 2013 engine model's CO
                                        <E T="52">2</E>
                                         emissions relative to its 2012 baseline level and certify it to an FCL below the applicable standard. Calculate emission credits as described in subpart H of this part relative to the lesser of the standard that would apply for model year 2014 engines or the baseline engine's CO
                                        <E T="52">2</E>
                                         emission rate. Use the smaller U.S.-directed production volume of the 2013 engine family or the 2012 baseline engine family. We will not allow you to generate emission credits under this paragraph (a)(2) unless we determine that your 2013 engine is the same engine as the 2012 baseline or that it replaces it.
                                    </P>
                                    <P>(3) You may bank credits equal to the surplus credits you generate under this paragraph (a) multiplied by 1.50. For example, if you have 10 Mg of surplus credits for model year 2013, you may bank 15 Mg of credits. Credit deficits for an averaging set prior to model year 2014 (2016 for spark-ignition engines) do not carry over to model year 2014 (2016 for spark-ignition engines). We recommend that you notify us of your intent to use this provision before submitting your applications.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Model year 2014 N</E>
                                        <E T="52">2</E>
                                        <E T="03">O standards.</E>
                                         In model year 2014 and earlier, manufacturers may show compliance with the N
                                        <E T="52">2</E>
                                        O standards using an engineering analysis. This allowance also applies for later families certified using carryover CO
                                        <E T="52">2</E>
                                         data from model 2014 consistent with § 1036.235(d).
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Engine cycle classification.</E>
                                         Engines meeting the definition of spark-ignition, but regulated as diesel engines under 40 CFR part 86, must be certified to the requirements applicable to compression-ignition engines under this part. Such engines are deemed to be compression-ignition engines for purposes of this part. Similarly, engines meeting the definition of compression-ignition, but regulated as Otto-cycle under 40 CFR part 86 must be certified to the requirements applicable to spark-ignition engines under this part. Such engines are deemed to be spark-ignition engines for purposes of this part.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Small manufacturers.</E>
                                         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 vehicles with the statement: “THIS ENGINE IS EXCLUDED UNDER 40 CFR 1037.150(c).”
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Alternate phase-in standards.</E>
                                         Where a manufacturer certifies all of its model year 2013 compression-ignition engines within a given primary intended service class to the applicable alternate standards of this paragraph (e), its compression-ignition engines within that primary intended service class are subject to the standards of this paragraph (e) for model years 2013 through 2016. This means that once a manufacturer chooses to certify a primary intended service class to the standards of this paragraph (e), it is not allowed to opt out of these standards. Engines certified to these standards are not eligible for early credits under paragraph (a) of this section.
                                    </P>
                                    <GPOTABLE COLS="4" OPTS="L2,tp0,i1" CDEF="s50,r30,r30,r30">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Tractors</CHED>
                                            <CHED H="1">LHD Engines</CHED>
                                            <CHED H="1">MHD Engines</CHED>
                                            <CHED H="1">HHD Engines</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">Model Years 2013-2015</ENT>
                                            <ENT>NA</ENT>
                                            <ENT>512 g/hp-hr</ENT>
                                            <ENT>485 g/hp-hr.</ENT>
                                        </ROW>
                                        <ROW RUL="s">
                                            <ENT I="01">
                                                Model Years 2016 and later 
                                                <SU>a</SU>
                                            </ENT>
                                            <ENT>NA</ENT>
                                            <ENT>487 g/hp-hr</ENT>
                                            <ENT>460 g/hp-hr.</ENT>
                                        </ROW>
                                        <ROW RUL="s">
                                            <ENT I="22">Vocational</ENT>
                                            <ENT O="oi0">LHD Engines</ENT>
                                            <ENT O="oi0">MHD Engines</ENT>
                                            <ENT O="oi0">HHD Engines</ENT>
                                        </ROW>
                                        <ROW RUL="s">
                                            <ENT I="01">Model Years 2013-2015</ENT>
                                            <ENT>618 g/hp-hr</ENT>
                                            <ENT>618 g/hp-hr</ENT>
                                            <ENT>577 g/hp-hr.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                Model Years 2016 and later 
                                                <SU>a</SU>
                                            </ENT>
                                            <ENT>576 g/hp-hr</ENT>
                                            <ENT>576 g/hp-hr</ENT>
                                            <ENT>555 g/hp-hr.</ENT>
                                        </ROW>
                                        <TNOTE>
                                            <SU>a</SU>
                                             
                                            <E T="02">Note:</E>
                                             These alternate standards for 2016 and later are the same as the otherwise applicable standards for 2017 and later.
                                        </TNOTE>
                                    </GPOTABLE>
                                    <P>
                                        (f) 
                                        <E T="03">Separate OBD families.</E>
                                         This paragraph (f) applies where you separately certify engines for the purpose of applying OBD requirements (for engines used in vehicles under 14,000 pounds GVWR) from non-OBD engines that could be certified as a single engine family. You may treat the two engine families as a single engine family in certain respects for the purpose of this part, as follows:
                                    </P>
                                    <P>(1) This paragraph applies only where the two families are identical in all respects except for the engine ratings offered and the inclusion of OBD.</P>
                                    <P>(2) For purposes of this part and 40 CFR part 86, the two families remain two separate families except for the following:</P>
                                    <P>(i) Specify the testable configurations of the non-OBD engine family as the testable configurations for the OBD family.</P>
                                    <P>
                                        (ii) Submit the same CO
                                        <E T="52">2</E>
                                        , N
                                        <E T="52">2</E>
                                        O, and CH
                                        <E T="52">4</E>
                                         emission data for both engine families.
                                    </P>
                                    <P>
                                        (g) 
                                        <E T="03">Assigned deterioration factors.</E>
                                         You may use assigned deterioration factors (DFs) without performing your own durability emission tests or engineering analysis as follows:
                                    </P>
                                    <P>
                                        (1) You may use an assigned additive DF of 0.0 g/hp-hr for CO
                                        <E T="52">2</E>
                                         emissions from engines that do not use advanced or innovative technologies. If we determine it to be consistent with good engineering judgment, we may allow you to use an assigned additive DF of 0.0 g/hp-hr for CO
                                        <E T="52">2</E>
                                         emissions from your engines with advanced or innovative technologies.
                                    </P>
                                    <P>
                                        (2) You may use an assigned additive DF of 0.02 g/hp-hr for N
                                        <E T="52">2</E>
                                        O emissions from any engine.
                                    </P>
                                    <P>
                                        (3) You may use an assigned additive DF of 0.02 g/hp-hr for CH
                                        <E T="52">4</E>
                                         emissions from any engine.
                                    </P>
                                    <P>
                                        (h) 
                                        <E T="03">Advanced technology credits.</E>
                                         If you generate credits from engines 
                                        <PRTPAGE P="57385"/>
                                        certified for advanced technology you may multiply these credits by 1.5, except that you may not apply this multiplier and the early-credit multiplier of paragraph (a) of this section.
                                    </P>
                                    <P>
                                        (i) 
                                        <E T="03">CO</E>
                                        <E T="52">2</E>
                                          
                                        <E T="03">credits for low N</E>
                                        <E T="52">2</E>
                                        <E T="03">O emissions.</E>
                                         If you certify your model year 2014, 2015, or 2016 engines to an N
                                        <E T="52">2</E>
                                        O FEL less than 0.04 g/hp-hr (provided you measure N
                                        <E T="52">2</E>
                                        O emissions from your emission-data engines), you may generate additional CO
                                        <E T="52">2</E>
                                         credits under this paragraph (i). Calculate the additional CO
                                        <E T="52">2</E>
                                         credits from the following equation instead of the equation in § 1036.705:
                                    </P>
                                    <FP SOURCE="FP-2">
                                        CO
                                        <E T="52">2</E>
                                         Credits (Mg) = (0.04 − FEL
                                        <E T="52">N2O</E>
                                        ) · (CF) · (Volume) · (UL) · (10
                                        <E T="51">−6</E>
                                        ) · (298)
                                    </FP>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart C—Certifying Engine Families</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.205 </SECTNO>
                                    <SUBJECT>What must I include in my application?</SUBJECT>
                                    <P>Submit an application for certification as described in 40 CFR 86.007-21, with the following additional information:</P>
                                    <P>(a) Describe the engine family's specifications and other basic parameters of the engine's design and emission controls with respect to compliance with the requirements of this part. Describe in detail all system components for controlling greenhouse gas emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production or test engine. Identify the part number of each component you describe. For this paragraph (a), treat as separate AECDs any devices that modulate or activate differently from each other.</P>
                                    <P>(b) Describe any test equipment and procedures that you used if you performed any tests that did not also involve measurement of criteria pollutants. Describe any special or alternate test procedures you used (see 40 CFR 1065.10(c)).</P>
                                    <P>(c) Include the emission-related installation instructions you will provide if someone else installs your engines in their vehicles (see § 1036.130).</P>
                                    <P>(d) Describe the label information specified in § 1036.135. We may require you to include a copy of the label.</P>
                                    <P>(e) Identify the FCLs with which you are certifying engines in the engine family. The actual U.S.-directed production volume of configurations that have emission rates at or below the FCL must be at least one percent of your total actual (not projected) U.S.-directed production volume for the engine family. Identify configurations within the family that have emission rates at or below the FCL and meet the one percent requirement. For example, if your total 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).</P>
                                    <P>(f) Identify the engine family's deterioration factors and describe how you developed them (see § 1036.241). Present any test data you used for this.</P>
                                    <P>(g) Present emission data to show that you meet emission standards, as follows:</P>
                                    <P>
                                        (1) Present exhaust emission data for CO
                                        <E T="52">2</E>
                                        , CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O on an emission-data engine to show that your engines meet the applicable emission standards we specify in § 1036.108. Show emission figures before and after applying deterioration factors for each engine. In addition to the composite results, show individual measurements for cold-start testing and hot-start testing over the transient test cycle.
                                    </P>
                                    <P>(2) Note that § 1036.235 allows you to submit an application in certain cases without new emission data.</P>
                                    <P>
                                        (h) State whether your certification is limited for certain engines. For example, if you certify heavy heavy-duty engines to the CO
                                        <E T="52">2</E>
                                         standards using only transient testing, the engines may be installed only in vocational vehicles.
                                    </P>
                                    <P>(i) Unconditionally certify that all the engines in the engine family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act. Note that § 1036.235 specifies which engines to test to show that engines in the entire family comply with the requirements of this part.</P>
                                    <P>(j) Include the information required by other subparts of this part. For example, include the information required by § 1036.725 if you participate in the ABT program.</P>
                                    <P>(k) Include the warranty statement and maintenance instructions if we request them.</P>
                                    <P>(l) Include other applicable information, such as information specified in this part or 40 CFR part 1068 related to requests for exemptions.</P>
                                    <P>(m) For imported engines or equipment, identify the following:</P>
                                    <P>(1) Describe your normal practice for importing engines. For example, this may include identifying the names and addresses of any agents you have authorized to import your engines. Engines imported by nonauthorized agents are not covered by your certificate.</P>
                                    <P>(2) The location of a test facility in the United States where you can test your engines if we select them for testing under a selective enforcement audit, as specified in 40 CFR part 1068, subpart E.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.210 </SECTNO>
                                    <SUBJECT>Preliminary approval before certification.</SUBJECT>
                                    <P>If you send us information before you finish the application, we may review it and make any appropriate determinations, especially for questions related to engine family definitions, auxiliary emission control devices, adjustable parameters, deterioration factors, testing for service accumulation, and maintenance. Decisions made under this section are considered to be preliminary approval, subject to final review and approval. We will generally not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision. If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than two years ahead of time.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.225 </SECTNO>
                                    <SUBJECT>Amending my application for certification.</SUBJECT>
                                    <P>Before we issue you a certificate of conformity, you may amend your application to include new or modified engine configurations, subject to the provisions of this section. After we have issued your certificate of conformity, but before the end of the model year, you may send us an amended application requesting that we include new or modified engine configurations within the scope of the certificate, subject to the provisions of this section. You must amend your application if any changes occur with respect to any information that is included or should be included in your application.</P>
                                    <P>(a) You must amend your application before you take any of the following actions:</P>
                                    <P>(1) Add an engine configuration to an engine family. In this case, the engine configuration added must be consistent with other engine configurations in the engine family with respect to the criteria listed in § 1036.230.</P>
                                    <P>
                                        (2) Change an engine configuration already included in an engine family in a way that may affect emissions, or change any of the components you described in your application for certification. This includes production 
                                        <PRTPAGE P="57386"/>
                                        and design changes that may affect emissions any time during the engine's lifetime.
                                    </P>
                                    <P>(3) Modify an FEL and FCL for an engine family as described in paragraph (f) of this section.</P>
                                    <P>(b) To amend your application for certification, send the relevant information to the Designated Compliance Officer.</P>
                                    <P>(1) Describe in detail the addition or change in the engine model or configuration you intend to make.</P>
                                    <P>(2) Include engineering evaluations or data showing that the amended engine family complies with all applicable requirements. You may do this by showing that the original emission-data engine is still appropriate for showing that the amended family complies with all applicable requirements.</P>
                                    <P>(3) If the original emission-data engine for the engine family is not appropriate to show compliance for the new or modified engine configuration, include new test data showing that the new or modified engine configuration meets the requirements of this part.</P>
                                    <P>(c) We may ask for more test data or engineering evaluations. You must give us these within 30 days after we request them.</P>
                                    <P>(d) For engine families already covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your newly added or modified engine. You may ask for a hearing if we deny your request (see § 1036.820).</P>
                                    <P>(e) For engine families already covered by a certificate of conformity, you may start producing the new or modified engine configuration anytime after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected engines do not meet applicable requirements, we will notify you to cease production of the engines and may require you to recall the engines at no expense to the owner. Choosing to produce engines under this paragraph (e) is deemed to be consent to recall all engines that we determine do not meet applicable emission standards or other requirements and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified engines.</P>
                                    <P>
                                        (f) You may ask us to approve a change to your FEL in certain cases after the start of production, but before the end of the model year. If you change an FEL for CO
                                        <E T="52">2</E>
                                        , your FCL for CO
                                        <E T="52">2</E>
                                         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). If we approve a changed FEL after the start of production, you must include the new FEL on the emission control information label for all engines produced after the change. You may ask us to approve a change to your FEL in the following cases:
                                    </P>
                                    <P>(1) You may ask to raise your FEL for your engine family at any time. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. Use the appropriate FELs/FCLs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.</P>
                                    <P>
                                        (2) You may ask to lower the FEL for your engine family only if you have test data from production engines showing that emissions are below the proposed lower FEL (or below the proposed FCL for CO
                                        <E T="52">2</E>
                                        ). The lower FEL/FCL applies only to engines you produce after we approve the new FEL/FCL. Use the appropriate FELs/FCLs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.230 </SECTNO>
                                    <SUBJECT>Selecting engine families.</SUBJECT>
                                    <P>See 40 CFR 86.001-24 for instructions on how to divide your product line into families of engines that are expected to have similar emission characteristics throughout the useful life. You must certify your engines to the standards of § 1036.108 using the same engine families you use for criteria pollutants under 40 CFR part 86. The following provisions also apply:</P>
                                    <P>(a) Engines certified as hybrid engines or power packs may not be included in an engine family with engines with conventional powertrains. Note that this does not prevent you from including engines in a conventional family if they are used in hybrid vehicles, as long as you certify them conventionally.</P>
                                    <P>(b) If you certify engines in the family for use as both vocational and tractor engines, you must split your family into two separate subfamilies. Indicate in the application for certification that the engine family is to be split.</P>
                                    <P>(1) Calculate emission credits relative to the vocational engine standard for the number of engines sold into vocational applications and relative to the tractor engine standard for the number of engines sold into non-vocational tractor applications. You may assign the numbers and configurations of engines within the respective subfamilies at any time before submitting the end-of-year report required by § 1036.730. If the family participates in averaging, banking, or trading, you must identify the type of vehicle in which each engine is installed; we may alternatively allow you to use statistical methods to determine this for a fraction of your engines. Keep records to document this determination.</P>
                                    <P>(2) If you restrict use of the test configuration for your split family to only tractors, or only vocational vehicles, you must identify a second testable configuration for the other type of vehicle (or an unrestricted configuration). Identify this configuration in your application for certification. The FCL for the engine family applies for this configuration as well as the primary test configuration.</P>
                                    <P>(c) If you certify in separate engine families engines that could have been certified in vocational and tractor engine subfamilies in the same engine family, count the two families as one family for purposes of determining your obligations with respect to the OBD requirements and in-use testing requirements of 40 CFR part 86. Indicate in the applications for certification that the two engine families are covered by this paragraph (c).</P>
                                    <P>(d) Engine configurations within an engine family must use equivalent greenhouse gas emission controls. Unless we approve it, you may not produce nontested configurations without the same emission control hardware included on the tested configuration. We will only approve it if you demonstrate that the exclusion of the hardware does not increase greenhouse gas emissions.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.235 </SECTNO>
                                    <SUBJECT>Testing requirements for certification.</SUBJECT>
                                    <P>This section describes the emission testing you must perform to show compliance with the greenhouse gas emission standards in § 1036.108.</P>
                                    <P>(a) Select a single emission-data engine from each engine family as specified in 40 CFR part 86. The standards of this part apply only with respect to emissions measured from this tested configuration and other configurations identified in § 1036.205(e). Note that configurations identified in § 1036.205(e) are considered to be “tested configurations” whether or not you actually tested them for certification. However, you must apply the same (or equivalent) emission controls to all other engine configurations in the engine family.</P>
                                    <P>
                                        (b) Test your emission-data engines using the procedures and equipment specified in subpart F of this part. In the 
                                        <PRTPAGE P="57387"/>
                                        case of dual-fuel and flexible-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine. Measure CO
                                        <E T="52">2</E>
                                        , CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O emissions using the specified duty cycle(s), including cold-start and hot-start testing as specified in 40 CFR part 86, subpart N. If you are certifying the engine for use in tractors, you must measure CO
                                        <E T="52">2</E>
                                         emissions using the SET cycle and measure CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O emissions using the transient cycle. If you are certifying the engine for use in vocational applications, you must measure CO
                                        <E T="52">2</E>
                                        , CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O emissions using the specified transient duty cycle, including cold-start and hot-start testing as specified in 40 CFR part 86, subpart N. Engines certified for use in tractors may also be used in vocational vehicles; however, you may not knowingly circumvent the intent of this part (to reduce in-use emissions of CO
                                        <E T="52">2</E>
                                        ) by certifying engines designed for vocational vehicles (and rarely used in tractors) to the SET and not the transient cycle. For example, we would generally not allow you to certify all your engines to the SET without certifying any to the transient cycle. You may certify your engine family for both tractor and vocational use by submitting CO
                                        <E T="52">2</E>
                                         emission data from both SET and transient cycle testing and specifying FCLs for both.
                                    </P>
                                    <P>(c) We may measure emissions from any of your emission-data engines.</P>
                                    <P>(1) We may decide to do the testing at your plant or any other facility. If we do this, you must deliver the engine to a test facility we designate. The engine you provide must include appropriate manifolds, aftertreatment devices, electronic control units, and other emission-related components not normally attached directly to the engine block. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need.</P>
                                    <P>(2) If we measure emissions on your engine, the results of that testing become the official emission results for the engine. Unless we later invalidate these data, we may decide not to consider your data in determining if your engine family meets applicable requirements.</P>
                                    <P>(3) Before we test one of your engines, we may set its adjustable parameters to any point within the physically adjustable ranges.</P>
                                    <P>(4) Before we test one of your engines, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. For example, this would apply for an engine parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1036.801) because it is permanently sealed.</P>
                                    <P>(d) You may ask to use carryover emission data from a previous model year instead of doing new tests, but only if all the following are true:</P>
                                    <P>(1) The engine family from the previous model year differs from the current engine family only with respect to model year or other characteristics unrelated to emissions.</P>
                                    <P>(2) The emission-data engine from the previous model year remains the appropriate emission-data engine under paragraph (b) of this section.</P>
                                    <P>(3) The data show that the emission-data engine would meet all the requirements that apply to the engine family covered by the application for certification.</P>
                                    <P>(e) We may require you to test a second engine of the same configuration in addition to the engine tested under paragraph (a) of this section.</P>
                                    <P>(f) If you use an alternate test procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified in subpart F of this part, we may reject data you generated using the alternate procedure.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.241 </SECTNO>
                                    <SUBJECT>Demonstrating compliance with greenhouse gas pollutant standards.</SUBJECT>
                                    <P>(a) For purposes of certification, your engine family is considered in compliance with the emission standards in § 1036.108 if all emission-data engines representing the tested configuration of that engine family have test results showing official emission results and deteriorated emission levels at or below the standards. Note that your FCLs are considered to be the applicable emission standards with which you must comply for certification.</P>
                                    <P>(b) Your engine family is deemed not to comply if any emission-data engine representing the tested configuration of that engine family has test results showing an official emission result or a deteriorated emission level for any pollutant that is above an applicable emission standard (generally the FCL). Note that you may increase your FCL if any certification test results exceed your initial FCL.</P>
                                    <P>(c) Apply deterioration factors to the measured emission levels for each pollutant to show compliance with the applicable emission standards. Your deterioration factors must take into account any available data from in-use testing with similar engines. Apply deterioration factors as follows:</P>
                                    <P>
                                        (1) 
                                        <E T="03">Additive deterioration factor for greenhouse gas emissions.</E>
                                         Except as specified in paragraph (c)(2) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor is the difference between exhaust emissions at the end of the useful life and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard.
                                    </P>
                                    <P>
                                        (2) 
                                        <E T="03">Multiplicative deterioration factor for greenhouse gas emissions.</E>
                                         Use a multiplicative deterioration factor for a pollutant if good engineering judgment calls for the deterioration factor for that pollutant to be the ratio of exhaust emissions at the end of the useful life to exhaust emissions at the low-hour test point. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard.
                                    </P>
                                    <P>
                                        (3) 
                                        <E T="03">Sawtooth deterioration patterns.</E>
                                         The deterioration factors described in paragraphs (c)(1) and (2) of this section assume that the highest useful life emissions occur either at the end of useful life or at the low-hour test point. The provisions of this paragraph (c)(3) apply where good engineering judgment indicates that the highest useful life emissions will occur between these two points. For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Such a pattern may occur with battery-based electric hybrid engines. Base deterioration factors for engines with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this applies for maintenance-related deterioration only where we allow such critical emission-related maintenance.
                                    </P>
                                    <P>
                                        (d) Collect emission data using measurements to one more decimal place than the applicable standard. Apply the deterioration factor to the official emission result, as described in 
                                        <PRTPAGE P="57388"/>
                                        paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine.
                                    </P>
                                    <P>(e) If you identify more than one configuration in § 1036.205(e), we may test (or require you to test) any of the identified configurations. We may also require you to provide an engineering analysis that demonstrates that untested configurations listed in § 1036.205(e) comply with their FCL.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.250 </SECTNO>
                                    <SUBJECT>Reporting and recordkeeping for certification.</SUBJECT>
                                    <P>(a) Within 90 days after the end of the model year, send the Designated Compliance Officer a report including the total U.S.-directed production volume of engines you produced in each engine family during the model year (based on information available at the time of the report). Report the production by serial number and engine configuration. Small manufacturers may omit this requirement. You may combine this report with reports required under subpart H of this part.</P>
                                    <P>(b) Organize and maintain the following records:</P>
                                    <P>(1) A copy of all applications and any summary information you send us.</P>
                                    <P>(2) Any of the information we specify in § 1036.205 that you were not required to include in your application.</P>
                                    <P>(c) Keep routine data from emission tests required by this part (such as test cell temperatures and relative humidity readings) for one year after we issue the associated certificate of conformity. Keep all other information specified in this section for eight years after we issue your certificate.</P>
                                    <P>(d) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.255 </SECTNO>
                                    <SUBJECT>What decisions may EPA make regarding my certificate of conformity?</SUBJECT>
                                    <P>(a) If we determine your application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for your engine family for that model year. We may make the approval subject to additional conditions.</P>
                                    <P>(b) We may deny your application for certification if we determine that your engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny your application, we will explain why in writing.</P>
                                    <P>(c) In addition, we may deny your application or suspend or revoke your certificate if you do any of the following:</P>
                                    <P>(1) Refuse to comply with any testing or reporting requirements.</P>
                                    <P>(2) Submit false or incomplete information (paragraph (e) of this section applies if this is fraudulent). This includes doing anything after submission of your application to render any of the submitted information false or incomplete.</P>
                                    <P>(3) Render inaccurate any test data.</P>
                                    <P>(4) Deny us from completing authorized activities despite our presenting a warrant or court order (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance. However, you may ask us to reconsider our decision by showing that your failure under this paragraph (c)(4) did not involve engines related to the certificate or application in question to a degree that would justify our decision.</P>
                                    <P>(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.</P>
                                    <P>(6) Fail to supply requested information or amend your application to include all engines being produced.</P>
                                    <P>(7) Take any action that otherwise circumvents the intent of the Act or this part, with respect to your engine family.</P>
                                    <P>(d) We may void the certificate of conformity for an engine family if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).</P>
                                    <P>(e) We may void your certificate if we find that you intentionally submitted false or incomplete information. This includes rendering submitted information false or incomplete after submission.</P>
                                    <P>(f) If we deny your application or suspend, revoke, or void your certificate, you may ask for a hearing (see § 1036.820).</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart D—[Reserved]</HD>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart E—In-use Testing</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.401 </SECTNO>
                                    <SUBJECT>In-use testing.</SUBJECT>
                                    <P>We may perform in-use testing of any engine family subject to the standards of this part, consistent with the provisions of § 1036.235. Note that this provisions does not affect your obligation to test your in-use engines as described in 40 CFR part 86, subpart T.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart F—Test Procedures</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.501 </SECTNO>
                                    <SUBJECT>How do I run a valid emission test?</SUBJECT>
                                    <P>(a) Use the equipment and procedures specified in 40 CFR 86.1305 to determine whether engines meet the emission standards in § 1036.108.</P>
                                    <P>(b) You may use special or alternate procedures to the extent we allow them under 40 CFR 1065.10.</P>
                                    <P>(c) This subpart is addressed to you as a manufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your engines meet emission standards.</P>
                                    <P>
                                        (d) For engines that use aftertreatment technology with infrequent regeneration events, invalidate any test interval in which such a regeneration event occurs with respect to CO
                                        <E T="52">2</E>
                                        , N
                                        <E T="52">2</E>
                                        O, and CH
                                        <E T="52">4</E>
                                         measurements.
                                    </P>
                                    <P>(e) Test hybrid engines as described in 40 CFR part 1065 and § 1036.525.</P>
                                    <P>(f) [Reserved]</P>
                                    <P>(g) If your engine requires special components for proper testing, you must provide any such components to us if we ask for them.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.525 </SECTNO>
                                    <SUBJECT>Hybrid engines.</SUBJECT>
                                    <P>(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. See § 1036.615(a)(2) for engine systems intended to include features that recover and store energy from braking unrelated to engine motoring operation. For purposes of this section, features that recover energy between the engine and transmission are considered “related to engine motoring”.</P>
                                    <P>
                                        (b) If you produce a hybrid engine designed with power take-off capability and sell the engine coupled with a transmission, you may calculate a reduction in CO
                                        <E T="52">2</E>
                                         emissions resulting from the power take-off operation as described in 40 CFR 1037.525. Use good engineering judgment to use the vehicle-based procedures to quantify the CO
                                        <E T="52">2</E>
                                         reduction for your engines.
                                    </P>
                                    <P>(c) The hardware that must be included in these tests is the engine, the hybrid electric motor, the rechargeable energy storage system (RESS) and the power electronics between the hybrid electric motor and the RESS. You may ask us to modify the provisions of this section to allow testing non-electric hybrid vehicles, consistent with good engineering judgment.</P>
                                    <P>
                                        (d) Measure emissions using the same procedures that apply for testing non-hybrid engines under this part, except as specified otherwise in this part and/
                                        <PRTPAGE P="57389"/>
                                        or 40 CFR part 1065. If you test hybrid engines using the SET, deactivate the hybrid features unless we have specified otherwise. The five differences that apply under this section are related to engine mapping, engine shutdown during the test cycle, calculating work, limits on braking energy, and state of charge constraints.
                                    </P>
                                    <P>(1) Map the engine as specified in 40 CFR 1065.510. This requires separate torque maps for the engine with and without the hybrid features active. For transient testing, denormalize the test cycle using the map generated with the hybrid feature active. For steady-state testing, denormalize the test cycle using the map generated with the hybrid feature inactive.</P>
                                    <P>(2) If the engine will be configured in actual use to shut down automatically during idle operation, you may let the engine shut down during the idle portions of the test cycle.</P>
                                    <P>(3) Follow 40 CFR 1065.650(d) to calculate the work done over the cycle except as specified in this paragraph (d)(3). For the positive work over the cycle set negative power from hybrid to zero. For the negative work over the cycle set the positive power to zero and set the non-hybrid power to zero.</P>
                                    <P>
                                        (4)(i) Calculate brake energy fraction, 
                                        <E T="03">x</E>
                                        <E T="52">b,</E>
                                         as the integrated negative work over the cycle divided by the integrated positive work over the cycle according to Equation 1036.525-1. Calculate the brake energy limit for the engine, 
                                        <E T="03">x</E>
                                        <E T="52">bl,</E>
                                         according to Equation 1036.525-2. If 
                                        <E T="03">x</E>
                                        <E T="52">b</E>
                                         is less than 
                                        <E T="03">x</E>
                                        <E T="52">bl,</E>
                                         use the integrated positive work for your emission calculations. If the 
                                        <E T="03">x</E>
                                        <E T="52">b</E>
                                         is greater than 
                                        <E T="03">x</E>
                                        <E T="52">bl</E>
                                         use Equation 1036.525-3 to calculate the positive work done over the cycle. Use 
                                        <E T="03">W</E>
                                        <E T="52">cycle</E>
                                         as the integrated positive work when calculating brake-specific emissions. To avoid the need to delete extra brake work from positive work you may set an instantaneous brake target that will prevent 
                                        <E T="03">x</E>
                                        <E T="52">b</E>
                                         from being larger than 
                                        <E T="03">x</E>
                                        <E T="52">bl.</E>
                                    </P>
                                    <GPH SPAN="1" DEEP="196">
                                        <GID>ER15SE11.007</GID>
                                    </GPH>
                                    <P>(ii) The following definitions of terms apply for this paragraph (d)(4):</P>
                                    <P>
                                        <E T="03">x</E>
                                        <E T="52">b</E>
                                         = the brake energy fraction.
                                    </P>
                                    <P>
                                        <E T="03">W</E>
                                        <E T="52">neg</E>
                                         = the negative work over the cycle.
                                    </P>
                                    <P>
                                        <E T="03">W</E>
                                        <E T="52">pos</E>
                                         = the positive work over the cycle.
                                    </P>
                                    <P>
                                        <E T="03">x</E>
                                        <E T="52">bl</E>
                                         = the brake energy fraction limit.
                                    </P>
                                    <P>
                                        <E T="03">P</E>
                                        <E T="52">max</E>
                                         = the maximum power of the engine with the hybrid system engaged (kW).
                                    </P>
                                    <P>
                                        <E T="03">W</E>
                                        <E T="52">cycle</E>
                                         = the work over the cycle when 
                                        <E T="03">x</E>
                                        <E T="52">b</E>
                                         is greater than 
                                        <E T="03">x</E>
                                        <E T="52">bl</E>
                                        .
                                    </P>
                                    <P>(iii) Note that these calculations are specified with SI units (such as kW), consistent with 40 CFR part 1065. Emission results are converted to g/hp-hr at the end of the calculations.</P>
                                    <P>(5) Correct for the net energy change of the energy storage device as described in 40 CFR 1066.501.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.530 </SECTNO>
                                    <SUBJECT>Calculating greenhouse gas emission rates.</SUBJECT>
                                    <P>
                                        This section describes how to calculate official emission results for CO
                                        <E T="52">2</E>
                                        , CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O.
                                    </P>
                                    <P>(a) Calculate brake-specific emission rates for each applicable duty cycle as specified in 40 CFR 1065.650. Do not apply infrequent regeneration adjustment factors to your results.</P>
                                    <P>
                                        (b) Adjust CO
                                        <E T="52">2</E>
                                         emission rates calculated under paragraph (a) of this section for measured test fuel properties as specified in this paragraph (b) to obtain the official emission results. You are not required to apply this adjustment for fuels containing at least 75 percent pure alcohol, such as E85. The purpose of this adjustment is to make official emission results independent of differences in test fuels within a fuel type. Use good engineering judgment to develop and apply testing protocols to minimize the impact of variations in test fuels.
                                    </P>
                                    <P>(1) For liquid fuels, determine the net energy content (Btu per pound of fuel) according to ASTM D4809 or ASTM D240 (both incorporated by reference in § 1036.810) and carbon weight fraction (dimensionless) of your test fuel according to ASTM D5291 (incorporated by reference in § 1036.810). (Note that we recommend using ASTM D4809.) For gaseous fuels, use good engineering judgment to determine the fuel's net energy content and carbon weight fraction. (Note: Net energy content is also sometimes known as lower heating value.) Calculate the test fuel's carbon-specific net energy content (Btu/lbC) by dividing the net energy content by the carbon fraction, expressed to at least five significant figures. You may perform these calculations using SI units with the following conversion factors: one Btu equals 1055.06 Joules and one Btu/lb equals 0.0023260 MJ/kg.</P>
                                    <P>(2) If you control test fuel properties so that variations in the actual carbon-specific energy content are the same as or smaller than the repeatability of measuring carbon-specific energy content, you may use a constant value equal to the average carbon-specific energy content of your test fuel. Otherwise, use the measured value for the specific test fuel used for a given test. If you use a constant value, you must update or verify the value at least once per year, or after changes in test fuel suppliers or specifications.</P>
                                    <P>(3) Calculate the adjustment factor for carbon-specific net energy content by dividing the carbon-specific net energy content of your test fuel by the reference level in the following table, expressed to at least five decimal places. Note that as used in this section, the unit lbC means pound of carbon and kgC means kilogram of carbon.</P>
                                    <GPOTABLE COLS="3" OPTS="L2,tp0,i1" CDEF="s50,12,12">
                                        <BOXHD>
                                            <CHED H="1">Fuel type</CHED>
                                            <CHED H="1">
                                                Reference
                                                <LI>carbon-</LI>
                                                <LI>specific net energy content (Btu/lbC)</LI>
                                            </CHED>
                                            <CHED H="1">
                                                Reference
                                                <LI>carbon-</LI>
                                                <LI>specific net energy content (MJ/kgC)</LI>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">Diesel fuel</ENT>
                                            <ENT>21,200</ENT>
                                            <ENT>49.3112</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Gasoline</ENT>
                                            <ENT>21,700</ENT>
                                            <ENT>50.4742</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Natural Gas</ENT>
                                            <ENT>28,500</ENT>
                                            <ENT>66.2910</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">LPG</ENT>
                                            <ENT>24,300</ENT>
                                            <ENT>56.5218</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <PRTPAGE P="57390"/>
                                    <P>
                                         (4) Your official emission result equals your calculated brake-specific emission rate multiplied by the adjustment factor specified in paragraph (b)(2) of this section. For example, if the net energy content and carbon fraction of your diesel test fuel are 18,400 Btu/lb and 0.870, the carbon-specific net energy content of the test fuel would be 21,149 Btu/lbC. The adjustment factor in the example above would be 0.99759 (21,149/21,200). If your brake-specific CO
                                        <E T="52">2</E>
                                         emission rate was 630.0 g/hp-hr, your official emission result would be 628.5 g/hp-hr.
                                    </P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart G—Special Compliance Provisions</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.601 </SECTNO>
                                    <SUBJECT>What compliance provisions apply to these engines?</SUBJECT>
                                    <P>(a) Engine and equipment manufacturers, as well as owners, operators, and rebuilders of engines subject to the requirements of this part, and all other persons, must observe the provisions of this part, the provisions of the Clean Air Act, and the following provisions of 40 CFR part 1068:</P>
                                    <P>(1) The exemption and importation provisions of 40 CFR part 1068, subparts C and D, apply for engines subject to this part 1036, except that the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines.</P>
                                    <P>(2) Manufacturers may comply with the defect reporting requirements of 40 CFR 1068.501 instead of the defect reporting requirements of 40 CFR part 85.</P>
                                    <P>(b) Engines exempted from the applicable standards of 40 CFR part 86 are exempt from the standards of this part without request.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.610 </SECTNO>
                                    <SUBJECT>Innovative technology credits and adjustments for reducing greenhouse gas emissions.</SUBJECT>
                                    <P>
                                        (a) You may ask us to apply the provisions of this section for CO
                                        <E T="52">2</E>
                                         emission reductions resulting from powertrain technologies that were not in common use with heavy-duty vehicles before model year 2010 that are not reflected in the specified test procedure. We will apply these provisions only for technologies that will result in a measurable, demonstrable, and verifiable real-world CO
                                        <E T="52">2</E>
                                         reduction.
                                    </P>
                                    <P>(b) The provisions of this section may be applied as either an improvement factor (used to adjust emission results) or as a separate credit, consistent with good engineering judgment. We recommend that you base your credit/adjustment on A to B testing of pairs of engines/vehicles differing only with respect to the technology in question.</P>
                                    <P>(1) Calculate improvement factors as the ratio of in-use emissions with the technology divided by the in-use emissions without the technology. Adjust the emission results by multiplying by the improvement factor. Use the improvement-factor approach where good engineering judgment indicates that the actual benefit will be proportional to emissions measured over the test procedures specified in this part. For example, the benefits from technologies that reduce engine operation would generally be proportional to the engine's emission rate.</P>
                                    <P>(2) Calculate separate credits based on the difference between the in-use emission rate (g/ton-mile) with the technology and the in-use emission rate without the technology. Multiply this difference by the number of engines, standard payload, and useful life. We may also allow you to calculate the credits based on g/hp-hr emission rates. Use the separate-credit approach where good engineering judgment indicates that the actual benefit will not be proportional to emissions measured over the test procedures specified in this part.</P>
                                    <P>(3) We may require you to discount or otherwise adjust your improvement factor or credit to account for uncertainty or other relevant factors.</P>
                                    <P>(c) Send your request to the Designated Compliance Officer. Include a detailed description of the technology and a recommended test plan. Also state whether you recommend applying these provisions using the improvement-factor method or the separate-credit method. We recommend that you do not begin collecting test data (for submission to EPA) before contacting us. For technologies for which the vehicle manufacturer could also claim credits (such as transmissions in certain circumstances), we may require you to include a letter from the vehicle manufacturer stating that it will not seek credits for the same technology.</P>
                                    <P>(d) We may seek public comment on your request, consistent with the provisions of 40 CFR 86.1866-12(d)(3). However, we will generally not seek public comment on credits/adjustments based on A to B engine dynamometer testing, chassis testing, or in-use testing.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.615 </SECTNO>
                                    <SUBJECT>Engines with Rankine cycle waste heat recovery and hybrid powertrains.</SUBJECT>
                                    <P>This section specifies how to generate advanced technology-specific emission credits for hybrid powertrains that include energy storage systems and regenerative braking (including regenerative engine braking) and for engines that include Rankine-cycle (or other bottoming cycle) exhaust energy recovery systems.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Hybrid powertrains.</E>
                                         The following provisions apply for pre-transmission and post-transmission hybrid powertrains:
                                    </P>
                                    <P>(1) Pre-transmission hybrid powertrains are those engine systems that include features that recover and store energy during engine motoring operation but not from the vehicle wheels. These powertrains are tested using the hybrid engine test procedures of 40 CFR part 1065 or using the post-transmission test procedures in 40 CFR 1037.550.</P>
                                    <P>(2) Post-transmission hybrid powertrains are those powertrains that include features that recover and store energy from braking but that cannot function as hybrids without the transmission. These powertrains must have a single output shaft to the final drive and are tested by simulating the chassis test procedure applicable for hybrid vehicles under 40 CFR 1037.550. You need our approval before you begin testing.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Rankine engines.</E>
                                         Test engines that include Rankine-cycle exhaust energy recovery systems according to the test procedures specified in subpart F of this part unless we approve alternate procedures.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Calculating credits.</E>
                                         Calculate credits as specified in subpart H of this part. Credits generated from engines and powertrains certified under this section may be used in other averaging sets as described in § 1036.740(d). Credits may not be generated under this section and 40 CFR 1037.615 for the same technology on the same vehicle.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Innovative technologies.</E>
                                         You may certify using both provisions of this section and the innovative technology provisions of § 1036.610, provided you do not double count emission benefits.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.620 </SECTNO>
                                    <SUBJECT>
                                        Alternate CO
                                        <E T="0732">2</E>
                                         standards based on model year 2011 compression-ignition engines.
                                    </SUBJECT>
                                    <P>
                                        For model years 2014 through 2016, you may certify your compression-ignition engines to the CO
                                        <E T="52">2</E>
                                         standards of this section instead of the CO
                                        <E T="52">2</E>
                                         standards in § 1036.108. However, you may not certify engines to these alternate standards if they are part of an averaging set in which you carry a balance of banked credits. You may submit applications for certifications before using up banked credits in the averaging set, but such certificates will not become effective until you have used up (or retired) your banked credits in the averaging set. For purposes of this section, you are deemed to carry credits 
                                        <PRTPAGE P="57391"/>
                                        in an averaging set if you carry credits from advanced technology that are allowed to be used in that averaging set.
                                    </P>
                                    <P>
                                        (a) The standards of this section are determined from the measured emission rate of the test engine of the applicable baseline 2011 engine family(ies) as described in paragraphs (b) and (c) of this section. Calculate the CO
                                        <E T="52">2</E>
                                         emission rate of the baseline test engine using the same equations used for showing compliance with the otherwise applicable standard. The alternate CO
                                        <E T="52">2</E>
                                         standard for light and medium heavy-duty vocational-certified engines (certified for CO
                                        <E T="52">2</E>
                                         using the transient cycle) is equal to the baseline emission rate multiplied by 0.975. The alternate CO
                                        <E T="52">2</E>
                                         standard for tractor-certified engines (certified for CO
                                        <E T="52">2</E>
                                         using the SET cycle) and all other heavy heavy-duty engines is equal to the baseline emission rate multiplied by 0.970. The in-use FEL for these engines is equal to the alternate standard multiplied by 1.03.
                                    </P>
                                    <P>(b) This paragraph (b) applies if you do not certify all your engine families in the averaging set to the alternate standards of this section. Identify separate baseline engine families for each engine family that you are certifying to the alternate standards of this section. For an engine family to be considered the baseline engine family, it must meet the following criteria:</P>
                                    <P>
                                        (1) It must have been certified to all applicable emission standards in model year 2011. If the baseline engine was certified to a NO
                                        <E T="52">X</E>
                                         FEL above the standard and incorporated the same emission control technologies as the new engine family, you may adjust the baseline CO
                                        <E T="52">2</E>
                                         emission rate to be equivalent to an engine meeting the 0.20 g/hp-hr NO
                                        <E T="52">X</E>
                                         standard (or your higher FEL as specified in this paragraph (b)(1)), using certification results from model years 2009 through 2011, consistent with good engineering judgment.
                                    </P>
                                    <P>
                                        (i) Use the following equation to relate model year 2009-2011 NO
                                        <E T="52">X</E>
                                         and CO
                                        <E T="52">2</E>
                                         emission rates (g/hp-hr): CO
                                        <E T="52">2</E>
                                         = a × log(NO
                                        <E T="52">X</E>
                                        )+b.
                                    </P>
                                    <P>
                                        (ii) For model year 2014-2016 engines certified to NO
                                        <E T="52">X</E>
                                         FELs above 0.20 g/hp-hr, correct the baseline CO
                                        <E T="52">2</E>
                                         emissions to the actual NO
                                        <E T="52">X</E>
                                         FELs of the 2014-2016 engines.
                                    </P>
                                    <P>(iii) Calculate separate adjustments for transient and SET emissions.</P>
                                    <P>(2) The baseline configuration tested for certification must have the same engine displacement as the engines in the engine family being certified to the alternate standards, and its rated power must be within five percent of the highest rated power in the engine family being certified to the alternate standards.</P>
                                    <P>(3) The model year 2011 U.S.-directed production volume of the configuration tested must be at least one percent of the total 2011 U.S.-directed production volume for the engine family.</P>
                                    <P>(4) The tested configuration must have cycle-weighted BSFC equivalent to or better than all other configurations in the engine family.</P>
                                    <P>
                                        (c) This paragraph (c) applies if you certify all your engine families in the primary intended service class to the alternate standards of this section. For purposes of this section, you may combine light heavy-duty and medium heavy-duty engines into a single averaging set. Determine your baseline CO
                                        <E T="52">2</E>
                                         emission rate as the production-weighted emission rate of the certified engine families you produced in the 2011 model year. If you produce engines for both tractors and vocational vehicles, treat them as separate averaging sets. Adjust the CO
                                        <E T="52">2</E>
                                         emission rates to be equivalent to an engine meeting the average NO
                                        <E T="52">X</E>
                                         FEL of new engines (assuming engines certified to the 0.20 g/hp-hr NO
                                        <E T="52">X</E>
                                         standard have a NO
                                        <E T="52">X</E>
                                         FEL equal to 0.20 g/hp-hr), as described in paragraph (b)(1) of this section.
                                    </P>
                                    <P>
                                        (d) Include the following statement on the emission control information label: “THIS ENGINE WAS CERTIFIED TO AN ALTERNATE CO
                                        <E T="52">2</E>
                                         STANDARD UNDER § 1036.620.”
                                    </P>
                                    <P>
                                        (e) You may not bank CO
                                        <E T="52">2</E>
                                         emission credits for any engine family in the same averaging set and model year in which you certify engines to the standards of this section. You may not bank any advanced technology credits in any averaging set for the model year you certify under this section (since such credits would be available for use in this averaging set). Note that the provisions of § 1036.745 apply for deficits generated with respect to the standards of this section.
                                    </P>
                                    <P>(f) You need our approval before you may certify engines under this section, especially with respect to the numerical value of the alternate standards. We will not approve your request if we determine that you manipulated your engine families or test engine configurations to certify to less stringent standards, or that you otherwise have not acted in good faith. You must keep and provide to us any information we need to determine that your engine families meet the requirements of this section. Keep these records for at least five years after you stop producing engines certified under this section.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.625 </SECTNO>
                                    <SUBJECT>In-use compliance with family emission limits (FELs).</SUBJECT>
                                    <P>You may ask us to apply a higher in-use FEL for certain in-use engines, subject to the provisions of this section. Note that § 1036.225 contains provisions related to changing FELs during a model year.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Purpose.</E>
                                         This section is intended to address circumstances in which it is in the public interest to apply a higher in-use FEL based on forfeiting an appropriate number of emission credits.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">FELs.</E>
                                         When applying higher in-use FELs to your engines, we would intend to accurately reflect the actual in-use performance of your engines, consistent with the specified testing provisions of this part.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Equivalent families.</E>
                                         We may apply the higher FELs to other families in other model years if they used equivalent emission controls.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Credit forfeiture.</E>
                                         Where we specify higher in-use FELs under this section, you must forfeit CO
                                        <E T="52">2</E>
                                         emission credits based on the difference between the in-use FEL and the otherwise applicable FEL. Calculate the amount of credits to be forfeited using the applicable equation in § 1036.705, by substituting the otherwise applicable FEL for the standard and the in-use FEL for the otherwise applicable FEL.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Requests.</E>
                                         Submit your request to the Designated Compliance Officer. Include the following in your request:
                                    </P>
                                    <P>(1) The engine family name and model year of the engines affected.</P>
                                    <P>(2) A list of other engine families/model years that may be affected.</P>
                                    <P>(3) The otherwise applicable FEL for the engine families along with your recommendations for higher in-use FELs.</P>
                                    <P>(4) Your source of credits for forfeiture.</P>
                                    <P>
                                        (f) 
                                        <E T="03">Relation to recall.</E>
                                         You may not request higher in-use FELs for any engine families for which we have made a determination of nonconformance and ordered a recall. You may, however, make such requests for engine families for which you are performing a voluntary emission recall.
                                    </P>
                                    <P>
                                        (g) 
                                        <E T="03">Approval.</E>
                                         We may approve your request if we determine that you meet the requirements of this section and such approval is in the public interest. We may include appropriate conditions with our approval or we may approve your request with modifications.
                                    </P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart H—Averaging, Banking, and Trading for Certification</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.701 </SECTNO>
                                    <SUBJECT>General provisions.</SUBJECT>
                                    <P>
                                        (a) You may average, bank, and trade (ABT) emission credits for purposes of 
                                        <PRTPAGE P="57392"/>
                                        certification as described in this subpart and in subpart B of this part to show compliance with the standards of § 1036.108. Participation in this program is voluntary. (Note: As described in subpart B of this part, you must assign an FCL to all engine families, whether or not they participate in the ABT provisions of this subpart.)
                                    </P>
                                    <P>(b) [Reserved]</P>
                                    <P>(c) The definitions of subpart I of this part apply to this subpart. The following definitions also apply:</P>
                                    <P>
                                        (1) 
                                        <E T="03">Actual emission credits</E>
                                         means emission credits you have generated that we have verified by reviewing your final report.
                                    </P>
                                    <P>
                                        (2) 
                                        <E T="03">Averaging set</E>
                                         means a set of engines in which emission credits may be exchanged. Credits generated by one engine may only be used by other engines in the same averaging set. See § 1036.740.
                                    </P>
                                    <P>
                                        (3) 
                                        <E T="03">Broker</E>
                                         means any entity that facilitates a trade of emission credits between a buyer and seller.
                                    </P>
                                    <P>
                                        (4) 
                                        <E T="03">Buyer</E>
                                         means the entity that receives emission credits as a result of a trade.
                                    </P>
                                    <P>
                                        (5) 
                                        <E T="03">Reserved emission credits</E>
                                         means emission credits you have generated that we have not yet verified by reviewing your final report.
                                    </P>
                                    <P>
                                        (6) 
                                        <E T="03">Seller</E>
                                         means the entity that provides emission credits during a trade.
                                    </P>
                                    <P>
                                        (7) 
                                        <E T="03">Standard</E>
                                         means the emission standard that applies under subpart B of this part for engines not participating in the ABT program of this subpart.
                                    </P>
                                    <P>
                                        (8) 
                                        <E T="03">Trade</E>
                                         means to exchange emission credits, either as a buyer or seller.
                                    </P>
                                    <P>(d) Emission credits may be exchanged only within an averaging set as specified in § 1036.740.</P>
                                    <P>(e) You may not use emission credits generated under this subpart to offset any emissions that exceed an FCL or standard. This applies for all testing, including certification testing, in-use testing, selective enforcement audits, and other production-line testing. However, if emissions from an engine exceed an FCL or standard (for example, during a selective enforcement audit), you may use emission credits to recertify the engine family with a higher FCL that applies only to future production.</P>
                                    <P>(f) Emission credits may be used in the model year they are generated. Surplus emission credits may be banked for future model years. Surplus emission credits may sometimes be used for past model years, as described in § 1036.745.</P>
                                    <P>(g) You may increase or decrease an FCL during the model year by amending your application for certification under § 1036.225. The new FCL may apply only to engines you have not already introduced into commerce.</P>
                                    <P>(h) You may trade emission credits generated from any number of your engines to the engine purchasers or other parties to retire the credits. Identify any such credits in the reports described in § 1036.730. Engines must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (h). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards.</P>
                                    <P>(i) See § 1036.740 for special credit provisions that apply for credits generated under § 1036.615 or 40 CFR 1037.104(d)(7) or 1037.615.</P>
                                    <P>
                                        (j) Unless the regulations explicitly allow it, you may not calculate credits more than once for any emission reduction. For example, if you generate CO
                                        <E T="52">2</E>
                                         emission credits for a hybrid engine under this part for a given vehicle, no one may generate CO
                                        <E T="52">2</E>
                                         emission credits for that same hybrid engine and vehicle under 40 CFR part 1037. However, credits could be generated for identical vehicles using engines that did not generate credits under this part.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.705 </SECTNO>
                                    <SUBJECT>Generating and calculating emission credits.</SUBJECT>
                                    <P>(a) The provisions of this section apply separately for calculating emission credits for each pollutant.</P>
                                    <P>(b) For each participating family, calculate positive or negative emission credits relative to the otherwise applicable emission standard based on the engine family's FCL for greenhouse gases. If your engine family is certified to both the vocational and tractor engine standards, calculate credits separately for the vocational engines and the tractor engines (as specified in paragraph (b)(3) of this section). Calculate positive emission credits for a family that has an FCL below the standard. Calculate negative emission credits for a family that has an FCL above the standard.</P>
                                    <P>Sum your positive and negative credits for the model year before rounding. Round the sum of emission credits to the nearest megagram (Mg), using consistent units throughout the following equations:</P>
                                    <P>(1) For vocational engines:</P>
                                    <P>
                                        Emission credits (Mg) = (Std−FCL) · (CF) · (Volume) · (UL) · (10
                                        <E T="51">−6</E>
                                        )
                                    </P>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <P>Std = the emission standard, in g/hp-hr, that applies under subpart B of this part for engines not participating in the ABT program of this subpart (the “otherwise applicable standard”).</P>
                                        <P>FCL = the Family Certification Level for the engine family, in g/hp-hr, measured over the transient duty cycle, rounded to the same number of decimal places as the emission standard.</P>
                                        <P>CF = a transient cycle conversion factor (hp-hr/mile), calculated by dividing the total (integrated) horsepower-hour over the duty cycle (average of vocational engine configurations weighted by their production volumes) by 6.3 miles for spark-ignition engines and 6.5 miles for compression-ignition engines. This represents the average work performed by vocational engines in the family over the mileage represented by operation over the duty cycle.</P>
                                        <P>Volume = the number of vocational engines eligible to participate in the averaging, banking, and trading program within the given engine family during the model year, as described in paragraph (c) of this section.</P>
                                        <P>UL = the useful life for the given engine family, in miles.</P>
                                    </EXTRACT>
                                    <P>(2) For tractor engines:</P>
                                    <P>
                                        Emission credits (Mg) = (Std−FCL) · (CF) · (Volume) · (UL) · (10
                                        <E T="51">−6</E>
                                        )
                                    </P>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <P>Std = the emission standard, in g/hp-hr, that applies under subpart B of this part for engines not participating in the ABT program of this subpart (the “otherwise applicable standard”).</P>
                                        <P>FCL = the Family Certification Level for the engine family, in g/hp-hr, measured over the SET duty cycle rounded to the same number of decimal places as the emission standard.</P>
                                        <P>CF = a transient cycle conversion factor (hp-hr/mile), calculated by dividing the total (integrated) horsepower-hour over the duty cycle (average of tractor-engine configurations weighted by their production volumes) by 6.3 miles for spark-ignition engines and 6.5 miles for compression-ignition engines. This represents the average work performed by tractor engines in the family over the mileage represented by operation over the duty cycle. Note that this calculation requires you to use the transient cycle conversion factor even for engines certified to SET-based standards. Volume = the number of tractor engines eligible to participate in the averaging, banking, and trading program within the given engine family during the model year, as described in paragraph (c) of this section.</P>
                                        <P>UL = the useful life for the given engine family, in miles.</P>
                                    </EXTRACT>
                                    <P>(3) For engine families certified to both the vocational and tractor engine standards, we may allow you to use statistical methods to estimate the total production volumes where a small fraction of the engines cannot be tracked precisely.</P>
                                    <P>
                                        (4) You may not generate emission credits for tractor engines (
                                        <E T="03">i.e.,</E>
                                         engines not certified to the transient cycle for CO
                                        <E T="52">2</E>
                                        ) installed in vocational vehicles (including vocational tractors certified pursuant to 40 CFR 1037.630 or exempted pursuant to 40 CFR 1037.631). We will waive this requirement where you demonstrate 
                                        <PRTPAGE P="57393"/>
                                        that less than five percent of the engines in your tractor family were installed in vocational vehicles. For example, if you know that 96 percent of your tractor engines were installed in non-vocational tractors, but cannot determine the vehicle type for the remaining four percent, you may generate credits for all the engines in the family.
                                    </P>
                                    <P>(c) As described in § 1036.730, compliance with the requirements of this subpart is determined at the end of the model year based on actual U.S.-directed production volumes. Keep appropriate records to document these production volumes. Do not include any of the following engines to calculate emission credits:</P>
                                    <P>
                                        (1) Engines that you do not certify to the CO
                                        <E T="52">2</E>
                                         standards of this part because they are permanently exempted under subpart G of this part or under 40 CFR part 1068.
                                    </P>
                                    <P>(2) Exported engines.</P>
                                    <P>(3) Engines not subject to the requirements of this part, such as those excluded under § 1036.5. For example, do not include engines used in vehicles certified to the greenhouse gas standards of 40 CFR 1037.104.</P>
                                    <P>(4) [Reserved]</P>
                                    <P>(5) Any other engines if we indicate elsewhere in this part 1036 that they are not to be included in the calculations of this subpart.</P>
                                    <P>
                                        (d) You may use CO
                                        <E T="52">2</E>
                                         emission credits to show compliance with CH
                                        <E T="52">4</E>
                                         and/or N
                                        <E T="52">2</E>
                                        O FELs instead of the otherwise applicable emission standards. To do this, calculate the CH
                                        <E T="52">4</E>
                                         and/or N
                                        <E T="52">2</E>
                                        O emission credits needed (negative credits) using the equation in paragraph (b) of this section, using the FEL(s) you specify for your engines during certification instead of the FCL. You must use 25 Mg of positive CO
                                        <E T="52">2</E>
                                         credits to offset 1 Mg of negative CH
                                        <E T="52">4</E>
                                         credits. You must use 298 Mg of positive CO
                                        <E T="52">2</E>
                                         credits to offset 1 Mg of negative N
                                        <E T="52">2</E>
                                        O credits.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.710 </SECTNO>
                                    <SUBJECT>Averaging.</SUBJECT>
                                    <P>(a) Averaging is the exchange of emission credits among your engine families. You may average emission credits only within the same averaging set.</P>
                                    <P>(b) You may certify one or more engine families to an FCL above the applicable standard, subject to any applicable FEL caps and other the provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero, or that a negative balance is allowed under § 1036.745.</P>
                                    <P>(c) If you certify an engine family to an FCL that exceeds the otherwise applicable standard, you must obtain enough emission credits to offset the engine family's deficit by the due date for the final report required in § 1036.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year (or from later model years as specified in § 1036.745), from emission credits you have banked, or from emission credits you obtain through trading.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.715 </SECTNO>
                                    <SUBJECT>Banking.</SUBJECT>
                                    <P>(a) Banking is the retention of surplus emission credits by the manufacturer generating the emission credits for use in future model years for averaging or trading.</P>
                                    <P>(b) You may designate any emission credits you plan to bank in the reports you submit under § 1036.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging or trading.</P>
                                    <P>(c) Reserved credits become actual emission credits when you submit your final report. However, we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records.</P>
                                    <P>(d) Banked credits retain the designation of the averaging set in which they were generated.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.720 </SECTNO>
                                    <SUBJECT>Trading.</SUBJECT>
                                    <P>(a) Trading is the exchange of emission credits between manufacturers, or the transfer of credits to another party to retire them. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits remain subject to the averaging-set restrictions based on the averaging set in which they were generated.</P>
                                    <P>(b) You may trade actual emission credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits. You may trade banked credits within an averaging set to any certifying manufacturer.</P>
                                    <P>(c) If a negative emission credit balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See § 1036.255(e) for cases involving fraud. We may void the certificates of all engine families participating in a trade that results in a manufacturer having a negative balance of emission credits. See § 1036.745.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.725 </SECTNO>
                                    <SUBJECT>What must I include in my application for certification?</SUBJECT>
                                    <P>(a) You must declare in your application for certification your intent to use the provisions of this subpart for each engine family that will be certified using the ABT program. You must also declare the FELs/FCL you select for the engine family for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs/FCL must be expressed to the same number of decimal places as the applicable standards.</P>
                                    <P>(b) Include the following in your application for certification:</P>
                                    <P>(1) A statement that, to the best of your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year; or a statement that you will have a negative balance of emission credits for one or more averaging sets, but that it is allowed under § 1036.745.</P>
                                    <P>(2) Detailed calculations of projected emission credits (positive or negative) based on projected U.S.-directed production volumes. We may require you to include similar calculations from your other engine families to project your net credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.730 </SECTNO>
                                    <SUBJECT>ABT reports.</SUBJECT>
                                    <P>(a) If any of your engine families are certified using the ABT provisions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the model year.</P>
                                    <P>(b) Your end-of-year and final reports must include the following information for each engine family participating in the ABT program:</P>
                                    <P>(1) Engine-family designation and averaging set.</P>
                                    <P>(2) The emission standards that would otherwise apply to the engine family.</P>
                                    <P>
                                        (3) The FCL for each pollutant. If you change the FCL after the start of production, identify the date that you started using the new FCL and/or give the engine identification number for the first engine covered by the new FCL. In this case, identify each applicable FCL and calculate the positive or negative emission credits as specified in § 1036.225.
                                        <PRTPAGE P="57394"/>
                                    </P>
                                    <P>(4) The projected and actual U.S.-directed production volumes for the model year. If you changed an FCL during the model year, identify the actual production volume associated with each FCL.</P>
                                    <P>(5) The transient cycle conversion factor for each engine configuration as described in § 1036.705.</P>
                                    <P>(6) Useful life.</P>
                                    <P>(7) Calculated positive or negative emission credits for the whole engine family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section.</P>
                                    <P>(c) Your end-of-year and final reports must include the following additional information:</P>
                                    <P>(1) Show that your net balance of emission credits from all your participating engine families in each averaging set in the applicable model year is not negative, except as allowed under § 1036.745.</P>
                                    <P>(2) State whether you will reserve any emission credits for banking.</P>
                                    <P>(3) State that the report's contents are accurate.</P>
                                    <P>(d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows:</P>
                                    <P>(1) As the seller, you must include the following information in your report:</P>
                                    <P>(i) The corporate names of the buyer and any brokers.</P>
                                    <P>(ii) A copy of any contracts related to the trade.</P>
                                    <P>(iii) The engine families that generated emission credits for the trade, including the number of emission credits from each family.</P>
                                    <P>(2) As the buyer, you must include the following information in your report:</P>
                                    <P>(i) The corporate names of the seller and any brokers.</P>
                                    <P>(ii) A copy of any contracts related to the trade.</P>
                                    <P>(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply to each engine family (if known).</P>
                                    <P>(e) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver.</P>
                                    <P>(f) Correct errors in your end-of-year report or final report as follows:</P>
                                    <P>(1) You may correct any errors in your end-of-year report when you prepare the final report, as long as you send us the final report by the time it is due.</P>
                                    <P>(2) If you or we determine within 270 days after the end of the model year that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (f)(2).</P>
                                    <P>(3) If you or we determine anytime that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.735 </SECTNO>
                                    <SUBJECT>Recordkeeping.</SUBJECT>
                                    <P>(a) You must organize and maintain your records as described in this section. We may review your records at any time.</P>
                                    <P>(b) Keep the records required by this section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.</P>
                                    <P>(c) Keep a copy of the reports we require in §§ 1036.725 and 1036.730.</P>
                                    <P>(d) Keep records of the engine identification number (usually the serial number) for each engine you produce that generates or uses emission credits under the ABT program. You may identify these numbers as a range. If you change the FEL after the start of production, identify the date you started using each FCL and the range of engine identification numbers associated with each FCL. You must also identify the purchaser and destination for each engine you produce to the extent this information is available.</P>
                                    <P>(e) We may require you to keep additional records or to send us relevant information not required by this section in accordance with the Clean Air Act.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.740 </SECTNO>
                                    <SUBJECT>Restrictions for using emission credits.</SUBJECT>
                                    <P>The following restrictions apply for using emission credits:</P>
                                    <P>
                                        (a) 
                                        <E T="03">Averaging sets.</E>
                                         Except as specified in paragraph (c) of this section, emission credits may be exchanged only within an following averaging sets There are four principal averaging sets for engines subject to this subpart:
                                    </P>
                                    <P>(1) Spark-ignition engines.</P>
                                    <P>(2) Compression-ignition light heavy-duty engines.</P>
                                    <P>(3) Compression-ignition medium heavy-duty engines.</P>
                                    <P>(4) Compression-ignition heavy heavy-duty engines.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Applying credits to prior year deficits.</E>
                                         Where your credit balance for the previous year is negative, you may apply credits to that credit deficit only after meeting your credit obligations for the current year.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Credits from hybrid engines and other advanced technologies.</E>
                                         The averaging set restrictions of paragraph (a) of this section do not apply for credits generated under § 1036.615 or 40 CFR 1037.104(d)(7) or 1037.615 from hybrid power systems with regenerative braking, or from other advanced technologies. Such credits may also be used under 40 CFR part 1037.
                                    </P>
                                    <P>(1) The maximum amount of credits you may bring into the following service class groups is 60,000 Mg per model year:</P>
                                    <P>(i) Spark-ignition engines, light heavy-duty compression-ignition engines, and light heavy-duty vehicles. This group comprises the averaging sets listed in paragraphs (a)(1) and (2) of this section and the averaging set listed in 40 CFR 1037.740(a)(1).</P>
                                    <P>(ii) Medium heavy-duty compression-ignition engines and medium heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(3) of this section and 40 CFR 1037.740(a)(2).</P>
                                    <P>(iii) Heavy heavy-duty compression-ignition engines and heavy heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(4) of this section and 40 CFR 1037.740(a)(3).</P>
                                    <P>(2) The limit specified in paragraph (c)(1) of this section does not limit the amount of advanced technology credits that can be used within a service class group if they were generated in that same service class group.</P>
                                    <P>
                                        (d) 
                                        <E T="03">Credit life.</E>
                                         Credits expire after five years.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Other restrictions.</E>
                                         Other sections of this part specify additional restrictions for using emission credits under certain special provisions.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.745 </SECTNO>
                                    <SUBJECT>
                                        End-of-year CO
                                        <E T="52">2</E>
                                         credit deficits.
                                    </SUBJECT>
                                    <P>Except as allowed by this section, we may void the certificate of any engine family certified to an FCL above the applicable standard for which you do not have sufficient credits by the deadline for submitting the final report.</P>
                                    <P>
                                        (a) Your certificate for an engine family for which you do not have sufficient CO
                                        <E T="52">2</E>
                                         credits will not be void if you remedy the deficit with surplus credits within three model years. For example, if you have a credit deficit of 500 Mg for an engine family at the end of model year 2015, you must generate (or otherwise obtain) a surplus of at 
                                        <PRTPAGE P="57395"/>
                                        least 500 Mg in that same averaging set by the end of model year 2018.
                                    </P>
                                    <P>
                                        (b) You may not bank or trade away CO
                                        <E T="52">2</E>
                                         credits in the averaging set in any model year in which you have a deficit.
                                    </P>
                                    <P>(c) You may apply only surplus credits to your deficit. You may not apply credits to a deficit from an earlier model year if they were generated in a model year for which any of your engine families for that averaging set had an end-of-year credit deficit.</P>
                                    <P>
                                        (d) If you do not remedy the deficit with surplus credits within three model years, we may void your certificate for that engine family. We may void the certificate based on your end-of-year report. Note that voiding a certificate applies 
                                        <E T="03">ab initio.</E>
                                         Where the net deficit is less than the total amount of negative credits originally generated by the family, we will void the certificate only with respect to the number of engines needed to reach the amount of the net deficit. For example, if the original engine family generated 500 Mg of negative credits, and the manufacturer's net deficit after three years was 250 Mg, we would void the certificate with respect to half of the engines in the family.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.750 </SECTNO>
                                    <SUBJECT>What can happen if I do not comply with the provisions of this subpart?</SUBJECT>
                                    <P>(a) For each engine family participating in the ABT program, the certificate of conformity is conditioned upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for an engine family if you fail to comply with any provisions of this subpart.</P>
                                    <P>(b) You may certify your engine family to an FCL above an applicable standard based on a projection that you will have enough emission credits to offset the deficit for the engine family. See § 1036.745 for provisions specifying what happens if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in an engine family.</P>
                                    <P>(c) We may void the certificate of conformity for an engine family if you fail to keep records, send reports, or give us information we request. Note that failing to keep records, send reports, or give us information we request is also a violation of 42 U.S.C. 7522(a)(2).</P>
                                    <P>(d) You may ask for a hearing if we void your certificate under this section (see § 1036.820).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.755 </SECTNO>
                                    <SUBJECT>Information provided to the Department of Transportation.</SUBJECT>
                                    <P>
                                        After receipt of each manufacturer's final report as specified in § 1036.730 and completion of any verification testing required to validate the manufacturer's submitted final data, we will issue a report to the Department of Transportation with CO
                                        <E T="52">2</E>
                                         emission information and will verify the accuracy of each manufacturer's equivalent fuel consumption data that required by NHTSA under 49 CFR 535.8. We will send a report to DOT for each engine manufacturer based on each regulatory category and subcategory, including sufficient information for NHTSA to determine fuel consumption and associated credit values. See 49 CFR 535.8 to determine if NHTSA deems submission of this information to EPA to also be a submission to NHTSA.
                                    </P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart I—Definitions and Other Reference Information</HD>
                                <SECTION>
                                    <SECTNO>§ 1036.801 </SECTNO>
                                    <SUBJECT>Definitions.</SUBJECT>
                                    <P>The following definitions apply to this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Act gives to them. The definitions follow:</P>
                                    <P>
                                        <E T="03">Act</E>
                                         means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
                                    </P>
                                    <P>
                                        <E T="03">Adjustable parameter</E>
                                         has the meaning given in 40 CFR part 86.
                                    </P>
                                    <P>
                                        <E T="03">Advanced technology</E>
                                         means technology certified under § 1036.615, 40 CFR 1037.104(d)(7) or 1037.615.
                                    </P>
                                    <P>
                                        <E T="03">Aftertreatment</E>
                                         means relating to a catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emissions in the engine exhaust before it is exhausted to the environment. Exhaust-gas recirculation (EGR) and turbochargers are not aftertreatment.
                                    </P>
                                    <P>
                                        <E T="03">Aircraft</E>
                                         means any vehicle capable of sustained air travel above treetop heights.
                                    </P>
                                    <P>
                                        <E T="03">Alcohol-fueled engine</E>
                                         mean an engine that is designed to run using an alcohol fuel. For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol content below 25 percent by volume.
                                    </P>
                                    <P>
                                        <E T="03">Auxiliary emission control device</E>
                                         means any element of design that senses temperature, motive speed, engine RPM, transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission control system.
                                    </P>
                                    <P>
                                        <E T="03">Averaging set</E>
                                         has the meaning given in § 1036.740.
                                    </P>
                                    <P>
                                        <E T="03">Calibration</E>
                                         means the set of specifications and tolerances specific to a particular design, version, or application of a component or assembly capable of functionally describing its operation over its working range.
                                    </P>
                                    <P>
                                        <E T="03">Carryover</E>
                                         means relating to certification based on emission data generated from an earlier model year as described in § 1036.235(d).
                                    </P>
                                    <P>
                                        <E T="03">Certification</E>
                                         means relating to the process of obtaining a certificate of conformity for an engine family that complies with the emission standards and requirements in this part.
                                    </P>
                                    <P>
                                        <E T="03">Certified emission level</E>
                                         means the highest deteriorated emission level in an engine family for a given pollutant from the applicable transient and/or steady-state testing, rounded to the same number of decimal places as the applicable standard. Note that you may have two certified emission levels for CO
                                        <E T="52">2</E>
                                         if you certify a family for both vocational and tractor use.
                                    </P>
                                    <P>
                                        <E T="03">Complete vehicle</E>
                                         means a vehicle meeting the definition of complete vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For example, where a vehicle manufacturer sells an incomplete vehicle to a secondary manufacturer, the vehicle is not a complete vehicle under this part, even after its final assembly.
                                    </P>
                                    <P>
                                        <E T="03">Compression-ignition</E>
                                         means relating to a type of reciprocating, internal-combustion engine that is not a spark-ignition engine.
                                    </P>
                                    <P>
                                        <E T="03">Crankcase emissions</E>
                                         means airborne substances emitted to the atmosphere from any part of the engine crankcase's ventilation or lubrication systems. The crankcase is the housing for the crankshaft and other related internal parts.
                                    </P>
                                    <P>
                                        <E T="03">Criteria pollutants</E>
                                         means emissions of NO
                                        <E T="52">X,</E>
                                         HC, PM, and CO. Note that these pollutants are also sometimes described collectively as “non-greenhouse gas pollutants”, although they do not necessarily have negligible global warming potentials.
                                    </P>
                                    <P>
                                        <E T="03">Designated Compliance Officer</E>
                                         means the Manager, Heavy-Duty and Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
                                    </P>
                                    <P>
                                        <E T="03">Designated Enforcement Officer</E>
                                         means the Director, Air Enforcement Division (2242A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
                                    </P>
                                    <P>
                                        <E T="03">Deteriorated emission level</E>
                                         means the emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data engine. Note that where no deterioration factor applies, 
                                        <PRTPAGE P="57396"/>
                                        references in this part to the 
                                        <E T="03">deteriorated emission level</E>
                                         mean the official emission result.
                                    </P>
                                    <P>
                                        <E T="03">Deterioration factor</E>
                                         means the relationship between emissions at the end of useful life (or point of highest emissions if it occurs before the end of useful life) and emissions at the low-hour/low-mileage test point, expressed in one of the following ways:
                                    </P>
                                    <P>(1) For multiplicative deterioration factors, the ratio of emissions at the end of useful life (or point of highest emissions) to emissions at the low-hour test point.</P>
                                    <P>(2) For additive deterioration factors, the difference between emissions at the end of useful life (or point of highest emissions) and emissions at the low-hour test point.</P>
                                    <P>
                                        <E T="03">Dual-fuel</E>
                                         means relating to an engine designed for operation on two different types of fuel but not on a continuous mixture of those fuels.
                                    </P>
                                    <P>
                                        <E T="03">Emission control system</E>
                                         means any device, system, or element of design that controls or reduces the emissions of regulated pollutants from an engine.
                                    </P>
                                    <P>
                                        <E T="03">Emission-data engine</E>
                                         means an engine that is tested for certification. This includes engines tested to establish deterioration factors.
                                    </P>
                                    <P>
                                        <E T="03">Emission-related maintenance</E>
                                         means maintenance that substantially affects emissions or is likely to substantially affect emission deterioration.
                                    </P>
                                    <P>
                                        <E T="03">Engine configuration</E>
                                         means a unique combination of engine hardware and calibration (related to the emission standards) within an engine family. Engines within a single engine configuration differ only with respect to normal production variability or factors unrelated to compliance with emission standards.
                                    </P>
                                    <P>
                                        <E T="03">Engine family</E>
                                         has the meaning given in § 1036.230.
                                    </P>
                                    <P>
                                        <E T="03">Excluded</E>
                                         means relating to engines that are not subject to some or all of the requirements of this part as follows:
                                    </P>
                                    <P>(1) An engine that has been determined not to be a heavy-duty engine is excluded from this part.</P>
                                    <P>(2) Certain heavy-duty engines are excluded from the requirements of this part under § 1036.5.</P>
                                    <P>(3) Specific regulatory provisions of this part may exclude a heavy-duty engine generally subject to this part from one or more specific standards or requirements of this part.</P>
                                    <P>
                                        <E T="03">Exempted</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Exhaust-gas recirculation</E>
                                         means a technology that reduces emissions by routing exhaust gases that had been exhausted from the combustion chamber(s) back into the engine to be mixed with incoming air before or during combustion. The use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion is not considered exhaust-gas recirculation for the purposes of this part.
                                    </P>
                                    <P>
                                        <E T="03">Family certification level (FCL)</E>
                                         means a CO
                                        <E T="52">2</E>
                                         emission level declared by the manufacturer that is at or above emission test results for all emission-data engines. The FCL serves as the emission standard for the engine family with respect to certification testing if it is different than the otherwise applicable standard. The FCL must be expressed to the same number of decimal places as the emission standard it replaces.
                                    </P>
                                    <P>
                                        <E T="03">Family emission limit (FEL)</E>
                                         means an emission level declared by the manufacturer to serve in place of an otherwise applicable emission standard (other than CO
                                        <E T="52">2</E>
                                         standards) under the ABT program in subpart H of this part. The FEL must be expressed to the same number of decimal places as the emission standard it replaces. The FEL serves as the emission standard for the engine family with respect to all required testing except certification testing for CO
                                        <E T="52">2.</E>
                                         The CO
                                        <E T="52">2</E>
                                         FEL is equal to the CO
                                        <E T="52">2</E>
                                         FCL multiplied by 1.03 and rounded to the same number of decimal places as the standard (
                                        <E T="03">e.g.,</E>
                                         the nearest whole g/hp-hr for the 2016 CO
                                        <E T="52">2</E>
                                         standards).
                                    </P>
                                    <P>
                                        <E T="03">Flexible-fuel</E>
                                         means relating to an engine designed for operation on any mixture of two or more different types of fuels.
                                    </P>
                                    <P>
                                        <E T="03">Fuel type</E>
                                         means a general category of fuels such as diesel fuel, gasoline, or natural gas. There can be multiple grades within a single fuel type, such as premium gasoline, regular gasoline, or gasoline with 10 percent ethanol.
                                    </P>
                                    <P>
                                        <E T="03">Good engineering judgment</E>
                                         has the meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment.
                                    </P>
                                    <P>
                                        <E T="03">Greenhouse gas pollutants</E>
                                         and 
                                        <E T="03">greenhouse gases</E>
                                         means compounds regulated under this part based primarily on their impact on the climate. This includes CO
                                        <E T="52">2,</E>
                                         CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O.
                                    </P>
                                    <P>
                                        <E T="03">Gross vehicle weight rating (GVWR)</E>
                                         means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle, consistent with good engineering judgment.
                                    </P>
                                    <P>
                                        <E T="03">Heavy-duty engine</E>
                                         means any engine which the engine manufacturer could reasonably expect to be used for motive power in a heavy-duty vehicle. For purposes of this definition in this part, the term “engine” includes internal combustion engines and other devices that convert chemical fuel into motive power. For example, a fuel cell used in a heavy-duty vehicle is a heavy-duty engine.
                                    </P>
                                    <P>
                                        <E T="03">Heavy-duty vehicle</E>
                                         means any motor vehicle above 8,500 pounds GVWR or that has a vehicle curb weight above 6,000 pounds or that has a basic vehicle frontal area greater than 45 square feet. 
                                        <E T="03">Curb weight</E>
                                         has the meaning given in 40 CFR 86.1803, consistent with the provisions of 40 CFR 1037.140. 
                                        <E T="03">Basic vehicle frontal area</E>
                                         has the meaning given in 40 CFR 86.1803.
                                    </P>
                                    <P>
                                        <E T="03">Hybrid engine</E>
                                         or 
                                        <E T="03">hybrid powertrain</E>
                                         means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking differently than those intended for vehicles that do not include regenerative braking.
                                    </P>
                                    <P>
                                        <E T="03">Hydrocarbon (HC)</E>
                                         means the hydrocarbon group on which the emission standards are based for each fuel type. For alcohol-fueled engines, HC means nonmethane hydrocarbon equivalent (NMHCE). For all other engines, HC means nonmethane hydrocarbon (NMHC).
                                    </P>
                                    <P>
                                        <E T="03">Identification number</E>
                                         means a unique specification (for example, a model number/serial number combination) that allows someone to distinguish a particular engine from other similar engines.
                                    </P>
                                    <P>
                                        <E T="03">Incomplete vehicle</E>
                                         means a vehicle meeting the definition of incomplete vehicle in 40 CFR 1037.801 when it is first sold as a vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Innovative technology</E>
                                         means technology certified under § 1036.610.
                                    </P>
                                    <P>
                                        <E T="03">Liquefied petroleum gas (LPG)</E>
                                         means a liquid hydrocarbon fuel that is stored under pressure and is composed primarily of nonmethane compounds that are gases at atmospheric conditions.
                                    </P>
                                    <P>
                                        <E T="03">Low-hour</E>
                                         means relating to an engine that has stabilized emissions and represents the undeteriorated emission level. This would generally involve less than 125 hours of operation.
                                    </P>
                                    <P>
                                        <E T="03">Manufacture</E>
                                         means the physical and engineering process of designing, constructing, and/or assembling a heavy-duty engine or a heavy-duty vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Manufacturer</E>
                                         has the meaning given in section 216(1) of the Act. In general, this term includes any person who manufactures an engine, vehicle, or 
                                        <PRTPAGE P="57397"/>
                                        piece of equipment for sale in the United States or otherwise introduces a new engine into commerce in the United States. This includes importers who import engines or vehicles for resale.
                                    </P>
                                    <P>
                                        <E T="03">Medium-duty passenger vehicle</E>
                                         has the meaning given in 40 CFR 86.1803.
                                    </P>
                                    <P>
                                        <E T="03">Model year</E>
                                         means the manufacturer's annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers may not adjust model years to circumvent or delay compliance with emission standards or to avoid the obligation to certify annually.
                                    </P>
                                    <P>
                                        <E T="03">Motor vehicle</E>
                                         has the meaning given in 40 CFR 85.1703.
                                    </P>
                                    <P>
                                        <E T="03">Natural gas</E>
                                         means a fuel whose primary constituent is methane.
                                    </P>
                                    <P>
                                        <E T="03">New motor vehicle engine</E>
                                         means a motor vehicle engine meeting the criteria of either paragraph (1) or (2) of this definition.
                                    </P>
                                    <P>
                                        (1) A motor vehicle engine for which the ultimate purchaser has never received the equitable or legal title is a n
                                        <E T="03">ew motor vehicle engine.</E>
                                         This kind of engine might commonly be thought of as “brand new” although a 
                                        <E T="03">new motor vehicle engine</E>
                                         may include previously used parts. Under this definition, the engine is new from the time it is produced until the ultimate purchaser receives the title or places it into service, whichever comes first.
                                    </P>
                                    <P>
                                        (2) An imported motor vehicle engine is a 
                                        <E T="03">new motor vehicle engine</E>
                                         if it was originally built on or after January 1, 1970.
                                    </P>
                                    <P>
                                        <E T="03">Noncompliant engine</E>
                                         means an engine that was originally covered by a certificate of conformity, but is not in the certified configuration or otherwise does not comply with the conditions of the certificate.
                                    </P>
                                    <P>
                                        <E T="03">Nonconforming engine</E>
                                         means an engine not covered by a certificate of conformity that would otherwise be subject to emission standards.
                                    </P>
                                    <P>
                                        <E T="03">Nonmethane hydrocarbons (NMHC)</E>
                                         means the sum of all hydrocarbon species except methane, as measured according to 40 CFR part 1065.
                                    </P>
                                    <P>
                                        <E T="03">Official emission result</E>
                                         means the measured emission rate for an emission-data engine on a given duty cycle before the application of any deterioration factor, but after the applicability of any required regeneration adjustment factors.
                                    </P>
                                    <P>
                                        <E T="03">Owner's manual</E>
                                         means a document or collection of documents prepared by the engine or vehicle manufacturer for the owner or operator to describe appropriate engine maintenance, applicable warranties, and any other information related to operating or keeping the engine. The owner's manual is typically provided to the ultimate purchaser at the time of sale.
                                    </P>
                                    <P>
                                        <E T="03">Oxides of nitrogen</E>
                                         has the meaning given in 40 CFR 1065.1001.
                                    </P>
                                    <P>
                                        <E T="03">Percent</E>
                                         has the meaning given in 40 CFR 1065.1001. Note that this means percentages identified in this part are assumed to be infinitely precise without regard to the number of significant figures. For example, one percent of 1,493 is 14.93.
                                    </P>
                                    <P>
                                        <E T="03">Petroleum</E>
                                         means gasoline or diesel fuel or other fuels normally derived from crude oil. This does not include methane or LPG.
                                    </P>
                                    <P>
                                        <E T="03">Placed into service</E>
                                         means put into initial use for its intended purpose.
                                    </P>
                                    <P>
                                        <E T="03">Primary intended service class</E>
                                         has the meaning given in § 1036.140.
                                    </P>
                                    <P>
                                        <E T="03">Rated power</E>
                                         has the meaning given in 40 CFR part 86.
                                    </P>
                                    <P>
                                        <E T="03">Rechargeable Energy Storage System (RESS)</E>
                                         means the component(s) of a hybrid engine or vehicle that store recovered energy for later use, such as the battery system in an electric hybrid vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Revoke</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Round</E>
                                         has the meaning given in 40 CFR 1065.1001.
                                    </P>
                                    <P>
                                        <E T="03">Scheduled maintenance</E>
                                         means adjusting, repairing, removing, disassembling, cleaning, or replacing components or systems periodically to keep a part or system from failing, malfunctioning, or wearing prematurely. It also may mean actions you expect are necessary to correct an overt indication of failure or malfunction for which periodic maintenance is not appropriate.
                                    </P>
                                    <P>
                                        <E T="03">Small manufacturer</E>
                                         means a manufacturer meeting the criteria specified in 13 CFR 121.201. For manufacturers owned by a parent company, the employee and revenue limits apply to the total number of employees and total revenue of the parent company and all its subsidiaries.
                                    </P>
                                    <P>
                                        <E T="03">Spark-ignition</E>
                                         means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation.
                                    </P>
                                    <P>
                                        <E T="03">Steady-state</E>
                                         has the meaning given in 40 CFR 1065.1001.
                                    </P>
                                    <P>
                                        <E T="03">Suspend</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Test engine</E>
                                         means an engine in a test sample.
                                    </P>
                                    <P>
                                        <E T="03">Test sample</E>
                                         means the collection of engines selected from the population of an engine family for emission testing. This may include testing for certification, production-line testing, or in-use testing.
                                    </P>
                                    <P>
                                        <E T="03">Tractor</E>
                                         means a vehicle meeting the definition of “tractor” in 40 CFR 1037.801, but not classified as a “vocational tractor” under 40 CFR 1037.630, or relating to such a vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Tractor engine</E>
                                         means an engine certified for use in tractors. Where an engine family is certified for use in both tractors and vocational vehicles, “tractor engine” means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a tractor. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a tractor engine.
                                    </P>
                                    <P>
                                        <E T="03">Ultimate purchaser</E>
                                         means, with respect to any new engine or vehicle, the first person who in good faith purchases such new engine or vehicle for purposes other than resale.
                                    </P>
                                    <P>
                                        <E T="03">United States</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Upcoming model year</E>
                                         means for an engine family the model year after the one currently in production.
                                    </P>
                                    <P>
                                        <E T="03">U.S.-directed production volume</E>
                                         means the number of engines, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States. This does not include engines certified to state emission standards that are different than the emission standards in this part.
                                    </P>
                                    <P>
                                        <E T="03">Vehicle</E>
                                         has the meaning given in 40 CFR 1037.801.
                                    </P>
                                    <P>
                                        <E T="03">Vocational engine</E>
                                         means an engine certified for use in vocational vehicles. Where an engine family is certified for use in both tractors and vocational vehicles, “vocational engine” means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a vocational vehicle. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a vocational engine.
                                    </P>
                                    <P>
                                        <E T="03">Vocational vehicle</E>
                                         means a vehicle meeting the definition of “vocational” vehicle in 40 CFR 1037.801.
                                    </P>
                                    <P>
                                        <E T="03">Void</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">We (us, our)</E>
                                         means the Administrator of the Environmental Protection Agency and any authorized representatives.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <PRTPAGE P="57398"/>
                                    <SECTNO>§ 1036.805 </SECTNO>
                                    <SUBJECT>Symbols, acronyms, and abbreviations.</SUBJECT>
                                    <P>The following symbols, acronyms, and abbreviations apply to this part:</P>
                                    <P>ABT averaging, banking, and trading.</P>
                                    <P>AECD auxiliary emission control device.</P>
                                    <P>ASTM American Society for Testing and Materials.</P>
                                    <P>BTU British thermal units.</P>
                                    <P>CFR Code of Federal Regulations.</P>
                                    <P>
                                        CH
                                        <E T="52">4</E>
                                         methane.
                                    </P>
                                    <P>CO carbon monoxide.</P>
                                    <P>
                                        CO
                                        <E T="52">2</E>
                                         carbon dioxide.
                                    </P>
                                    <P>DF deterioration factor.</P>
                                    <P>DOT Department of Transportation.</P>
                                    <P>E85 gasoline blend including nominally 85 percent ethanol.</P>
                                    <P>EPA Environmental Protection Agency.</P>
                                    <P>FCL Family Certification Level.</P>
                                    <P>FEL Family Emission Limit.</P>
                                    <P>g/hp-hr grams per brake horsepower-hour.</P>
                                    <P>GVWR gross vehicle weight rating.</P>
                                    <P>HC hydrocarbon.</P>
                                    <P>kg kilogram.</P>
                                    <P>kgC kilogram carbon.</P>
                                    <P>kW kilowatts.</P>
                                    <P>lb pound.</P>
                                    <P>lbC pound carbon.</P>
                                    <P>LPG liquefied petroleum gas.</P>
                                    <P>
                                        Mg megagrams (10 
                                        <SU>6</SU>
                                         grams, or one metric ton).
                                    </P>
                                    <P>MJ megajoules.</P>
                                    <P>
                                        N
                                        <E T="52">2</E>
                                        O nitrous oxide.
                                    </P>
                                    <P>NARA National Archives and Records Administration.</P>
                                    <P>NHTSA National Highway Traffic Safety Administration.</P>
                                    <P>
                                        NOx oxides of nitrogen (NO and NO
                                        <E T="52">2</E>
                                        ).
                                    </P>
                                    <P>NTE not-to-exceed.</P>
                                    <P>PM particulate matter.</P>
                                    <P>RESS rechargeable energy storage system.</P>
                                    <P>RPM revolutions per minute.</P>
                                    <P>SET Supplemental Emission Test (see 40 CFR 86.1362).</P>
                                    <P>U.S. United States.</P>
                                    <P>U.S.C. United States Code.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.810 </SECTNO>
                                    <SUBJECT>Incorporation by reference.</SUBJECT>
                                    <P>
                                        (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 
                                        <E T="04">Federal Register</E>
                                         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 
                                        <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E>
                                    </P>
                                    <P>
                                        (b) American Society for Testing and Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA, 19428-2959, (610) 832-9585, 
                                        <E T="03">http://www.astm.org/.</E>
                                    </P>
                                    <P>(1) ASTM D 240-09 Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter, approved July 1, 2009, IBR approved for § 1036.530(b).</P>
                                    <P>(2) ASTM D4809-09a Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), approved September 1, 2009, IBR approved for § 1036.530(b).</P>
                                    <P>(3) ASTM D5291-10 Standard Test Methods for Instrumental Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products and Lubricants, approved May 1, 2010, IBR approved for § 1036.530(b).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.815 </SECTNO>
                                    <SUBJECT>Confidential information.</SUBJECT>
                                    <P>The provisions of 40 CFR 1068.10 apply for information you consider confidential.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.820 </SECTNO>
                                    <SUBJECT>Requesting a hearing.</SUBJECT>
                                    <P>(a) You may request a hearing under certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision.</P>
                                    <P>(b) For a hearing you request under the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue.</P>
                                    <P>(c) If we agree to hold a hearing, we will use the procedures specified in 40 CFR part 1068, subpart G.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1036.825 </SECTNO>
                                    <SUBJECT>Reporting and recordkeeping requirements.</SUBJECT>
                                    <P>(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You may not rely on anyone else to meet recordkeeping requirements on your behalf unless we specifically authorize it. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format.</P>
                                    <P>(b) The regulations in § 1036.255 and 40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties.</P>
                                    <P>(c) Send all reports and requests for approval to the Designated Compliance Officer (see § 1036.801).</P>
                                    <P>(d) Any written information we require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. Keep these records for eight years unless the regulations specify a different period. We may require you to send us these records whether or not you are a certificate holder.</P>
                                    <P>
                                        (e) Under the Paperwork Reduction Act (44 U.S.C. 3501 
                                        <E T="03">et seq.</E>
                                        ), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for engines and equipment regulated under this part:
                                    </P>
                                    <P>(1) We specify the following requirements related to engine certification in this part 1036:</P>
                                    <P>(i) In § 1036.135 we require engine manufacturers to keep certain records related to duplicate labels sent to equipment manufacturers.</P>
                                    <P>(ii) In subpart C of this part we identify a wide range of information required to certify engines.</P>
                                    <P>(iii) In subpart G of this part we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions.</P>
                                    <P>(iv) In §§ 1036.725, 1036.730, and 1036.735 we specify certain records related to averaging, banking, and trading.</P>
                                    <P>(2) We specify the following requirements related to testing in 40 CFR part 1066:</P>
                                    <P>(i) In 40 CFR 1066.2 we give an overview of principles for reporting information. </P>
                                    <P>(ii) [Reserved]</P>
                                </SECTION>
                            </SUBPART>
                        </PART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1037">
                        <AMDPAR>34. A new part 1037 is added to subchapter U to read as follows:</AMDPAR>
                        <PART>
                            <PRTPAGE P="57399"/>
                            <HD SOURCE="HED">PART 1037—CONTROL OF EMISSIONS FROM NEW HEAVY-DUTY MOTOR VEHICLES</HD>
                            <CONTENTS>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart A—Overview and Applicability</HD>
                                    <SECHD>Sec.</SECHD>
                                    <SECTNO>1037.1</SECTNO>
                                    <SUBJECT>Applicability</SUBJECT>
                                    <SECTNO>1037.5</SECTNO>
                                    <SUBJECT>Excluded vehicles.</SUBJECT>
                                    <SECTNO>1037.10</SECTNO>
                                    <SUBJECT>How is this part organized?</SUBJECT>
                                    <SECTNO>1037.15</SECTNO>
                                    <SUBJECT>Do any other regulation parts apply to me?</SUBJECT>
                                    <SECTNO>1037.30</SECTNO>
                                    <SUBJECT>Submission of information.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart B—Emission Standards and Related Requirements</HD>
                                    <SECTNO>1037.101</SECTNO>
                                    <SUBJECT>Overview of emission standards for heavy-duty vehicles.</SUBJECT>
                                    <SECTNO>1037.102</SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for NO
                                        <E T="52">X</E>
                                        , HC, PM, and CO.
                                    </SUBJECT>
                                    <SECTNO>1037.104</SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for CO
                                        <E T="52">2</E>
                                        , CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O for heavy-duty vehicles at or below 14,000 pounds GVWR.
                                    </SUBJECT>
                                    <SECTNO>1037.105</SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for CO
                                        <E T="52">2</E>
                                         for vocational vehicles.
                                    </SUBJECT>
                                    <SECTNO>1037.106</SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for CO
                                        <E T="52">2</E>
                                         for tractors above 26,000 pounds GVWR.
                                    </SUBJECT>
                                    <SECTNO>1037.115</SECTNO>
                                    <SUBJECT>Other requirements.</SUBJECT>
                                    <SECTNO>1037.120</SECTNO>
                                    <SUBJECT>Emission-related warranty requirements.</SUBJECT>
                                    <SECTNO>1037.125</SECTNO>
                                    <SUBJECT>Maintenance instructions and allowable maintenance.</SUBJECT>
                                    <SECTNO>1037.135</SECTNO>
                                    <SUBJECT>Labeling.</SUBJECT>
                                    <SECTNO>1037.140</SECTNO>
                                    <SUBJECT>Curb weight and roof height.</SUBJECT>
                                    <SECTNO>1037.150</SECTNO>
                                    <SUBJECT>Interim provisions.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart C—Certifying Vehicle families</HD>
                                    <SECTNO>1037.201</SECTNO>
                                    <SUBJECT>General requirements for obtaining a certificate of conformity.</SUBJECT>
                                    <SECTNO>1037.205</SECTNO>
                                    <SUBJECT>What must I include in my application?</SUBJECT>
                                    <SECTNO>1037.210</SECTNO>
                                    <SUBJECT>Preliminary approval before certification.</SUBJECT>
                                    <SECTNO>1037.220</SECTNO>
                                    <SUBJECT>Amending maintenance instructions.</SUBJECT>
                                    <SECTNO>1037.225</SECTNO>
                                    <SUBJECT>Amending applications for certification.</SUBJECT>
                                    <SECTNO>1037.230</SECTNO>
                                    <SUBJECT>Vehicle families, sub-families, and configurations.</SUBJECT>
                                    <SECTNO>1037.241</SECTNO>
                                    <SUBJECT>Demonstrating compliance with exhaust emission standards for greenhouse gas pollutants.</SUBJECT>
                                    <SECTNO>1037.250</SECTNO>
                                    <SUBJECT>Reporting and recordkeeping.</SUBJECT>
                                    <SECTNO>1037.255</SECTNO>
                                    <SUBJECT>What decisions may EPA make regarding my certificate of conformity?</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart D—[Reserved]</HD>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart E—In-Use Testing</HD>
                                    <SECTNO>1037.401</SECTNO>
                                    <SUBJECT>General provisions.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart F—Test and Modeling Procedures</HD>
                                    <SECTNO>1037.501</SECTNO>
                                    <SUBJECT>General testing and modeling provisions.</SUBJECT>
                                    <SECTNO>1037.510</SECTNO>
                                    <SUBJECT>Duty-cycle exhaust testing.</SUBJECT>
                                    <SECTNO>1037.520</SECTNO>
                                    <SUBJECT>
                                        Modeling CO
                                        <E T="52">2</E>
                                         emissions to show compliance.
                                    </SUBJECT>
                                    <SECTNO>1037.521</SECTNO>
                                    <SUBJECT>Aerodynamic measurements.</SUBJECT>
                                    <SECTNO>1037.525</SECTNO>
                                    <SUBJECT>Special procedures for testing hybrid vehicles with power take-off.</SUBJECT>
                                    <SECTNO>1037.550</SECTNO>
                                    <SUBJECT>Special procedures for testing post-transmission hybrid systems.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart G—Special Compliance Provisions</HD>
                                    <SECTNO>1037.601</SECTNO>
                                    <SUBJECT>What compliance provisions apply to these vehicles?</SUBJECT>
                                    <SECTNO>1037.610</SECTNO>
                                    <SUBJECT>Vehicles with innovative technologies.</SUBJECT>
                                    <SECTNO>1037.615</SECTNO>
                                    <SUBJECT>Hybrid vehicles and other advanced technologies.</SUBJECT>
                                    <SECTNO>1037.620</SECTNO>
                                    <SUBJECT>Shipment of incomplete vehicles to secondary vehicle manufacturers.</SUBJECT>
                                    <SECTNO>1037.630</SECTNO>
                                    <SUBJECT>Special purpose tractors.</SUBJECT>
                                    <SECTNO>1037.631</SECTNO>
                                    <SUBJECT>Exemption for vocational vehicles intended for off-road use.</SUBJECT>
                                    <SECTNO>1037.640</SECTNO>
                                    <SUBJECT>Variable vehicle speed limiters.</SUBJECT>
                                    <SECTNO>1037.645</SECTNO>
                                    <SUBJECT>In-use compliance with family emission limits (FELs).</SUBJECT>
                                    <SECTNO>1037.650</SECTNO>
                                    <SUBJECT>Tire manufacturers.</SUBJECT>
                                    <SECTNO>1037.655</SECTNO>
                                    <SUBJECT>Post-useful life vehicle modifications.</SUBJECT>
                                    <SECTNO>1037.660</SECTNO>
                                    <SUBJECT>Automatic engine shutdown systems.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart H—Averaging, Banking, and Trading for Certification</HD>
                                    <SECTNO>1037.701</SECTNO>
                                    <SUBJECT>General provisions.</SUBJECT>
                                    <SECTNO>1037.705</SECTNO>
                                    <SUBJECT>Generating and calculating emission credits.</SUBJECT>
                                    <SECTNO>1037.710</SECTNO>
                                    <SUBJECT>Averaging.</SUBJECT>
                                    <SECTNO>1037.715</SECTNO>
                                    <SUBJECT>Banking.</SUBJECT>
                                    <SECTNO>1037.720</SECTNO>
                                    <SUBJECT>Trading.</SUBJECT>
                                    <SECTNO>1037.725</SECTNO>
                                    <SUBJECT>What must I include in my application for certification?</SUBJECT>
                                    <SECTNO>1037.730</SECTNO>
                                    <SUBJECT>ABT reports.</SUBJECT>
                                    <SECTNO>1037.735</SECTNO>
                                    <SUBJECT>Recordkeeping.</SUBJECT>
                                    <SECTNO>1037.740</SECTNO>
                                    <SUBJECT>Restrictions for using emission credits.</SUBJECT>
                                    <SECTNO>1037.745</SECTNO>
                                    <SUBJECT>
                                        End-of-year CO
                                        <E T="52">2</E>
                                         credit deficits.
                                    </SUBJECT>
                                    <SECTNO>1037.750</SECTNO>
                                    <SUBJECT>What can happen if I do not comply with the provisions of this subpart?</SUBJECT>
                                    <SECTNO>1037.755</SECTNO>
                                    <SUBJECT>Information provided to the Department of Transportation.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart I—Definitions and Other Reference Information</HD>
                                    <SECTNO>1037.801</SECTNO>
                                    <SUBJECT>Definitions.</SUBJECT>
                                    <SECTNO>1037.805</SECTNO>
                                    <SUBJECT>Symbols, acronyms, and abbreviations.</SUBJECT>
                                    <SECTNO>1037.810</SECTNO>
                                    <SUBJECT>Incorporation by reference.</SUBJECT>
                                    <SECTNO>1037.815</SECTNO>
                                    <SUBJECT>Confidential information.</SUBJECT>
                                    <SECTNO>1037.820</SECTNO>
                                    <SUBJECT>Requesting a hearing.</SUBJECT>
                                    <SECTNO>1037.825</SECTNO>
                                    <SUBJECT>Reporting and recordkeeping requirements.</SUBJECT>
                                </SUBPART>
                                <FP SOURCE="FP-2">Appendix I to Part 1037—Heavy-duty Transient Chassis Test Cycle</FP>
                                <FP SOURCE="FP-2">Appendix II to Part 1037—Power Take-Off Test Cycle</FP>
                                <FP SOURCE="FP-2">Appendix III to Part 1037—Emission Control Identifiers</FP>
                            </CONTENTS>
                            <AUTH>
                                <HD SOURCE="HED">Authority: </HD>
                                <P>42 U.S.C. 7401—7671q.</P>
                            </AUTH>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart A—Overview and Applicability</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.1 </SECTNO>
                                    <SUBJECT>Applicability</SUBJECT>
                                    <P>This part contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. The regulations in this part 1037 apply for all new heavy-duty vehicles, except as provided in § 1037.5. This includes electric vehicles and vehicles fueled by conventional and alternative fuels.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.5 </SECTNO>
                                    <SUBJECT>Excluded vehicles.</SUBJECT>
                                    <P>Except for the definitions specified in § 1037.801, this part does not apply to the following vehicles:</P>
                                    <P>(a) Vehicles not meeting the definition of “motor vehicle”.</P>
                                    <P>(b) Vehicles excluded from the definition of “heavy-duty vehicle” in § 1037.801 because of vehicle weight, weight rating, and frontal area (such as light-duty vehicles and light-duty trucks).</P>
                                    <P>(c) Medium-duty passenger vehicles.</P>
                                    <P>(d) Vehicles produced in model years before 2014, unless they are certified under § 1037.150.</P>
                                    <P>(e) Vehicles subject to the light-duty greenhouse gas standards of 40 CFR part 86. See 40 CFR 86.1818 for greenhouse gas standards that apply for these vehicles. An example of such a vehicle would be a vehicle meeting the definition of “heavy-duty vehicle” in § 1037.801 and 40 CFR 86.1803, but also meeting the definition of “light truck” in 40 CFR 86.1818-12(b)(2).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.10 </SECTNO>
                                    <SUBJECT>How is this part organized?</SUBJECT>
                                    <P>This part 1037 is divided into subparts as described in this section. Note that only subparts A, B, and I of this part apply for vehicles subject to the standards of § 1037.104, as described in that section.</P>
                                    <P>(a) Subpart A of this part defines the applicability of part 1037 and gives an overview of regulatory requirements.</P>
                                    <P>(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify vehicles under this part. Note that § 1037.150 discusses certain interim requirements and compliance provisions that apply only for a limited time.</P>
                                    <P>(c) Subpart C of this part describes how to apply for a certificate of conformity for vehicles subject to the standards of § 1037.105 or § 1037.106.</P>
                                    <P>(d) [Reserved]</P>
                                    <P>(e) Subpart E of this part addresses testing of in-use vehicles.</P>
                                    <P>(f) Subpart F of this part describes how to test your vehicles and perform emission modeling (including references to other parts of the Code of Federal Regulations) for vehicles subject to the standards of § 1037.105 or § 1037.106.</P>
                                    <P>(g) Subpart G of this part and 40 CFR part 1068 describe requirements, prohibitions, and other provisions that apply to manufacturers, owners, operators, rebuilders, and all others. Section 1037.601 describes how 40 CFR part 1068 applies for heavy-duty vehicles.</P>
                                    <P>
                                        (h) Subpart H of this part describes how you may generate and use emission 
                                        <PRTPAGE P="57400"/>
                                        credits to certify vehicles that are subject to the standards of § 1037.105 or § 1037.106.
                                    </P>
                                    <P>(i) Subpart I of this part contains definitions and other reference information.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.15 </SECTNO>
                                    <SUBJECT>Do any other regulation parts apply to me?</SUBJECT>
                                    <P>(a) Parts 1065 and 1066 of this chapter describe procedures and equipment specifications for testing engines and vehicles to measure exhaust emissions. Subpart F of this part 1037 describes how to apply the provisions of part 1065 and part 1066 of this chapter to determine whether vehicles meet the exhaust emission standards in this part.</P>
                                    <P>(b) As described in § 1037.601, certain requirements and prohibitions of part 1068 of this chapter apply to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the vehicles subject to this part 1037. Part 1068 of this chapter describes general provisions that apply broadly, but do not necessarily apply for all vehicles or all persons. The issues addressed by these provisions include these seven areas:</P>
                                    <P>(1) Prohibited acts and penalties for manufacturers and others.</P>
                                    <P>(2) Rebuilding and other aftermarket changes.</P>
                                    <P>(3) Exclusions and exemptions for certain vehicles.</P>
                                    <P>(4) Importing vehicles.</P>
                                    <P>(5) Selective enforcement audits of your production.</P>
                                    <P>(6) Recall.</P>
                                    <P>(7) Procedures for hearings.</P>
                                    <P>(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, applies for vehicles subject to § 1037.104.</P>
                                    <P>(d) Other parts of this chapter apply if referenced in this part.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.30 </SECTNO>
                                    <SUBJECT>Submission of information.</SUBJECT>
                                    <P>Send all reports and requests for approval to the Designated Compliance Officer (see § 1037.801). See § 1037.825 for additional reporting and recordkeeping provisions.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart B—Emission Standards and Related Requirements</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.101 </SECTNO>
                                    <SUBJECT>Overview of emission standards for heavy-duty vehicles.</SUBJECT>
                                    <P>(a) This part specifies emission standards for certain vehicles and for certain pollutants. It also summarizes other standards that apply under 40 CFR part 86. This part contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride.</P>
                                    <P>(b) The regulated emissions are addressed in four groups:</P>
                                    <P>
                                        (1) Exhaust emissions of NO
                                        <E T="52">X</E>
                                        , HC, PM, and CO. These pollutants are sometimes described collectively as “criteria pollutants” because they are either criteria pollutants under the Clean Air Act or precursors to the criteria pollutant ozone. These pollutants are also sometimes described collectively as “non-greenhouse gas pollutants”, although they do not necessarily have negligible global warming potential. As described in § 1037.102, standards for these pollutants are provided in 40 CFR part 86.
                                    </P>
                                    <P>
                                        (2) Exhaust emissions of CO
                                        <E T="52">2</E>
                                        , CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O. These pollutants are described collectively in this part as “greenhouse gas pollutants” because they are regulated primarily based on their impact on the climate. These standards are provided in §§ 1037.104 through 1037.106.
                                    </P>
                                    <P>(3) Hydrofluorocarbons. These pollutants are also “greenhouse gas pollutants” but are treated separately from exhaust greenhouse gas pollutants listed in paragraph (b)(2) of this section. These standards are provided in § 1037.115.</P>
                                    <P>(4) Fuel evaporative emissions. These requirements are described in 40 CFR part 86.</P>
                                    <P>(c) The regulated heavy-duty vehicles are addressed in different groups as follows:</P>
                                    <P>(1) For criteria pollutants, vehicles are regulated based on gross vehicle weight rating (GVWR), whether they are considered “spark-ignition” or “compression-ignition,” and whether they are first sold as complete or incomplete vehicles. These groupings apply as described in 40 CFR part 86.</P>
                                    <P>(2) For greenhouse gas pollutants, vehicles are regulated in the following groups:</P>
                                    <P>(i) Complete and certain incomplete vehicles at or below 14,000 pounds GVWR (see § 1037.104 for further specification). Certain provisions of 40 CFR part 86 apply for these vehicles; see § 1037.104(h) for a list of provisions in this part 1037 that also apply for these vehicles. These provisions may also be optionally applied to certain other vehicles, as described in § 1037.104.</P>
                                    <P>(ii) Tractors above 26,000 pounds GVWR.</P>
                                    <P>(iii) All other vehicles subject to standards under this part. These other vehicles are referred to as “vocational” vehicles.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.102 </SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for NO
                                        <E T="0732">X</E>
                                        , HC, PM, and CO.
                                    </SUBJECT>
                                    <P>
                                        See 40 CFR part 86 for the exhaust emission standards for NO
                                        <E T="52">X</E>
                                        , HC, PM, and CO that apply for heavy-duty vehicles.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.104 </SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for CO
                                        <E T="52">2</E>
                                        , CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O for heavy-duty vehicles at or below 14,000 pounds GVWR.
                                    </SUBJECT>
                                    <P>This section applies for heavy-duty vehicles at or below 14,000 pounds GVWR. See paragraph (f) of this section and § 1037.150 of this section for provisions excluding certain vehicles from this section, and allowing other vehicles to be certified under this section.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Fleet-average CO</E>
                                        <E T="54">2</E>
                                          
                                        <E T="03">emission standards.</E>
                                         Fleet-average CO
                                        <E T="52">2</E>
                                         emission standards apply for each manufacturer as follows:
                                    </P>
                                    <P>(1) Calculate a work factor, WF, for each vehicle subconfiguration (or group of subconfigurations allowed under paragraph (a)(4) of this section), rounded to the nearest pound, using the following equation:</P>
                                    <FP SOURCE="FP-2">WF = 0.75 × (GVWR − Curb Weight + xwd) + 0.25 × (GCWR − GVWR)</FP>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">xwd = 500 pounds if the vehicle has four-wheel drive or all-wheel drive; xwd = 0 pounds for all other vehicles.</FP>
                                    </EXTRACT>
                                    <P>(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, rounding to the nearest 0.1 g/mile:</P>
                                    <P>
                                        (i) For spark-ignition vehicles: CO
                                        <E T="52">2</E>
                                         Target (g/mile) = 0.0440 × WF + 339
                                    </P>
                                    <P>
                                        (ii) For compression-ignition vehicles and vehicles that operate without engines (such as electric vehicles and fuel cell vehicles): CO
                                        <E T="52">2</E>
                                         Target (g/mile) = 0.0416 × WF + 320
                                    </P>
                                    <P>
                                        (3) Calculate a production-weighted average of the target values and round it to the nearest 0.1 g/mile. This is your fleet-average standard. All vehicles subject to the standards of this section form a single averaging set. Use the following equation to calculate your fleet-average standard from the target value for each vehicle subconfiguration (Target
                                        <E T="52">i</E>
                                        ) and U.S.-directed production volume of each vehicle subconfiguration for the given model year (Volume
                                        <E T="52">i</E>
                                        ):
                                    </P>
                                    <GPH SPAN="3" DEEP="34">
                                        <PRTPAGE P="57401"/>
                                        <GID>ER15SE11.008</GID>
                                    </GPH>
                                    <P>(4) You may group subconfigurations within a configuration together for purposes of calculating your fleet-average standard as follows:</P>
                                    <P>(i) You may group together subconfigurations that have the same equivalent test weight (ETW), GVWR, and GCWR. Calculate your work factor and target value assuming a curb weight equal to two times ETW minus GVWR.</P>
                                    <P>(ii) You may group together other subconfigurations if you use the lowest target value calculated for any of the subconfigurations.</P>
                                    <P>
                                        (b)
                                        <E T="03"> Production and in-use CO</E>
                                        <E T="54">2</E>
                                          
                                        <E T="03">standards.</E>
                                         Each vehicle you produce that is subject to the standards of this section has an “in-use” CO
                                        <E T="52">2</E>
                                         standard that is calculated from your test result and that applies for selective enforcement audits and in-use testing. This in-use CO
                                        <E T="52">2</E>
                                         standard for each vehicle is equal to the applicable deteriorated emission level multiplied by 1.10 and rounded to the nearest 0.1 g/mile.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">N</E>
                                        <E T="54">2</E>
                                        <E T="03">O and CH</E>
                                        <E T="54">4</E>
                                          
                                        <E T="03">standards.</E>
                                         Except as allowed under this paragraph (c), all vehicles subject to the standards of this section must comply with an N
                                        <E T="52">2</E>
                                        O standard of 0.05 g/mile and a CH
                                        <E T="52">4</E>
                                         standard of 0.05 g/mile. You may specify CH
                                        <E T="52">4</E>
                                         and/or N
                                        <E T="52">2</E>
                                        O alternate standards using CO
                                        <E T="52">2</E>
                                         emission credits instead of these otherwise applicable emission standards for one or more test groups, consistent with the provisions of 40 CFR 86.1818. To do this, calculate the CH
                                        <E T="52">4</E>
                                         and/or N
                                        <E T="52">2</E>
                                        O emission credits needed (negative credits) using the equation in this paragraph (c) based on the FEL(s) you specify for your vehicles during certification. You must adjust the calculated emissions by the global warming potential (GWP): GWP equals 25 for CH
                                        <E T="52">4</E>
                                         and 298 for N
                                        <E T="52">2</E>
                                        O. This means you must use 25 Mg of positive CO
                                        <E T="52">2</E>
                                         credits to offset 1 Mg of negative CH
                                        <E T="52">4</E>
                                         credits and 298 Mg of positive CO
                                        <E T="52">2</E>
                                         credits to offset 1 Mg of negative N
                                        <E T="52">2</E>
                                        O credits. Note that 40 CFR 86.1818-12(f) does not apply for vehicles subject to the standards of this section. Calculate credits using the following equation:
                                    </P>
                                    <FP SOURCE="FP-2">
                                        CO
                                        <E T="52">2</E>
                                         Credits Needed (Mg) = [(FEL—Std) × (U.S.-directed production volume) × (Useful Life)] × (GWP) ÷ 1,000,000
                                    </FP>
                                    <P>
                                        (d) 
                                        <E T="03">Compliance provisions.</E>
                                         Except as specified in this paragraph (d) or elsewhere in this section, the provisions of 40 CFR part 86, describing compliance with the greenhouse gas standards of 40 CFR part 86, subpart S, apply with respect to the standards of paragraphs (a) through (c) of this section.
                                    </P>
                                    <P>
                                        (1) The CO
                                        <E T="52">2</E>
                                         standards of this section apply with respect to CO
                                        <E T="52">2</E>
                                         emissions, not with respect to carbon-related exhaust emissions (CREE).
                                    </P>
                                    <P>(2) Vehicles subject to the standards of this section are included in a single greenhouse gas averaging set separate from any averaging sets otherwise included in 40 CFR part 86.</P>
                                    <P>(3) Special credit and incentive provisions related to flexible fuel vehicles and air conditioning in 40 CFR part 86 do not apply for vehicles subject to the standards of this section.</P>
                                    <P>
                                        (4) The CO
                                        <E T="52">2</E>
                                        , N
                                        <E T="52">2</E>
                                        O, and CH
                                        <E T="52">4</E>
                                         standards apply for a weighted average of the city (55%) and highway (45%) test cycle results as specified for light-duty vehicles in 40 CFR part 86, subpart S. Note that this differs from the way the criteria pollutant standards apply for heavy-duty vehicles.
                                    </P>
                                    <P>
                                        (5) Apply an additive deterioration factor of zero to measured CO
                                        <E T="52">2</E>
                                         emissions unless good engineering judgment indicates that emissions are likely to deteriorate in use. Use good engineering judgment to develop separate deterioration factors for N
                                        <E T="52">2</E>
                                        O and CH
                                        <E T="52">4</E>
                                        .
                                    </P>
                                    <P>(6) Credits are calculated using the useful life value (in miles) in place of the “vehicle lifetime miles” specified in 40 CFR part 86, subpart S.</P>
                                    <P>(7) Credits generated from hybrid vehicles with regenerative braking or from vehicles with other advanced technologies may be used to show compliance with any standards of this part or 40 CFR part 1036, subject to the service class restrictions in § 1037.740. Include these vehicles in a separate fleet-average calculation (and exclude them from your conventional fleet-average calculation). You must first apply these advanced technology vehicle credits to any deficits for other vehicles in the averaging set before applying them to other averaging sets.</P>
                                    <P>(8) The provisions of 40 CFR 86.1818 do not apply.</P>
                                    <P>(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:</P>
                                    <P>
                                        (i) Unless we approve a lower number, you must test at least ten subconfigurations. If you produce more than 100 subconfigurations in a given model year, you must test at least ten percent of your subconfigurations. For purposes of this paragraph (d)(9)(i), count carryover tests, but do not include analytically derived CO
                                        <E T="52">2</E>
                                         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.
                                    </P>
                                    <P>
                                        (ii) The provisions of paragraph (g) of this section specify how you may use analytically derived CO
                                        <E T="52">2</E>
                                         emission rates.
                                    </P>
                                    <P>(iii) At least 90 percent of final production volume at the configuration level must be represented by test data (real, data substituted, or analytical).</P>
                                    <P>(10) For dual fuel, multi-fuel, and flexible fuel vehicles, perform exhaust testing on each fuel type (for example, gasoline and E85).</P>
                                    <P>
                                        (i) For your fleet-average calculations, use either the conventional-fueled CO
                                        <E T="52">2</E>
                                         emission rate or a weighted average of your emission results as specified in 40 CFR 600.510-12(k) for light-duty trucks.
                                    </P>
                                    <P>
                                        (ii) If you certify to an alternate standard for N
                                        <E T="52">2</E>
                                        O or CH
                                        <E T="52">4</E>
                                         emissions, you may not exceed the alternate standard when tested on either fuel.
                                    </P>
                                    <P>(11) Test your vehicles with an equivalent test weight based on its Adjusted Loaded Vehicle Weight (ALVW). Determine equivalent test weight from the ALVW as specified in 40 CFR 86.129, except that you may round values to the nearest 500 pound increment for ALVW above 14,000 pounds).</P>
                                    <P>(12) The following definitions apply for purposes of this section:</P>
                                    <P>(i) 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 we designate. Note that this differs from the definition in 40 CFR 86.1803 because it excludes inertia weight class as a criterion.</P>
                                    <P>
                                        (ii) Subconfiguration means a unique combination within a vehicle configuration (as defined in this paragraph (d)(12)) of equivalent test weight, road-load horsepower, and any other operational characteristics or parameters that we determine may significantly affect CO
                                        <E T="52">2</E>
                                         emissions within a vehicle configuration.
                                        <PRTPAGE P="57402"/>
                                    </P>
                                    <P>(iii) The terms “complete vehicle” and “incomplete vehicle” have the meanings given for “complete heavy-duty vehicle” and “incomplete heavy-duty vehicle” in 40 CFR 86.1803.</P>
                                    <P>
                                        (13) This paragraph (d)(13) applies for CO
                                        <E T="52">2</E>
                                         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 86.1866-12(d). You do not need to provide justification for not using the 5-cycle methodology option.
                                    </P>
                                    <P>(14) You must submit pre-model year reports before you submit your applications for certification for a given model year. Unless we specify otherwise, include the information specified for pre-model year reports in 49 CFR 535.8.</P>
                                    <P>
                                        (e) 
                                        <E T="03">Useful life.</E>
                                         Your vehicles must meet the exhaust emission standards of this section throughout their full useful life, expressed in service miles or calendar years, whichever comes first. The useful life values for the standards of this section are those that apply for criteria pollutants under 40 CFR part 86.
                                    </P>
                                    <P>
                                        (f) 
                                        <E T="03">Exclusion of vehicles not certified as complete vehicles.</E>
                                         The standards of this section apply for each vehicle that is chassis-certified with respect to criteria pollutants under 40 CFR part 86, subpart S. The standards of this section do not apply for other vehicles, except as noted in § 1037.150. Note that vehicles excluded under this paragraph (f) are not considered to be “subject to the standards of this section.” The vehicle standards and requirements of § 1037.105 apply for the excluded vehicles. The GHG standards of 40 CFR part 1036 also apply for engines used in these excluded vehicles. If you are not the engine manufacturer, you must notify the engine manufacturer that its engines are subject to 40 CFR part 1036 because you intend to use their engines in your excluded vehicles.
                                    </P>
                                    <P>
                                        (g) 
                                        <E T="03">Analytically derived CO</E>
                                        <E T="52">2</E>
                                          
                                        <E T="03">emission rates (ADCs).</E>
                                         This paragraph (g) describes an allowance to use estimated (
                                        <E T="03">i.e.,</E>
                                         analytically derived) CO
                                        <E T="52">2</E>
                                         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:
                                    </P>
                                    <GPH SPAN="3" DEEP="10">
                                        <GID>ER15SE11.009</GID>
                                    </GPH>
                                    <P>(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:</P>
                                    <GPH SPAN="3" DEEP="10">
                                        <GID>ER15SE11.010</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            ADC = Analytically derived combined city/highway CO
                                            <E T="52">2</E>
                                             emission rate (g/mile) for a new vehicle.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            CO
                                            <E T="52">2base</E>
                                             = Combined city/highway CO
                                            <E T="52">2</E>
                                             emission rate (g/mile) of a baseline vehicle.
                                        </FP>
                                        <FP SOURCE="FP-2">ΔF0 = F0 of the new vehicle—F0 of the baseline vehicle.</FP>
                                        <FP SOURCE="FP-2">ΔF1 = F1 of the new vehicle—F1 of the baseline vehicle.</FP>
                                        <FP SOURCE="FP-2">ΔF2 = F2 of the new vehicle—F2 of the baseline vehicle.</FP>
                                        <FP SOURCE="FP-2">ΔAR = Axle ratio of the new vehicle—axle ratio of the baseline vehicle.</FP>
                                        <FP SOURCE="FP-2">ΔETW = ETW of the new vehicle—ETW of the baseline vehicle.</FP>
                                    </EXTRACT>
                                    <P>
                                        (2) The purpose of this section is to accurately estimate CO
                                        <E T="52">2</E>
                                         emission rates. 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.
                                    </P>
                                    <P>(3) You may select, without our prior approval, baseline test data that meet all the following criteria:</P>
                                    <P>(i) Vehicles considered for selection for the baseline test must comply with all applicable emission standards in the model year associated with the ADC.</P>
                                    <P>(ii) You must include in the pool of tests which will be 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 standards.</P>
                                    <P>
                                        (iii) Where necessary to minimize the CO
                                        <E T="52">2</E>
                                         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 (
                                        <E T="03">i.e.,</E>
                                         individual test vehicles may not be selected for inclusion). You must also include the supplemental data in all subsequent pools, where applicable.
                                    </P>
                                    <P>
                                        (iv) Tests previously used during the subject model year as baseline tests in ten other ADC subconfigurations must be eliminated from the pool. (v) Select the tested subconfiguration with the smallest absolute difference between the ADC and the test CO
                                        <E T="52">2</E>
                                         emission rate for combined emissions. Use this as the baseline test for the target ADC subconfiguration.
                                    </P>
                                    <P>(4) You may ask us to allow you use baseline test data not fully meeting the provisions of paragraph (g)(3) of this section.</P>
                                    <P>
                                        (5) Calculate the ADC rounded to the nearest 0.1 g/mile. The downward adjustment of ADC from the baseline is limited to ADC values 20 percent below the baseline emission rate (
                                        <E T="03">i.e.,</E>
                                         baseline emission rate × 0.80). The upward adjustment is not limited.
                                    </P>
                                    <P>(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.</P>
                                    <P>
                                        (7) No more than 40 percent of the subconfigurations tested in your final CO
                                        <E T="52">2</E>
                                         submission may be represented by ADCs.
                                    </P>
                                    <P>(8) You must retain for five years the pool of tests, the vehicle description and tests chosen as the baseline and the basis for its selection, the target ADC subconfiguration, and the calculated emission rates. We may ask to see these records at any time.</P>
                                    <P>
                                        (9) We may perform or order a confirmatory test of any subconfiguration covered by an ADC.
                                        <PRTPAGE P="57403"/>
                                    </P>
                                    <P>(10) Where we determine that you did not fully comply with the provisions of this paragraph (g), we may rescind the use of ADC data, require generation of actual test data, and require recalculation of your fleet-average emission rate.</P>
                                    <P>
                                        (h) 
                                        <E T="03">Applicability of part 1037 provisions.</E>
                                         Except as specified in this section, the requirements of this part do not apply to vehicles certified to the standards of this section. The following provisions are the only provisions of this part that apply to vehicles certified under this section:
                                    </P>
                                    <P>(1) The provisions of this section.</P>
                                    <P>(2) [Reserved]</P>
                                    <P>(3) The air conditioning standards in § 1037.115.</P>
                                    <P>(4) The interim provisions of § 1037.150(a), (b), (c), (e)-(i), (l), and (m).</P>
                                    <P>(5) The definitions of § 1037.801, to the extent such terms are used relative to vehicles subject to standards under this section.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.105 </SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for CO
                                        <E T="52">2</E>
                                         for vocational vehicles.
                                    </SUBJECT>
                                    <P>(a) The standards of this section apply for the following vehicles:</P>
                                    <P>(1) Vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR, but not certified to the vehicle standards § 1037.104.</P>
                                    <P>(2) Vehicles above 26,000 pounds GVWR that are not tractors.</P>
                                    <P>(3) Vocational tractors.</P>
                                    <P>(4) Vehicles at or below 14,000 pounds GVWR that are excluded from the standards in § 1037.104 under § 1037.104 (f) or use engines certified under § 1037.150(m).</P>
                                    <P>
                                        (b) The CO
                                        <E T="52">2</E>
                                         standards of this section are given in Table 1 to this section. The provisions of § 1037.241 specify how to comply with these standards.
                                    </P>
                                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,12,12">
                                        <TTITLE>
                                            Table 1 to § 1037.105—CO
                                            <E T="52">2</E>
                                             Standards for Vocational Vehicles
                                        </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">
                                                GVWR 
                                                <LI>(pounds)</LI>
                                            </CHED>
                                            <CHED H="1">
                                                CO
                                                <E T="52">2</E>
                                                 standard (g/ton-mile) for model years 2014-2016
                                            </CHED>
                                            <CHED H="1">
                                                CO
                                                <E T="52">2</E>
                                                 standard (g/ton-mile) for model year 2017 and later
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">GVWR ≤ 19,500</ENT>
                                            <ENT>388</ENT>
                                            <ENT>373</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">19,500 &lt; GVWR ≤ 33,000</ENT>
                                            <ENT>234</ENT>
                                            <ENT>225</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">33,000 &lt; GVWR</ENT>
                                            <ENT>226</ENT>
                                            <ENT>222</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                        (c) No CH
                                        <E T="52">4</E>
                                         or N
                                        <E T="52">2</E>
                                        O standards apply under this section. See 40 CFR part 1036 for CH
                                        <E T="52">4</E>
                                         or N
                                        <E T="52">2</E>
                                        O standards that apply to engines used in these vehicles.
                                    </P>
                                    <P>
                                        (d) You may generate or use emission credits under the ABT program as described in subpart H of this part. This requires that you specify a Family Emission Limit (FEL) for CO
                                        <E T="52">2</E>
                                         for each vehicle subfamily. The FEL may not be less than the result of emission modeling from § 1037.520. These FELs serve as the emission standards for the vehicle subfamily instead of the standards specified in paragraph (b) of this section.
                                    </P>
                                    <P>(e) Your vehicles must meet the exhaust emission standards of this section throughout their full useful life, expressed in service miles or calendar years, whichever comes first. The following useful life values apply for the standards of this section:</P>
                                    <P>(1) 110,000 miles or 10 years, whichever comes first, for vehicles at or below 19,500 pounds GVWR.</P>
                                    <P>(2) 185,000 miles or 10 years, whichever comes first, for vehicles above 19,500 pounds GVWR and at or below 33,000 pounds GVWR.</P>
                                    <P>(3) 435,000 miles or 10 years, whichever comes first, for vehicles above 33,000 pounds GVWR.</P>
                                    <P>(f) See § 1037.631 for provisions that exempt certain vehicles used in off-road operation from the standards of this section.</P>
                                    <P>(g) You may optionally certify a vocational vehicle to the standards and useful life applicable to a higher vehicle service class (such as medium heavy-duty instead of light heavy-duty), provided you do not generate credits with the vehicle. If you include smaller vehicles in a credit-generating subfamily (with an FEL below the standard), exclude its production volume from the credit calculation.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.106 </SECTNO>
                                    <SUBJECT>
                                        Exhaust emission standards for CO
                                        <E T="52">2</E>
                                         for tractors above 26,000 pounds GVWR.
                                    </SUBJECT>
                                    <P>
                                        (a) The CO
                                        <E T="52">2</E>
                                         standards of this section apply for tractors above 26,000 pounds GVWR. Note that the standards of this section do not apply for vehicles classified as “vocational tractors” under § 1037.630,
                                    </P>
                                    <P>
                                        (b) The CO
                                        <E T="52">2</E>
                                         standards for tractors above 26,000 pounds GVWR are given in Table 1 to this section. The provisions of § 1037.241 specify how to comply with these standards.
                                    </P>
                                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s60,r60,12,12">
                                        <TTITLE>
                                            Table 1 to § 1037.106—CO
                                            <E T="52">2</E>
                                             Standards for Tractors Above 26,000 Pounds GVWR
                                        </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">
                                                GVWR 
                                                <LI>(pounds)</LI>
                                            </CHED>
                                            <CHED H="1">Sub-category</CHED>
                                            <CHED H="1">
                                                CO
                                                <E T="52">2</E>
                                                 standard (g/ton-mile) for model years 2014-2016
                                            </CHED>
                                            <CHED H="1">
                                                CO
                                                <E T="52">2</E>
                                                 standard (g/ton-mile) for model year 2017 and later
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">26,000 &lt; GVWR ≤ 33,000</ENT>
                                            <ENT>Low-Roof (all cab styles)</ENT>
                                            <ENT>107</ENT>
                                            <ENT>104</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>Mid-Roof (all cab styles)</ENT>
                                            <ENT>119</ENT>
                                            <ENT>115</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>High-Roof (all cab styles)</ENT>
                                            <ENT>124</ENT>
                                            <ENT>120</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">GVWR &gt; 33,000</ENT>
                                            <ENT>Low-Roof Day Cab</ENT>
                                            <ENT>81</ENT>
                                            <ENT>80</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>Low-Roof Sleeper Cab</ENT>
                                            <ENT>68</ENT>
                                            <ENT>66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>Mid-Roof Day Cab</ENT>
                                            <ENT>88</ENT>
                                            <ENT>86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>Mid-Roof Sleeper Cab</ENT>
                                            <ENT>76</ENT>
                                            <ENT>73</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>High-Roof Day Cab</ENT>
                                            <ENT>92</ENT>
                                            <ENT>89</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>High-Roof Sleeper Cab</ENT>
                                            <ENT>75</ENT>
                                            <ENT>72</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                        (c) No CH
                                        <E T="52">4</E>
                                         or N
                                        <E T="52">2</E>
                                        O standards apply under this section. See 40 CFR part 1036 for CH
                                        <E T="52">4</E>
                                         or N
                                        <E T="52">2</E>
                                        O standards that apply to engines used in these vehicles.
                                    </P>
                                    <P>
                                        (d) You may generate or use emission credits under the ABT program, as 
                                        <PRTPAGE P="57404"/>
                                        described in subpart H of this part. This requires that you specify a Family Emission Limit (FEL) for each pollutant you include in the ABT program for each vehicle subfamily. The FEL may not be less than the result of emission modeling from § 1037.520. These FELs serve as the emission standards for the specific vehicle subfamily instead of the standards specified in paragraph (a) of this section.
                                    </P>
                                    <P>(e) Your vehicles must meet the exhaust emission standards of this section throughout their full useful life, expressed in service miles or calendar years, whichever comes first. The following useful life values apply for the standards of this section:</P>
                                    <P>(1) 185,000 miles or 10 years, whichever comes first, for vehicles at or below 33,000 pounds GVWR.</P>
                                    <P>(2) 435,000 miles or 10 years, whichever comes first, for vehicles above 33,000 pounds GVWR.</P>
                                    <P>(f) You may optionally certify a tractor to the standards and useful life applicable to a higher vehicle service class (such as heavy heavy-duty instead of medium heavy-duty), provided you do not generate credits with the vehicle. If you include smaller vehicles in a credit-generating subfamily (with an FEL below the standard), exclude its production volume from the credit calculation.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.115 </SECTNO>
                                    <SUBJECT>Other requirements.</SUBJECT>
                                    <P>Vehicles required to meet the emission standards of this part must meet the following additional requirements, except as noted elsewhere in this part:</P>
                                    <P>
                                        (a) 
                                        <E T="03">Adjustable parameters.</E>
                                         Vehicles that have adjustable parameters must meet all the requirements of this part for any adjustment in the physically adjustable range. We may require that you set adjustable parameters to any specification within the adjustable range during any testing. See 40 CFR part 86 for information related to determining whether or not an operating parameter is considered adjustable. You must ensure safe vehicle operation throughout the physically adjustable range of each adjustable parameter, including consideration of production tolerances. Note that adjustable roof fairings are deemed not to be adjustable parameters.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Prohibited controls.</E>
                                         You may not design your vehicles with emission control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating. For example, this would apply if the vehicle emits a noxious or toxic substance it would otherwise not emit that contributes to such an unreasonable risk.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Air conditioning leakage.</E>
                                         Loss of refrigerant from your air conditioning systems may not exceed 1.50 percent per year, except as allowed by paragraphs (c)(2) and (3) of this section. Calculate the total leakage rate in g/year as specified in 40 CFR 86.166. Calculate the percent leakage rate as: [total leakage rate (g/yr)] ÷ [total refrigerant capacity (g)] × 100. Round your leakage rate to the nearest one-hundredth of a percent. See § 1037.150 for vocational vehicles.
                                    </P>
                                    <P>(1) For purpose of this requirement, “refrigerant capacity” is the total mass of refrigerant recommended by the vehicle manufacturer as representing a full charge. Where full charge is specified as a pressure, use good engineering judgment to convert the pressure and system volume to a mass.</P>
                                    <P>
                                        (2) If your system uses a refrigerant other than HFC-134a, adjust your leakage rate by multiplying it by the global warming potential of your refrigerant and dividing the product by 1430 (which is the global warming potential of HFC-134a). Apply this adjustment before comparing your leakage rate to the standard. Determine global warming potentials consistent with 40 CFR 86.1866. Note that global warming potentials represent the equivalent grams of CO
                                        <E T="52">2</E>
                                         that would have the same global warming impact (over 100 years) as one gram of the refrigerant.
                                    </P>
                                    <P>(3) If your total refrigerant capacity is less than 734 grams, your leakage rate may exceed 1.50 percent, as long as the total leakage rate does not exceed 11.0 g/yr. If your system uses a refrigerant other than HFC-134a, you may adjust your leakage rate as specified in paragraph (c)(2) of this section.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.120 </SECTNO>
                                    <SUBJECT>Emission-related warranty requirements.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">General requirements.</E>
                                         You must warrant to the ultimate purchaser and each subsequent purchaser that the new vehicle, including all parts of its emission control system, meets two conditions:
                                    </P>
                                    <P>(1) It is designed, built, and equipped so it conforms at the time of sale to the ultimate purchaser with the requirements of this part.</P>
                                    <P>(2) It is free from defects in materials and workmanship that cause the vehicle to fail to conform to the requirements of this part during the applicable warranty period.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Warranty period.</E>
                                         (1) Your emission-related warranty must be valid for at least:
                                    </P>
                                    <P>(i) 5 years or 50,000 miles for spark-ignition vehicles and light heavy-duty vehicles.</P>
                                    <P>(ii) 5 years or 100,000 miles for medium and heavy heavy-duty vehicles.</P>
                                    <P>(iii) 2 years or 24,000 miles for tires.</P>
                                    <P>(2) You may offer an emission-related warranty more generous than we require. The emission-related warranty for the vehicle may not be shorter than any basic mechanical warranty you provide to that owner without charge for the vehicle. Similarly, the emission-related warranty for any component may not be shorter than any warranty you provide to that owner without charge for that component. This means that your warranty for a given vehicle may not treat emission-related and non-emission-related defects differently for any component. The warranty period begins when the vehicle is placed into service.</P>
                                    <P>
                                        (c) 
                                        <E T="03">Components covered.</E>
                                         The emission-related warranty covers vehicle speed limiters, idle shutdown systems, fairings, and hybrid system components, to the extent such emission-related components are included in the certified emission controls. The emission-related warranty covers all components whose failure would increase a vehicle's emissions of air conditioning refrigerants for vehicles subject to air conditioning leakage standards. The emission-related warranty covers tires and all components whose failure would increase a vehicle's evaporative emissions (for vehicles subject to evaporative emission standards). The emission-related warranty covers these components even if another company produces the component. Your emission-related warranty does not need to cover components whose failure would not increase a vehicle's emissions of any regulated pollutant.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Limited applicability.</E>
                                         You may deny warranty claims under this section if the operator caused the problem through improper maintenance or use, as described in 40 CFR 1068.115.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Owner's manual.</E>
                                         Describe in the owners manual the emission-related warranty provisions from this section that apply to the vehicle.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.125 </SECTNO>
                                    <SUBJECT>Maintenance instructions and allowable maintenance.</SUBJECT>
                                    <P>
                                        Give the ultimate purchaser of each new vehicle written instructions for properly maintaining and using the vehicle, including the emission control system. The maintenance instructions also apply to service accumulation on any of your emission-data vehicles. See paragraph (i) of this section for 
                                        <PRTPAGE P="57405"/>
                                        requirements related to tire replacement.
                                    </P>
                                    <P>
                                        (a) 
                                        <E T="03">Critical emission-related maintenance.</E>
                                         Critical emission-related maintenance includes any adjustment, cleaning, repair, or replacement of critical emission-related components. This may also include additional emission-related maintenance that you determine is critical if we approve it in advance. You may schedule critical emission-related maintenance on these components if you demonstrate that the maintenance is reasonably likely to be done at the recommended intervals on in-use vehicles. We will accept scheduled maintenance as reasonably likely to occur if you satisfy any of the following conditions:
                                    </P>
                                    <P>(1) You present data showing that, if a lack of maintenance increases emissions, it also unacceptably degrades the vehicle's performance.</P>
                                    <P>(2) You present survey data showing that at least 80 percent of vehicles in the field get the maintenance you specify at the recommended intervals.</P>
                                    <P>(3) You provide the maintenance free of charge and clearly say so in your maintenance instructions.</P>
                                    <P>(4) You otherwise show us that the maintenance is reasonably likely to be done at the recommended intervals.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Recommended additional maintenance.</E>
                                         You may recommend any additional amount of maintenance on the components listed in paragraph (a) of this section, as long as you state clearly that these maintenance steps are not necessary to keep the emission-related warranty valid. If operators do the maintenance specified in paragraph (a) of this section, but not the recommended additional maintenance, this does not allow you to disqualify those vehicles from in-use testing or deny a warranty claim. Do not take these maintenance steps during service accumulation on your emission-data vehicles.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Special maintenance.</E>
                                         You may specify more frequent maintenance to address problems related to special situations, such as atypical vehicle operation. You must clearly state that this additional maintenance is associated with the special situation you are addressing. We may disapprove your maintenance instructions if we determine that you have specified special maintenance steps to address vehicle operation that is not atypical, or that the maintenance is unlikely to occur in use. If we determine that certain maintenance items do not qualify as special maintenance under this paragraph (c), you may identify this as recommended additional maintenance under paragraph (b) of this section.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Noncritical emission-related maintenance.</E>
                                         Subject to the provisions of this paragraph (d), you may schedule any amount of emission-related inspection or maintenance that is not covered by paragraph (a) of this section (that is, maintenance that is neither explicitly identified as critical emission-related maintenance, nor that we approve as critical emission-related maintenance). Noncritical emission-related maintenance generally includes maintenance on the components we specify in 40 CFR part 1068, Appendix I, that is not covered in paragraph (a) of this section. You must state in the owners manual that these steps are not necessary to keep the emission-related warranty valid. If operators fail to do this maintenance, this does not allow you to disqualify those vehicles from in-use testing or deny a warranty claim. Do not take these inspection or maintenance steps during service accumulation on your emission-data vehicles.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Maintenance that is not emission-related.</E>
                                         For maintenance unrelated to emission controls, you may schedule any amount of inspection or maintenance. You may also take these inspection or maintenance steps during service accumulation on your emission-data vehicles, as long as they are reasonable and technologically necessary. You may perform this non-emission-related maintenance on emission-data vehicles at the least frequent intervals that you recommend to the ultimate purchaser (but not the intervals recommended for severe service).
                                    </P>
                                    <P>
                                        (f) 
                                        <E T="03">Source of parts and repairs.</E>
                                         State clearly on the first page of your written maintenance instructions that a repair shop or person of the owner's choosing may maintain, replace, or repair emission control devices and systems. Your instructions may not require components or service identified by brand, trade, or corporate name. Also, do not directly or indirectly condition your warranty on a requirement that the vehicle be serviced by your franchised dealers or any other service establishments with which you have a commercial relationship. You may disregard the requirements in this paragraph (f) if you do one of two things:
                                    </P>
                                    <P>(1) Provide a component or service without charge under the purchase agreement.</P>
                                    <P>(2) Get us to waive this prohibition in the public's interest by convincing us the vehicle will work properly only with the identified component or service.</P>
                                    <P>(g) [Reserved]</P>
                                    <P>
                                        (h) 
                                        <E T="03">Owner's manual.</E>
                                         Explain the owner's responsibility for proper maintenance in the owner's manual.
                                    </P>
                                    <P>
                                        (i) 
                                        <E T="03">Tire maintenance and replacement.</E>
                                         Include instructions that will enable the owner to replace tires so that the vehicle conforms to the original certified vehicle configuration.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.135 </SECTNO>
                                    <SUBJECT>Labeling.</SUBJECT>
                                    <P>(a) Assign each vehicle a unique identification number and permanently affix, engrave, or stamp it on the vehicle in a legible way. The vehicle identification number (VIN) serves this purpose.</P>
                                    <P>(b) At the time of manufacture, affix a permanent and legible label identifying each vehicle. The label must be—</P>
                                    <P>(1) Attached in one piece so it is not removable without being destroyed or defaced.</P>
                                    <P>(2) Secured to a part of the vehicle needed for normal operation and not normally requiring replacement.</P>
                                    <P>(3) Durable and readable for the vehicle's entire life.</P>
                                    <P>(4) Written in English.</P>
                                    <P>(c) The label must—</P>
                                    <P>(1) Include the heading “VEHICLE EMISSION CONTROL INFORMATION”.</P>
                                    <P>(2) Include your full corporate name and trademark. You may identify another company and use its trademark instead of yours if you comply with the branding provisions of 40 CFR 1068.45.</P>
                                    <P>(3) Include EPA's standardized designation for the vehicle family.</P>
                                    <P>(4) State the regulatory sub-category that determines the applicable emission standards for the vehicle family (see definition in § 1037.801).</P>
                                    <P>(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 engine, in which case you must also describe in your application for certification where you will identify the date on the engine.</P>
                                    <P>(6) Identify the emission control system. Use terms and abbreviations as described in Appendix III to this part or other applicable conventions.</P>
                                    <P>(7) Identify any requirements for fuel and lubricants that do not involve fuel-sulfur levels.</P>
                                    <P>(8) State: “THIS VEHICLE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] HEAVY-DUTY VEHICLES.”</P>
                                    <P>
                                        (9) Include the following statement, if applicable: “THIS VEHICLE IS 
                                        <PRTPAGE P="57406"/>
                                        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.
                                    </P>
                                    <P>(d) You may add information to the emission control information label to identify other emission standards that the vehicle meets or does not meet (such as European standards). You may also add other information to ensure that the vehicle will be properly maintained and used.</P>
                                    <P>(e) You may ask us to approve modified labeling requirements in this part 1037 if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.140 </SECTNO>
                                    <SUBJECT>Curb weight and roof height.</SUBJECT>
                                    <P>(a) Where applicable, a vehicle's curb weight and roof height are determined from nominal design specifications, as provided in this section. Round the weight to the nearest pound and height to the nearest inch. Base roof height on fully inflated tires having a static loaded radius equal to the arithmetic mean of the largest and smallest static loaded radius of tires you offer or a standard tire we approve.</P>
                                    <P>(b) The nominal design specifications must be within the range of the actual weights and roof heights of production vehicles considering normal production variability. If after production begins it is determined that your nominal design specifications do not represent production vehicles, we may require you to amend your application for certification under § 1037.225.</P>
                                    <P>(c) If your vehicle is equipped with an adjustable roof fairing, measure the roof height with the fairing in its lowest setting.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.150 </SECTNO>
                                    <SUBJECT>Interim provisions.</SUBJECT>
                                    <P>The provisions in this section apply instead of other provisions in this part.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Incentives for early introduction.</E>
                                         The provisions of this paragraph (a) apply with respect to vehicles produced in model years before 2014. Manufacturers may voluntarily certify in model year 2013 (or earlier model years for electric vehicles) to the greenhouse gas standards of this part.
                                    </P>
                                    <P>(1) This paragraph (a)(1) applies for regulatory sub-categories subject to the standards of § 1037.105 or § 1037.106. Except as specified in paragraph (a)(3) of this section, to generate early credits under this paragraph for any vehicles other than electric vehicles, you must certify your entire U.S.-directed production volume within the regulatory sub-category to these standards. Except as specified in paragraph (a)(4) of this section, if some vehicle families within a regulatory sub-category are certified after the start of the model year, you may generate credits only for production that occurs after all families are certified. For example, if you produce three vehicle families in an averaging set and you receive your certificates for those families on January 4, 2013, March 15, 2013, and April 24, 2013, you may not generate credits for model year 2013 production in any of the families that occurs before April 24, 2013. Calculate credits relative to the standard that would apply in model year 2014 using the equations in subpart H of this part. You may bank credits equal to the surplus credits you generate under this paragraph (a) multiplied by 1.50. For example, if you have 1.0 Mg of surplus credits for model year 2013, you may bank 1.5 Mg of credits. Credit deficits for an averaging set prior to model year 2014 do not carry over to model year 2014. These credits may be used to show compliance with the standards of this part for 2014 and later model years. We recommend that you notify EPA of your intent to use this provision before submitting your applications.</P>
                                    <P>(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 production volume within the regulatory sub-category 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 regulatory sub-category. 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 production in any of the test groups that occurs 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 EPA of your intent to use this provision before submitting your applications.</P>
                                    <P>(3) You may generate emission credits for the number of additional SmartWay designated tractors (relative to your 2012 production), provided you do not generate credits for those vehicles under paragraph (a)(1) of this section. Calculate credits for each regulatory sub-category relative to the standard that would apply in model year 2014 using the equations in subpart H of this part. Use a production volume equal to the number of designated model year 2013 SmartWay tractors minus the number of designated model year 2012 SmartWay tractors. You may bank credits equal to the surplus credits you generate under this paragraph (a)(3) multiplied by 1.50. Your 2012 and 2013 model years must be equivalent in length.</P>
                                    <P>(4) This paragraph (a)(4) applies where you do not receive your final certificate in a regulatory sub-category within 30 days of submitting your final application for that sub-category. Calculate your credits for all production that occurs 30 days or more after you submit your final application for the sub-category.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Phase-in provisions.</E>
                                         Each manufacturer must choose one of the following options for phasing in the standards of § 1037.104:
                                    </P>
                                    <P>
                                        (1) To implement the phase-in under this paragraph (b)(1), the standards in § 1037.104 apply as specified for model year 2018, with compliance for vehicles in model years 2014 through 2017 based on the CO
                                        <E T="52">2</E>
                                         target values specified in the following table:
                                    </P>
                                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,xl84">
                                        <TTITLE>Table 1 to § 1037.150</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Model year and engine cycle</CHED>
                                            <CHED H="1">
                                                Alternate CO
                                                <E T="52">2</E>
                                                 target (g/mile)
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">2014 Spark-Ignition</ENT>
                                            <ENT>[0.0482 × (WF)] + 371</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2015 Spark-Ignition</ENT>
                                            <ENT>[0.0479 × (WF)] + 369</ENT>
                                        </ROW>
                                        <ROW>
                                            <PRTPAGE P="57407"/>
                                            <ENT I="01">2016 Spark-Ignition</ENT>
                                            <ENT>[0.0469 × (WF)] + 362</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2017 Spark-Ignition</ENT>
                                            <ENT>[0.0460 × (WF)] + 354</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2014 Compression-Ignition</ENT>
                                            <ENT>[0.0478 × (WF)] + 368</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2015 Compression-Ignition</ENT>
                                            <ENT>[0.0474 × (WF)] + 366</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2016 Compression-Ignition</ENT>
                                            <ENT>[0.0460 × (WF)] + 354</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2017 Compression-Ignition</ENT>
                                            <ENT>[0.0445 × (WF)] + 343</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                        (2) To implement the phase-in under this paragraph (b)(2), the standards in § 1037.104 apply as specified for model year 2019, with compliance for vehicles in model years 2014 through 2018 based on the CO
                                        <E T="52">2</E>
                                         target values specified in the following table:
                                    </P>
                                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,xl84">
                                        <TTITLE>Table 2 to § 1037.150</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Model year and engine cycle</CHED>
                                            <CHED H="1">
                                                Alternate CO
                                                <E T="52">2</E>
                                                 target (g/mile)
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">2014 Spark-Ignition</ENT>
                                            <ENT>[0.0482 × (WF)] + 371</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2015 Spark-Ignition</ENT>
                                            <ENT>[0.0479 × (WF)] + 369</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2016-2018 Spark-Ignition</ENT>
                                            <ENT>[0.0456 × (WF)] + 352</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2014 Compression-Ignition</ENT>
                                            <ENT>[0.0478 × (WF)] + 368</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2015 Compression-Ignition</ENT>
                                            <ENT>[0.0474 × (WF)] + 366</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2016-2018 Compression-Ignition</ENT>
                                            <ENT>[0.0440 × (WF)] + 339</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                        (c) 
                                        <E T="03">Provisions for small manufacturers.</E>
                                         Manufacturers meeting the small business criteria specified in 13 CFR 121.201 for “Heavy Duty Truck Manufacturing” are not subject to the greenhouse gas standards of §§ 1037.104 through 1037.106, as specified in this paragraph (c). Qualifying manufacturers must notify the Designated Compliance Officer each model year before introducing these excluded vehicles into U.S. commerce. This notification must include a description of the manufacturer's qualification as a small business under 13 CFR 121.201. You must label your excluded vehicles with the following statement: “THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(c).”.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Air conditioning leakage for vocational vehicles.</E>
                                         The air conditioning leakage standard of § 1037.115 does not apply for vocational vehicles.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Model year 2014 N</E>
                                        <E T="52">2</E>
                                        <E T="03">O standards.</E>
                                         In model year 2014 and earlier, manufacturers may show compliance with the N
                                        <E T="52">2</E>
                                        O standards using an engineering analysis. This allowance also applies for later test groups families carried over from model 2014 consistent with the provisions of 40 CFR 86.1839. You may not certify to an N
                                        <E T="52">2</E>
                                        O FEL different than the standard without measuring N
                                        <E T="52">2</E>
                                        O emissions.
                                    </P>
                                    <P>
                                        (f) 
                                        <E T="03">Electric vehicles.</E>
                                         All electric vehicles are deemed to have zero emissions of CO
                                        <E T="52">2,</E>
                                         CH
                                        <E T="52">4</E>
                                        , and N
                                        <E T="52">2</E>
                                        O. No emission testing is required for electric vehicles.
                                    </P>
                                    <P>
                                        (g) 
                                        <E T="03">Compliance date.</E>
                                         Compliance with the standards of this part is optional prior to January 1, 2014. This means that if your 2014 model year begins before January 1, 2014, you may certify for a partial model year that begins on January 1, 2014 and ends on the day your model year would normally end. You must label model year 2014 vehicles excluded under this paragraph (g) with the following statement: “THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(g).”
                                    </P>
                                    <P>
                                        (h) 
                                        <E T="03">Off-road vehicle exemption.</E>
                                         In unusual circumstances, vehicle manufacturers may ask us to exempt vehicles under § 1037.631 based on other criteria that are equivalent to those specified in § 1037.631(a). For example, we would normally not grant relief in cases where the vehicle manufacturer had credits or other compliant tires were available.
                                    </P>
                                    <P>
                                        (i) 
                                        <E T="03">Credit multiplier for advanced technology.</E>
                                         If you generate credits from vehicles certified with advanced technology, you may multiply these credits by 1.50, except that you may not apply this multiplier in addition to the early-credit multiplier of paragraph (a) of this section.
                                    </P>
                                    <P>
                                        (j) 
                                        <E T="03">Limited prohibition related to early model year engines.</E>
                                         The prohibition in § 1037.601 against introducing into U.S. commerce a vehicle containing an engine not certified to the standards of this part does not apply for vehicles using model year 2014 or 2015 spark-ignition engines, or any model year 2013 or earlier engines.
                                    </P>
                                    <P>
                                        (k) 
                                        <E T="03">Verifying drag areas from in-use vehicles.</E>
                                         We may measure the drag area of your vehicles after they have been placed into service. Your vehicle conforms to the regulations of this part with respect to aerodynamic performance if we measure its drag area to be at or below the maximum drag area allowed for the bin to which that configuration was certified. To account for measurement variability, your vehicle is also deemed to conform to the regulations of this part with respect to aerodynamic performance if we measure its drag area to at or below the maximum drag area allowed for the bin above the bin to which you certified (for example, Bin II if you certified the vehicle to Bin III), unless we determine that you knowingly produced the vehicle to have a higher drag area than is allowed for the bin to which it was certified.
                                    </P>
                                    <P>
                                        (l) 
                                        <E T="03">Optional certification under § 1037.104.</E>
                                         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 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 does not allow you to chassis-certify these vehicles with respect to criteria emissions.
                                    </P>
                                    <P>(1) You may certify complete or cab-complete spark-ignition vehicles to the standards of § 1037.104.</P>
                                    <P>
                                        (2) You may apply the provisions of § 1037.104 to cab-complete vehicles based on a complete sister vehicle. In unusual circumstances, you may ask us to apply these provisions to Class 2b or 
                                        <PRTPAGE P="57408"/>
                                        3 incomplete vehicles that do not meet the definition of cab-complete. Except as specified in paragraph (l)(3) of this section, for purposes of § 1037.104, a complete sister vehicle is a complete vehicle of the same vehicle configuration (as defined in § 1037.104) as the cab-complete vehicle. Calculate the target value under § 1037.104(a) based on the same work factor value that applies for the complete sister vehicle. Test these cab-complete vehicles using the same equivalent test weight and other dynamometer settings that apply for the complete vehicle from which you used the work factor value. For certification, you may submit the test data from that complete sister vehicle instead of performing the test on the cab-complete vehicle. You are not required to produce the complete sister vehicle for sale to use the provisions of this paragraph (l)(2). This means the complete sister vehicle may be a carryover vehicle from a prior model year or a vehicle created solely for the purpose of testing.
                                    </P>
                                    <P>(3) You may use as complete sister vehicle a complete vehicle that is not of the same vehicle configuration as the cab-complete vehicle as specified in this paragraph (l)(3). This allowance applies where the complete vehicle is not of the same vehicle configuration as the cab-complete vehicle only because of factors unrelated to coastdown performance. If your complete sister vehicle is covered by this paragraph (l)(3), you may not submit the test data from that complete sister vehicle and must perform the test on the cab-complete vehicle.</P>
                                    <P>
                                        (m) 
                                        <E T="03">Loose engine sales.</E>
                                         This paragraph (m) applies for spark-ignition engines identical to engines used in vehicles certified to the standards of § 1037.104, where you sell such engines as loose engines or as engines installed in incomplete vehicles that are not cab-complete vehicles. For purposes of this paragraph (m), engines would not be considered to be identical if they used different engine hardware. You may include such engines in a test group certified to the standards of § 1037.104, subject to the following provisions:
                                    </P>
                                    <P>(1) Engines certified under this paragraph (m) are deemed to be certified to the standards of 40 CFR 1036.108 as specified in 40 CFR 1036.108(a)(4).</P>
                                    <P>(2) The U.S.-directed production volume of engines you sell as loose engines or installed in incomplete heavy-duty vehicles that are not cab-complete vehicles in any given model year may not exceed ten percent of the total U.S.-directed production volume of engines of that design that you produce for heavy-duty applications for that model year, including engines you produce for complete vehicles, cab-complete vehicles, and other incomplete vehicles. The total number of engines you may certify under this paragraph (m), of all engine designs, may not exceed 15,000 in any model year. Engines produced in excess of either of these limits are not covered by your certificate. For example, if you produce 80,000 complete model year 2017 Class 2b pickup trucks with a certain engine and 10,000 incomplete model year 2017 Class 3 vehicles with that same engine, and you do not apply the provisions of this paragraph (m) to any other engine designs, you may produce up to 10,000 engines of that design for sale as loose engines under this paragraph (m). If you produced 11,000 engines of that design for sale as loose engines, the last 1,000 of them that you produced in that model year 2017 would be considered uncertified.</P>
                                    <P>(3) This paragraph (m) does not apply for engines certified to the standards of 40 CFR 1036.108(a)(1).</P>
                                    <P>(4) Label the engines as specified in 40 CFR 1036.135 including the following compliance statement: “THIS ENGINE WAS CERTIFIED TO THE ALTERNATE GREENHOUSE GAS EMISSION STANDARDS OF 40 CFR 1036.108(a)(4).” List the test group name instead of an engine family name.</P>
                                    <P>(5) Vehicles using engines certified under this paragraph (m) are subject to the emission standards of § 1037.105.</P>
                                    <P>
                                        (6) For certification purposes, your engines are deemed to have a CO
                                        <E T="52">2</E>
                                         target value and test result equal to the CO
                                        <E T="52">2</E>
                                         target value and test result for the complete vehicle in the applicable test group with the highest equivalent test weight, except as specified in paragraph (m)(6)(ii) of this section. Use these values to calculate your target value, fleet-average emission rate, and in-use emission standard. Where there are multiple complete vehicles with the same highest equivalent test weight, select the CO
                                        <E T="52">2</E>
                                         target value and test result as specified in paragraphs (m)(6)(i) and (ii) of this section:
                                    </P>
                                    <P>
                                        (i) If one or more of the CO
                                        <E T="52">2</E>
                                         test results exceed the applicable target value, use the CO
                                        <E T="52">2</E>
                                         target value and test result of the vehicle that exceeds its target value by the greatest amount.
                                    </P>
                                    <P>
                                        (ii) If none of the CO
                                        <E T="52">2</E>
                                         test results exceed the applicable target value, select the highest target value and set the test result equal to it. This means that you may not generate emission credits from vehicles certified under this paragraph (m).
                                    </P>
                                    <P>(7) State in your applications for certification that your test group and engine family will include engines certified under this paragraph (m). This applies for your greenhouse gas vehicle test group and your criteria pollutant engine family. List in each application the name of the corresponding test group/engine family.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart C—Certifying Vehicle families</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.201 </SECTNO>
                                    <SUBJECT>General requirements for obtaining a certificate of conformity.</SUBJECT>
                                    <P>(a) You must send us a separate application for a certificate of conformity for each vehicle family. A certificate of conformity is valid from the indicated effective date until the end of the model year for which it is issued, which may not extend beyond December 31 of that year. You must renew your certification annually for any vehicles you continue to produce.</P>
                                    <P>(b) The application must contain all the information required by this part and must not include false or incomplete statements or information (see § 1037.255).</P>
                                    <P>(c) We may ask you to include less information than we specify in this subpart, as long as you maintain all the information required by § 1037.250.</P>
                                    <P>(d) You must use good engineering judgment for all decisions related to your application (see 40 CFR 1068.5).</P>
                                    <P>(e) An authorized representative of your company must approve and sign the application.</P>
                                    <P>(f) See § 1037.255 for provisions describing how we will process your application.</P>
                                    <P>(g) We may perform confirmatory testing on your vehicles; for example, we may test vehicles to verify drag areas or other GEM inputs. We may require you to deliver your test vehicles to a facility we designate for our 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.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.205 </SECTNO>
                                    <SUBJECT>What must I include in my application?</SUBJECT>
                                    <P>This section specifies the information that must be in your application, unless we ask you to include less information under § 1037.201(c). We may require you to provide additional information to evaluate your application. Note that references to testing and emission-data vehicles refer to testing vehicles to measure aerodynamic drag, assess hybrid vehicle performance, and/or measure evaporative emissions.</P>
                                    <P>
                                        (a) Describe the vehicle family's specifications and other basic parameters of the vehicle's design and emission controls. List the fuel type on 
                                        <PRTPAGE P="57409"/>
                                        which your vehicles are designed to operate (for example, ultra low-sulfur diesel fuel).
                                    </P>
                                    <P>(b) Explain how the emission control system operates. As applicable, describe in detail all system components for controlling greenhouse gas and evaporative emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production vehicle. Identify the part number of each component you describe. For this paragraph (b), treat as separate AECDs any devices that modulate or activate differently from each other.</P>
                                    <P>(c) For vehicles subject to air conditioning standards, include:</P>
                                    <P>(1) The refrigerant leakage rates (leak scores).</P>
                                    <P>(2) The refrigerant capacity of the air conditioning systems.</P>
                                    <P>(3) The corporate name of the final installer of the air conditioning system.</P>
                                    <P>(d) Describe any vehicles you selected for testing and the reasons for selecting them.</P>
                                    <P>(e) Describe any test equipment and procedures that you used, including any special or alternate test procedures you used (see § 1037.501).</P>
                                    <P>(f) Describe how you operated any emission-data vehicle before testing, including the duty cycle and the number of vehicle operating miles used to stabilize emission levels. Explain why you selected the method of service accumulation. Describe any scheduled maintenance you did.</P>
                                    <P>(g) List the specifications of any test fuel to show that it falls within the required ranges we specify in 40 CFR part 1065.</P>
                                    <P>(h) Identify the vehicle family's useful life.</P>
                                    <P>(i) Include the maintenance instructions and warranty statement you will give to the ultimate purchaser of each new vehicle (see §§ 1037.120 and 1037.125).</P>
                                    <P>(j) Describe your emission control information label (see § 1037.135).</P>
                                    <P>
                                        (k) Identify the emission standards or FELs to which you are certifying vehicles in the vehicle family. For families containing multiple subfamilies, this means that you must identify multiple CO
                                        <E T="52">2</E>
                                         FELs. For example, you may identify the highest and lowest FELs to which any of your subfamilies will be certified and also list all possible FELs in between (which will be in 1 g/ton-mile increments).
                                    </P>
                                    <P>(l) Where applicable, identify the vehicle family's deterioration factors and describe how you developed them. Present any emission test data you used for this (see § 1037.241(c)).</P>
                                    <P>(m) Where applicable, state that you operated your emission-data vehicles as described in the application (including the test procedures, test parameters, and test fuels) to show you meet the requirements of this part.</P>
                                    <P>(n) Present evaporative test data to show your vehicles meet the evaporative emission standards we specify in subpart B of this part, if applicable. Report all valid test results from emission-data vehicles and indicate whether there are test results from invalid tests or from any other tests of the emission-data vehicle, whether or not they were conducted according to the test procedures of subpart F of this part. We may require you to report these additional test results. We may ask you to send other information to confirm that your tests were valid under the requirements of this part and 40 CFR part 86.</P>
                                    <P>(o) Report modeling results for ten configurations. Include modeling inputs and detailed descriptions of how they were derived. Unless we specify otherwise, include the configuration with the highest modeling result, the lowest modeling result, and the configurations with the highest projected sales.</P>
                                    <P>(p) Describe all adjustable operating parameters (see § 1037.115), including production tolerances. You do not need to include parameters that do not affect emissions covered by your application. Include the following in your description of each parameter:</P>
                                    <P>(1) The nominal or recommended setting.</P>
                                    <P>(2) The intended physically adjustable range.</P>
                                    <P>(3) The limits or stops used to establish adjustable ranges.</P>
                                    <P>(4) Information showing why the limits, stops, or other means of inhibiting adjustment are effective in preventing adjustment of parameters on in-use vehicles to settings outside your intended physically adjustable ranges.</P>
                                    <P>(q) [Reserved]</P>
                                    <P>(r) Unconditionally certify that all the vehicles in the vehicle family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act.</P>
                                    <P>(s) Include good-faith estimates of U.S.-directed production volumes by subfamily. We may require you to describe the basis of your estimates.</P>
                                    <P>(t) Include the information required by other subparts of this part. For example, include the information required by § 1037.725 if you participate in the ABT program.</P>
                                    <P>(u) Include other applicable information, such as information specified in this part or 40 CFR part 1068 related to requests for exemptions.</P>
                                    <P>(v) Name an agent for service located in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.210 </SECTNO>
                                    <SUBJECT>Preliminary approval before certification.</SUBJECT>
                                    <P>If you send us information before you finish the application, we may review it and make any appropriate determinations. Decisions made under this section are considered to be preliminary approval, subject to final review and approval. We will generally not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision. If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than two years ahead of time.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.220 </SECTNO>
                                    <SUBJECT>Amending maintenance instructions.</SUBJECT>
                                    <P>You may amend your emission-related maintenance instructions after you submit your application for certification as long as the amended instructions remain consistent with the provisions of § 1037.125. You must send the Designated Compliance Officer a written request to amend your application for certification for a vehicle family if you want to change the emission-related maintenance instructions in a way that could affect emissions. In your request, describe the proposed changes to the maintenance instructions. If operators follow the original maintenance instructions rather than the newly specified maintenance, this does not allow you to disqualify those vehicles from in-use testing or deny a warranty claim.</P>
                                    <P>(a) If you are decreasing or eliminating any specified maintenance, you may distribute the new maintenance instructions to your customers 30 days after we receive your request, unless we disapprove your request. This would generally include replacing one maintenance step with another. We may approve a shorter time or waive this requirement.</P>
                                    <P>
                                        (b) If your requested change would not decrease the specified maintenance, you may distribute the new maintenance instructions anytime after you send your request. For example, 
                                        <PRTPAGE P="57410"/>
                                        this paragraph (b) would cover adding instructions to increase the frequency of filter changes for vehicles in severe-duty applications.
                                    </P>
                                    <P>(c) You need not request approval if you are making only minor corrections (such as correcting typographical mistakes), clarifying your maintenance instructions, or changing instructions for maintenance unrelated to emission control. We may ask you to send us copies of maintenance instructions revised under this paragraph (c).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.225 </SECTNO>
                                    <SUBJECT>Amending applications for certification.</SUBJECT>
                                    <P>Before we issue you a certificate of conformity, you may amend your application to include new or modified vehicle configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application requesting that we include new or modified vehicle configurations within the scope of the certificate, subject to the provisions of this section. You must amend your application if any changes occur with respect to any information that is included or should be included in your application.</P>
                                    <P>(a) You must amend your application before you take any of the following actions:</P>
                                    <P>(1) Add a vehicle configuration to a vehicle family. In this case, the vehicle configuration added must be consistent with other vehicle configurations in the vehicle family with respect to the criteria listed in § 1037.230.</P>
                                    <P>(2) Change a vehicle configuration already included in a vehicle family in a way that may affect emissions, or change any of the components you described in your application for certification. This includes production and design changes that may affect emissions any time during the vehicle's lifetime.</P>
                                    <P>(3) Modify an FEL for a vehicle family as described in paragraph (f) of this section.</P>
                                    <P>(b) To amend your application for certification, send the relevant information to the Designated Compliance Officer.</P>
                                    <P>(1) Describe in detail the addition or change in the vehicle model or configuration you intend to make.</P>
                                    <P>(2) Include engineering evaluations or data showing that the amended vehicle family complies with all applicable requirements. You may do this by showing that the original emission-data vehicle is still appropriate for showing that the amended family complies with all applicable requirements.</P>
                                    <P>(3) If the original emission-data vehicle or emission modeling for the vehicle family is not appropriate to show compliance for the new or modified vehicle configuration, include new test data or emission modeling showing that the new or modified vehicle configuration meets the requirements of this part.</P>
                                    <P>(c) We may ask for more test data or engineering evaluations. You must give us these within 30 days after we request them.</P>
                                    <P>(d) For vehicle families already covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your newly added or modified vehicle. You may ask for a hearing if we deny your request (see § 1037.820).</P>
                                    <P>(e) For vehicle families already covered by a certificate of conformity, you may start producing the new or modified vehicle configuration anytime after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected vehicles do not meet applicable requirements, we will notify you to cease production of the vehicles and may require you to recall the vehicles at no expense to the owner. Choosing to produce vehicles under this paragraph (e) is deemed to be consent to recall all vehicles that we determine do not meet applicable emission standards or other requirements and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified vehicles.</P>
                                    <P>(f) You may ask us to approve a change to your FEL in certain cases after the start of production. The changed FEL may not apply to vehicles you have already introduced into U.S. commerce, except as described in this paragraph (f). You may ask us to approve a change to your FEL in the following cases:</P>
                                    <P>(1) You may ask to raise your FEL for your vehicle subfamily at any time. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. Use the appropriate FELs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.</P>
                                    <P>(2) Where testing applies, you may ask to lower the FEL for your vehicle subfamily only if you have test data from production vehicles showing that emissions are below the proposed lower FEL. Otherwise, you may ask to lower your FEL for your vehicle subfamily at any time. The lower FEL applies only to vehicles you produce after we approve the new FEL. Use the appropriate FELs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.</P>
                                    <P>(3) You may ask to add an FEL for your vehicle family at any time.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.230 </SECTNO>
                                    <SUBJECT>Vehicle families, sub-families, and configurations.</SUBJECT>
                                    <P>(a) For purposes of certifying your vehicles to greenhouse gas standards, divide your product line into families of vehicles as specified in this section. Your vehicle family is limited to a single model year. Group vehicles in the same vehicle family if they are the same in all the following aspects:</P>
                                    <P>(1) The regulatory sub-category (or equivalent in the case of vocational tractors), as follows:</P>
                                    <P>(i) Vocational vehicles at or below 19,500 pounds GVWR.</P>
                                    <P>(ii) Vocational vehicles (other than vocational tractors) above 19,500 pounds GVWR and at or below 33,000 pounds GVWR.</P>
                                    <P>(iii) Vocational vehicles (other than vocational tractors) above 33,000 pounds GVWR.</P>
                                    <P>(iv) Low-roof tractors above 26,000 pounds GVWR and at or below 33,000 pounds GVWR.</P>
                                    <P>(v) Mid-roof tractors above 26,000 pounds GVWR and at or below 33,000 pounds GVWR.</P>
                                    <P>(vi) High-roof tractors above 26,000 pounds GVWR and at or below 33,000 pounds GVWR.</P>
                                    <P>(vii) Low-roof day cab tractors above 33,000 pounds GVWR.</P>
                                    <P>(viii) Low-roof sleeper cab tractors above 33,000 pounds GVWR.</P>
                                    <P>(ix) Mid-roof day cab tractors above 33,000 pounds GVWR.</P>
                                    <P>(x) Mid-roof sleeper cab tractors above 33,000 pounds GVWR.</P>
                                    <P>(xi) High-roof day cab tractors above 33,000 pounds GVWR.</P>
                                    <P>(xii) High-roof sleeper cab tractors above 33,000 pounds GVWR.</P>
                                    <P>(xiii) Vocational tractors.</P>
                                    <P>(2) Vehicle technology as follows:</P>
                                    <P>(i) Group together vehicles that do not contain advanced or innovative technologies.</P>
                                    <P>(ii) Group together vehicles that contain the same advanced/innovative technologies.</P>
                                    <P>(b) If the vehicles in your family are being certified to more than one FEL, subdivide your greenhouse gas vehicle families into subfamilies that include vehicles with identical FELs. Note that you may add subfamilies at any time during the model year.</P>
                                    <P>
                                        (c) Group vehicles into configurations consistent with the definition of “vehicle configuration” in § 1037.801. 
                                        <PRTPAGE P="57411"/>
                                        Note that vehicles with hardware or software differences that are related to measured or modeled emissions are considered to be different vehicle configurations even if they have the same GEM inputs and FEL. Note also, that you are not required to separately identify all configurations for certification. See paragraph (g) of this section for provisions allowing you to group certain hardware differences into the same configuration. Note that you are not required to identify all possible configurations for certification; also, you are required to include in your end-of year report only those configurations you produced.
                                    </P>
                                    <P>(d) For a vehicle model that straddles a roof-height, cab type, or GVWR division, you may include all the vehicles in the same vehicle family if you certify the vehicle family to the more stringent standards. For roof height, this means you must certify to the taller roof standards. For cab-type and GVWR, this means you must certify to the numerically lower standards.</P>
                                    <P>(e) [Reserved]</P>
                                    <P>(f) You may divide your families into more families than specified in this section.</P>
                                    <P>(g) You may ask us to allow you to group into the same configuration vehicles that have very small body hardware differences that do not significantly affect drag areas. Note that this allowance does not apply for substantial differences, even if the vehicles have the same measured drag areas.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.241 </SECTNO>
                                    <SUBJECT>Demonstrating compliance with exhaust emission standards for greenhouse gas pollutants.</SUBJECT>
                                    <P>
                                        (a) For purposes of certification, your vehicle family is considered in compliance with the emission standards in § 1037.105 or § 1037.106 if all vehicle configurations in that family have modeled CO
                                        <E T="52">2</E>
                                         emission rates (as specified in subpart F of this part) at or below the applicable standards. See 40 CFR part 86, subpart S, for showing compliance with the standards of § 1037.104. Note that your FELs are considered to be the applicable emission standards with which you must comply if you participate in the ABT program in subpart H of this part.
                                    </P>
                                    <P>
                                        (b) Your vehicle family is deemed not to comply if any vehicle configuration in that family has a modeled CO
                                        <E T="52">2</E>
                                         emission rate that is above its FEL.
                                    </P>
                                    <P>(c) We may require you to provide an engineering analysis showing that the performance of your emission controls will not deteriorate during the useful life with proper maintenance. If we determine that your emission controls are likely to deteriorate during the useful life, we may require you to develop and apply deterioration factors consistent with good engineering judgment. For example, you may need to apply a deterioration factor to address deterioration of battery performance for an electric hybrid vehicle. Where the highest useful life emissions occur between the end of useful life and at the low-hour test point, base deterioration factors for the vehicles on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.250 </SECTNO>
                                    <SUBJECT>Reporting and recordkeeping.</SUBJECT>
                                    <P>(a) Within 90 days after the end of the model year, send the Designated Compliance Officer a report including the total U.S.-directed production volume of vehicles you produced in each vehicle family during the model year(based on information available at the time of the report). Report by vehicle identification number and vehicle configuration and identify the subfamily identifier. Report uncertified vehicles sold to secondary vehicle manufacturers. Small manufacturers may omit the reporting requirements of this paragraph (a).</P>
                                    <P>(b) Organize and maintain the following records:</P>
                                    <P>(1) A copy of all applications and any summary information you send us.</P>
                                    <P>(2) Any of the information we specify in § 1037.205 that you were not required to include in your application.</P>
                                    <P>(3) A detailed history of each emission-data vehicle, if applicable.</P>
                                    <P>(4) Production figures for each vehicle family divided by assembly plant.</P>
                                    <P>(5) Keep a list of vehicle identification numbers for all the vehicles you produce under each certificate of conformity.</P>
                                    <P>(c) Keep routine data from emission tests required by this part (such as test cell temperatures and relative humidity readings) for one year after we issue the associated certificate of conformity. Keep all other information specified in this section for eight years after we issue your certificate.</P>
                                    <P>(d) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.255 </SECTNO>
                                    <SUBJECT>What decisions may EPA make regarding my certificate of conformity?</SUBJECT>
                                    <P>(a) If we determine your application is complete and shows that the vehicle family meets all the requirements of this part and the Act, we will issue a certificate of conformity for your vehicle family for that model year. We may make the approval subject to additional conditions.</P>
                                    <P>(b) We may deny your application for certification if we determine that your vehicle family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny your application, we will explain why in writing.</P>
                                    <P>(c) In addition, we may deny your application or suspend or revoke your certificate if you do any of the following:</P>
                                    <P>(1) Refuse to comply with any testing or reporting requirements.</P>
                                    <P>(2) Submit false or incomplete information (paragraph (e) of this section applies if this is fraudulent). This includes doing anything after submission of your application to render any of the submitted information false or incomplete.</P>
                                    <P>(3) Render any test data inaccurate.</P>
                                    <P>(4) Deny us from completing authorized activities despite our presenting a warrant or court order (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.</P>
                                    <P>(5) Produce vehicles for importation into the United States at a location where local law prohibits us from carrying out authorized activities.</P>
                                    <P>(6) Fail to supply requested information or amend your application to include all vehicles being produced.</P>
                                    <P>(7) Take any action that otherwise circumvents the intent of the Act or this part, with respect to your engine family.</P>
                                    <P>(d) We may void the certificate of conformity for a vehicle family if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).</P>
                                    <P>(e) We may void your certificate if we find that you intentionally submitted false or incomplete information. This includes rendering submitted information false or incomplete after submission.</P>
                                    <P>(f) If we deny your application or suspend, revoke, or void your certificate, you may ask for a hearing (see § 1037.820).</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart D—[Reserved]</HD>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart E—In-Use Testing</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.401 </SECTNO>
                                    <SUBJECT>General provisions.</SUBJECT>
                                    <P>We may perform in-use testing of any vehicle subject to the standards of this part. For example, we may test vehicles to verify drag areas or other GEM inputs.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <PRTPAGE P="57412"/>
                                <HD SOURCE="HED">Subpart F—Test and Modeling Procedures</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.501 </SECTNO>
                                    <SUBJECT>General testing and modeling provisions.</SUBJECT>
                                    <P>This subpart specifies how to perform emission testing and emission modeling required elsewhere in this part.</P>
                                    <P>(a) [Reserved]</P>
                                    <P>(b) Where exhaust emission testing is required, use the equipment and procedures in 40 CFR part 1066 to determine whether your vehicles meet the duty-cycle emission standards in subpart B of this part. Measure the emissions of all the exhaust constituents subject to emission standards as specified in 40 CFR part 1066. Use the applicable duty cycles specified in § 1037.510.</P>
                                    <P>(c) [Reserved]</P>
                                    <P>(d) Use the applicable fuels specified 40 CFR part 1065 to perform valid tests.</P>
                                    <P>(1) For service accumulation, use the test fuel or any commercially available fuel that is representative of the fuel that in-use vehicles will use.</P>
                                    <P>(2) For diesel-fueled vehicles, use the appropriate diesel fuel specified for emission testing. Unless we specify otherwise, the appropriate diesel test fuel is ultra low-sulfur diesel fuel.</P>
                                    <P>(3) For gasoline-fueled vehicles, use the gasoline specified for “General Testing”.</P>
                                    <P>(e) You may use special or alternate procedures as specified in 40 CFR 1065.10.</P>
                                    <P>(f) This subpart is addressed to you as a manufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your vehicles meet emission standards.</P>
                                    <P>(g) Apply this paragraph (g) whenever we specify use of standard trailers. Unless otherwise specified, a tolerance of ±2 inches applies for all nominal trailer dimensions.</P>
                                    <P>(1) The standard trailer for high-roof tractors must meet the following criteria:</P>
                                    <P>(i) It is an unloaded two-axle dry van box trailer 53.0 feet long, 102 inches wide, and 162 inches high (measured from the ground with the trailer level).</P>
                                    <P>(ii) It has a king pin located with its center 36±0.5 inches from the front of the trailer and a minimized trailer gap (no greater than 45 inches).</P>
                                    <P>(iii) It has a smooth surface with nominally flush rivets and does not include any aerodynamic features such as side fairings, boat tails, or gap reducers. It may have a scuff band of no more than 0.13 inches in thickness.</P>
                                    <P>(iv) It includes dual 22.5 inch wheels, standard mudflaps, and standard landing gear. The centerline of the rear-most axle must be 146 inches from the rear of the trailer.</P>
                                    <P>(2) The standard trailer for mid-roof tractors is an empty two-axle tanker trailer 42±1 feet long by 140 inches high.</P>
                                    <P>(i) It has a 40±1 feet long cylindrical tank with a 7000±7 gallon capacity, smooth surface, and rounded ends.</P>
                                    <P>(ii) The standard tanker trailer does not include any aerodynamic features such as side fairings, but does include a centered 20 inch manhole, side-centered ladder, and lengthwise walkway. It includes dual 24.5 inch wheels.</P>
                                    <P>(3) The standard trailer for low-roof tractors is an unloaded two-axle flat bed trailer 53±1 feet long and 102 inches wide.</P>
                                    <P>(i) The deck height is 60.0±0.5 inches in the front and 55.0±0.5 inches in the rear. The standard trailer does not include any aerodynamic features such as side fairings.</P>
                                    <P>(ii) It includes an air suspension and dual 22.5 inch wheels on tandem axles spread up to 122 inches apart between axle centerlines, measured along the length of the trailer.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.510 </SECTNO>
                                    <SUBJECT>Duty-cycle exhaust testing.</SUBJECT>
                                    <P>This section applies where exhaust emission testing is required, such as when applying the provisions of § 1037.615. Note that for most vehicles, testing under this section is not required.</P>
                                    <P>(a) Where applicable, measure emissions by testing the vehicle on a chassis dynamometer with the applicable test cycles. Each test cycle consists of a series of speed commands over time: variable speeds for the transient test and constant speeds for the cruise tests. None of these cycles include vehicle starting or warmup; each test cycle begins with a running, warmed-up vehicle. Start sampling emissions at the start of each cycle. The transient cycle is specified in Appendix I to this part. For the 55 mph and 65 mph cruise cycles, sample emissions for 300 second cycles with constant vehicle speeds of 55.0 mph and 65.0 mph, respectively. The tolerance around these speed setpoints is ±1.0 mph.</P>
                                    <P>(b) Calculate the official emission result from the following equation:</P>
                                    <GPH SPAN="3" DEEP="33">
                                        <GID>ER15SE11.011</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">payload</E>
                                             = the standard payload, in tons, as specified in § 1037.705.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">w</E>
                                             = weighting factor for the appropriate test cycle, as described in paragraph (c) of this section.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">m</E>
                                             = grams of CO
                                            <E T="52">2</E>
                                             emitted over the appropriate test cycle.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">D</E>
                                             = miles driven over the appropriate test cycle.
                                        </FP>
                                    </EXTRACT>
                                    <P>(c) Apply weighting factors specific to each type of vehicle and for each duty cycle as described in the following table:</P>
                                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                                        <TTITLE>Table 1 to § 1037.510—Weighting Factors for Duty Cycles</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">  </CHED>
                                            <CHED H="1">
                                                Transient 
                                                <LI>(%)</LI>
                                            </CHED>
                                            <CHED H="1">
                                                55 mph cruise 
                                                <LI>(%)</LI>
                                            </CHED>
                                            <CHED H="1">
                                                65 mph cruise 
                                                <LI>(%)</LI>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">Vocational</ENT>
                                            <ENT>42</ENT>
                                            <ENT>21</ENT>
                                            <ENT>37</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Vocational Hybrid Vehicles</ENT>
                                            <ENT>75</ENT>
                                            <ENT>9</ENT>
                                            <ENT>16</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Day Cabs</ENT>
                                            <ENT>19</ENT>
                                            <ENT>17</ENT>
                                            <ENT>64</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Sleeper Cabs</ENT>
                                            <ENT>5</ENT>
                                            <ENT>9</ENT>
                                            <ENT>86</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <PRTPAGE P="57413"/>
                                    <P> (d) For transient testing, compare actual second-by-second vehicle speed with the speed specified in the test cycle and ensure any differences are consistent with the criteria as specified in 40 CFR part 1066. If the speeds do not conform to these criteria, the test is not valid and must be repeated.</P>
                                    <P>(e) Run test cycles as specified in 40 CFR part 86. For cruise cycle testing of vehicles equipped with cruise control, use the vehicle's cruise control to control the vehicle speed. For vehicles equipped with adjustable VSLs, test the vehicle with the VSL at its highest setting.</P>
                                    <P>(f) Test the vehicle using its adjusted loaded vehicle weight, unless we determine this would be unrepresentative of in-use operation as specified in 40 CFR 1065.10(c)(1).</P>
                                    <P>(g) For hybrid vehicles, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.520 </SECTNO>
                                    <SUBJECT>
                                        Modeling CO
                                        <E T="52">2</E>
                                         emissions to show compliance.
                                    </SUBJECT>
                                    <P>
                                        This section describes how to use the GEM simulation tool (incorporated by reference in § 1037.810) to show compliance with the CO
                                        <E T="52">2</E>
                                         standards of §§ 1037.105 and 1037.106. Use good engineering judgment when demonstrating compliance using the GEM.
                                    </P>
                                    <P>
                                        (a) 
                                        <E T="03">General modeling provisions.</E>
                                         To run the GEM, enter all applicable inputs as specified by the model. All seven of the following inputs apply for sleeper cab tractors, while some do not apply for other regulatory subcategories:
                                    </P>
                                    <P>(1) Regulatory subcategory (such as “Class 8 Combination—Sleeper Cab—High Roof”).</P>
                                    <P>(2) Coefficient of aerodynamic drag, as described in paragraph (b) of this section. Leave this field blank for vocational vehicles.</P>
                                    <P>(3) Steer tire rolling resistance, as described in paragraph (c) of this section.</P>
                                    <P>(4) Drive tire rolling resistance, as described in paragraph (c) of this section.</P>
                                    <P>(5) Vehicle speed limit, as described in paragraph (d) of this section. Leave this field blank for vocational vehicles.</P>
                                    <P>(6) Vehicle weight reduction, as described in paragraph (e) of this section. Leave this field blank for vocational vehicles.</P>
                                    <P>(7) Extended idle reduction credit, as described in paragraph (f) of this section. Leave this field blank for vehicles other than Class 8 sleeper cabs.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Coefficient of aerodynamic drag and drag area.</E>
                                         Determine the appropriate drag area as follows:
                                    </P>
                                    <P>
                                        (1) Use the recommended method or an alternate method to establish a value for the vehicle's drag area, expressed in m
                                        <SU>2</SU>
                                         and rounded to two decimal places. Where we allow you to group multiple configurations together, measure the drag area of the worst-case configuration. Measure drag areas specified in § 1037.521.
                                    </P>
                                    <P>(2) Determine the bin level for your vehicle based on the drag area from paragraph (b)(1) of this section as shown in the following tables:</P>
                                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,22,22">
                                        <TTITLE>Table 1 to § 1037.520—High-Roof Day and Sleeper Cabs</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Bin level</CHED>
                                            <CHED H="1" O="L">
                                                If your measured C
                                                <E T="52">D</E>
                                                A (m
                                                <SU>2</SU>
                                                ) is . . .
                                            </CHED>
                                            <CHED H="1" O="L">
                                                Then your C
                                                <E T="52">D</E>
                                                 input is . . .
                                            </CHED>
                                        </BOXHD>
                                        <ROW EXPSTB="02" RUL="s">
                                            <ENT I="21">High-Roof Day Cabs</ENT>
                                        </ROW>
                                        <ROW EXPSTB="00">
                                            <ENT I="01">Bin I</ENT>
                                            <ENT>≥ 8.0</ENT>
                                            <ENT>0.79</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin II</ENT>
                                            <ENT>7.1-7.9</ENT>
                                            <ENT>0.72</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin III</ENT>
                                            <ENT>6.2-7.0</ENT>
                                            <ENT>0.63</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin IV</ENT>
                                            <ENT>5.6-6.1</ENT>
                                            <ENT>0.56</ENT>
                                        </ROW>
                                        <ROW RUL="s">
                                            <ENT I="01">Bin V</ENT>
                                            <ENT>≤ 5.5</ENT>
                                            <ENT>0.51</ENT>
                                        </ROW>
                                        <ROW EXPSTB="02" RUL="s">
                                            <ENT I="21">High-Roof Sleeper Cabs</ENT>
                                        </ROW>
                                        <ROW EXPSTB="00">
                                            <ENT I="01">Bin I</ENT>
                                            <ENT>≥ 7.6</ENT>
                                            <ENT>0.75</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin II</ENT>
                                            <ENT>6.7-7.5</ENT>
                                            <ENT>0.68</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin III</ENT>
                                            <ENT>5.8-6.6</ENT>
                                            <ENT>0.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin IV</ENT>
                                            <ENT>5.2-5.7</ENT>
                                            <ENT>0.52</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin V</ENT>
                                            <ENT>≤ 5.1</ENT>
                                            <ENT>0.47</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,22,22">
                                        <TTITLE>Table 2 to § 1037.520— Low-Roof Day and Sleeper Cabs</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Bin level</CHED>
                                            <CHED H="1" O="L">
                                                If your measured C
                                                <E T="52">D</E>
                                                A (m
                                                <SU>2</SU>
                                                ) is . . .
                                            </CHED>
                                            <CHED H="1" O="L">
                                                Then your C
                                                <E T="52">D</E>
                                                 input is . . .
                                            </CHED>
                                        </BOXHD>
                                        <ROW EXPSTB="02" RUL="s">
                                            <ENT I="21">Low-Roof Day and Sleeper Cabs</ENT>
                                        </ROW>
                                        <ROW EXPSTB="00">
                                            <ENT I="01">Bin I</ENT>
                                            <ENT>≥ 5.1</ENT>
                                            <ENT>0.77</ENT>
                                        </ROW>
                                        <ROW RUL="s">
                                            <ENT I="01">Bin II</ENT>
                                            <ENT>≤ 5.0</ENT>
                                            <ENT>0.71</ENT>
                                        </ROW>
                                        <ROW EXPSTB="02" RUL="s">
                                            <ENT I="21">Mid-Roof Day and Sleeper Cabs</ENT>
                                        </ROW>
                                        <ROW EXPSTB="00">
                                            <ENT I="01">Bin I</ENT>
                                            <ENT>≥ 5.6</ENT>
                                            <ENT>0.87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bin II</ENT>
                                            <ENT>≤ 5.5</ENT>
                                            <ENT>0.82</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>(3) For low- and mid-roof tractors, you may determine your drag area bin based on the drag area bin of an equivalent high-roof tractor. If the high-roof tractor is in Bin I or Bin II, then you may assume your equivalent low- and mid-roof tractors are in Bin I. If the high-roof tractor is in Bin III, Bin IV, or Bin V, then you may assume your equivalent low- and mid-roof tractors are in Bin II.</P>
                                    <P>
                                        (c) 
                                        <E T="03">Steer and drive tire rolling resistance.</E>
                                         You must have a tire rolling resistance level (TRRL) for each tire 
                                        <PRTPAGE P="57414"/>
                                        configuration. For purposes of this section, you may consider tires with the same SKU number to be the same configuration.
                                    </P>
                                    <P>(1) Measure tire rolling resistance in kg per metric ton as specified in ISO 28580 (incorporated by reference in § 1037.810), except as specified in this paragraph (c). Use good engineering judgment to ensure that your test results are not biased low. You may ask us to identify a reference test laboratory to which you may correlate your test results. Prior to beginning the test procedure in Section 7 of ISO 28580 for a new bias-ply tire, perform a break-in procedure by running the tire at the specified test speed, load, and pressure for 60±2 minutes.</P>
                                    <P>(2) For each tire design tested, measure rolling resistance of at least three different tires of that specific design and size. Perform the test at least once for each tire. Use the arithmetic mean of these results as your test result. You may use this value as your GEM input or select a higher TRRL. You must test at least one tire size for each tire model, and may use engineering analysis to determine the rolling resistance of other tire sizes of that model. Note that for tire sizes that you do not test, we will treat your analytically derived rolling resistances the same as test results, and we may perform our own testing to verify your values. We may require you to test a small sub-sample of untested tire sizes that we select.</P>
                                    <P>(3) If you obtain your test results from the tire manufacturer or another third party, you must obtain a signed statement from them verifying the tests were conducted according to the requirements of this part. Such statements are deemed to be submissions to EPA.</P>
                                    <P>(4) For tires marketed as light truck tires and that have load ranges C, D, or E, use as the GEM input TRRL at or above the measured rolling resistance multiplied by 0.87.</P>
                                    <P>
                                        (d) 
                                        <E T="03">Vehicle speed limit.</E>
                                         If the vehicles will be equipped with a vehicle speed limiter, input the maximum vehicle speed to which the vehicle will be limited (in miles per hour rounded to the nearest 0.1 mile per hour) as specified in § 1037.640. Otherwise leave this field blank. Use good engineering judgment to ensure the limiter is tamper resistant. We may require you to obtain preliminary approval for your designs.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Vehicle weight reduction.</E>
                                         For purposes of this paragraph (e), high-strength steel is steel with tensile strength at or above 350 MPa.
                                    </P>
                                    <P>(1) Vehicle weight reduction inputs for wheels are specified relative to dual-wide tires with conventional steel wheels. For purposes of this paragraph (e)(1), a light-weight aluminum wheel is one that weighs at least 21 lb less than a comparable conventional steel wheel. The inputs are listed in Table 4 to this section. For example, a tractor with aluminum steel wheels and eight (4×2) dual-wide aluminum drive wheels would have an input of 210 lb (2×21 + 8×21).</P>
                                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,12">
                                        <TTITLE>Table 3 to § 1037.520—Wheel-Related Weight Reductions</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Weight reduction technology</CHED>
                                            <CHED H="1">
                                                Weight
                                                <LI>reduction </LI>
                                                <LI>(lb per tire or wheel)</LI>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="22">Single-Wide Drive Tire with</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="03">Steel Wheel</ENT>
                                            <ENT>84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="03">Aluminum Wheel</ENT>
                                            <ENT>139</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="03">Light-Weight Aluminum Wheel</ENT>
                                            <ENT>147</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22">Steer Tire or Dual-wide Drive Tire with . . .</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="03">High-Strength Steel Wheel</ENT>
                                            <ENT>8</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="03">Aluminum Wheel</ENT>
                                            <ENT>21</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="03">Light-Weight Aluminum Wheel</ENT>
                                            <ENT>30</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>(2) Vehicle weight reduction inputs for components other than wheels are specified relative to mild steel components as specified in the following table:</P>
                                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,16,16">
                                        <TTITLE>Table 4 to § 1037.520—Nonwheel-Related Weight Reductions</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Weight reduction technologies</CHED>
                                            <CHED H="1">Aluminum weight reduction (lb)</CHED>
                                            <CHED H="1">High-strength steel weight reduction (lb)</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">Door</ENT>
                                            <ENT>20</ENT>
                                            <ENT>6</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Roof</ENT>
                                            <ENT>60</ENT>
                                            <ENT>18</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Cab rear wall</ENT>
                                            <ENT>49</ENT>
                                            <ENT>16</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Cab floor</ENT>
                                            <ENT>56</ENT>
                                            <ENT>18</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Hood Support Structure System</ENT>
                                            <ENT>15</ENT>
                                            <ENT>3</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Fairing Support Structure System</ENT>
                                            <ENT>35</ENT>
                                            <ENT>6</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Instrument Panel Support Structure</ENT>
                                            <ENT>5</ENT>
                                            <ENT>1</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Brake Drums—Drive (4)</ENT>
                                            <ENT>140</ENT>
                                            <ENT>11</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Brake Drums—Non Drive (2)</ENT>
                                            <ENT>60</ENT>
                                            <ENT>8</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Frame Rails</ENT>
                                            <ENT>440</ENT>
                                            <ENT>87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Crossmember—Cab</ENT>
                                            <ENT>15</ENT>
                                            <ENT>5</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Crossmember—Suspension</ENT>
                                            <ENT>25</ENT>
                                            <ENT>6</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Crossmember—Non Suspension (3)</ENT>
                                            <ENT>15</ENT>
                                            <ENT>5</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Fifth Wheel</ENT>
                                            <ENT>100</ENT>
                                            <ENT>25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Radiator Support</ENT>
                                            <ENT>20</ENT>
                                            <ENT>6</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Fuel Tank Support Structure</ENT>
                                            <ENT>40</ENT>
                                            <ENT>12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Steps</ENT>
                                            <ENT>35</ENT>
                                            <ENT>6</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Bumper</ENT>
                                            <ENT>33</ENT>
                                            <ENT>10</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Shackles</ENT>
                                            <ENT>10</ENT>
                                            <ENT>3</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Front Axle</ENT>
                                            <ENT>60</ENT>
                                            <ENT>15</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Suspension Brackets, Hangers</ENT>
                                            <ENT>100</ENT>
                                            <ENT>30</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Transmission Case</ENT>
                                            <ENT>50</ENT>
                                            <ENT>12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Clutch Housing</ENT>
                                            <ENT>40</ENT>
                                            <ENT>10</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Drive Axle Hubs (8)</ENT>
                                            <ENT>160</ENT>
                                            <ENT>4</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Non Drive Front Hubs (2)</ENT>
                                            <ENT>40</ENT>
                                            <ENT>5</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Driveshaft</ENT>
                                            <ENT>20</ENT>
                                            <ENT>5</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Transmission/Clutch Shift Levers</ENT>
                                            <ENT>20</ENT>
                                            <ENT>4</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <PRTPAGE P="57415"/>
                                    <P> (3) You may ask to apply the innovative technology provisions of § 1037.610 for weight reductions not covered by this paragraph (e).</P>
                                    <P>
                                        (f) 
                                        <E T="03">Extended idle reduction credit.</E>
                                         If your tractor is equipped with idle reduction technology meeting the requirements of § 1037.660 that will automatically shut off the main engine after 300 seconds or less, use 5.0 g/ton-mile as the input (or a lesser value specified in § 1037.660). Otherwise leave this field blank.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.521 </SECTNO>
                                    <SUBJECT>Aerodynamic measurements.</SUBJECT>
                                    <P>
                                        This section describes how to determine the aerodynamic drag area (C
                                        <E T="52">D</E>
                                        A) of your vehicle using the coastdown procedure in 40 CFR part 1066 or an alternative method correlated to it.
                                    </P>
                                    <P>
                                        (a) 
                                        <E T="03">General.</E>
                                         The primary method for measuring the aerodynamic drag area of vehicles is specified in paragraph (b) of this section. You may determine the drag area using an alternate method, consistent with the provisions of this section and good engineering judgment, based on wind tunnel testing, computational fluid dynamic modeling, or constant-speed road load testing. See 40 CFR 1068.5 for provisions describing how we may evaluate your engineering judgment. All drag areas measured using an alternative method (C
                                        <E T="52">D</E>
                                        A
                                        <E T="52">alt</E>
                                        ) must be adjusted to be equivalent to the corresponding drag areas that would have been measured using the coastdown procedure as follows:
                                    </P>
                                    <P>
                                        (1) Unless good engineering judgment requires otherwise, assume that coastdown drag areas are proportional to drag areas measured using alternative methods. This means you may apply a single constant adjustment factor (F
                                        <E T="52">alt-aero</E>
                                        ) for a given alternate drag area method using the following equation:
                                    </P>
                                    <FP SOURCE="FP-2">
                                        C
                                        <E T="52">D</E>
                                        A = C
                                        <E T="52">D</E>
                                        A
                                        <E T="52">alt</E>
                                         × F
                                        <E T="52">alt-aero</E>
                                    </FP>
                                    <P>
                                        (2) Determine F
                                        <E T="52">alt-aero</E>
                                         by performing coastdown testing and applying your alternate method on the same vehicle. Unless we approve another vehicle, the vehicle must be a Class 8, high-roof, sleeper cab with a full aerodynamics package, pulling a standards trailer. Where you have more than one model meeting these criteria, use the model with the highest projected sales. If you do not have such a model you may use your most comparable model with prior approval. If good engineering judgment allows the use of a single, constant value of F
                                        <E T="52">alt-aero</E>
                                        , calculate it from this coastdown drag area (C
                                        <E T="52">D</E>
                                        A
                                        <E T="52">coast</E>
                                        ) divided by alternative drag area (C
                                        <E T="52">D</E>
                                        A
                                        <E T="52">alt</E>
                                        ):
                                    </P>
                                    <FP SOURCE="FP-2">
                                        F
                                        <E T="52">alt-aero</E>
                                         = C
                                        <E T="52">D</E>
                                        A
                                        <E T="52">coast</E>
                                         ÷ C
                                        <E T="52">D</E>
                                        A
                                        <E T="52">alt</E>
                                    </FP>
                                    <P>
                                        (3) Calculate F
                                        <E T="52">alt-aero</E>
                                         to at least three decimal places. For example, if your coastdown testing results in a drag area of 6.430, but your wind tunnel method results in a drag area of 6.200, F
                                        <E T="52">alt-aero</E>
                                         would be 1.037.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Recommended method.</E>
                                         Perform coastdown testing as described in 40 CFR part 1066, subpart D, subject to the following additional provisions:
                                    </P>
                                    <P>(1) The specifications of this paragraph (b)(1) apply when measuring drag areas for tractors. Test high-roof tractors with a standard box trailer. Test low- and mid-roof tractors without a trailer (sometimes referred to as in a “bobtail configuration”). You may test low- and mid-roof tractors with a trailer to evaluate innovative technologies.</P>
                                    <P>(2) The specifications of this paragraph (b)(2) apply for tractors and standard trailers. Use tires mounted on steel rims in a dual configuration (except for steer tires). The tires must—</P>
                                    <P>(i) Be SmartWay-Verified tires or have a rolling resistance below 5.1 kg/ton.</P>
                                    <P>(ii) Have accumulated at least 2,175 miles of prior use but have no less than 50 percent of their original tread depth (as specified for truck cabs in SAE J1263).</P>
                                    <P>(iii) Not be retreads or have any apparent signs of chunking or uneven wear.</P>
                                    <P>(iv) Be size 295/75R22.5 or 275/80R22.5.</P>
                                    <P>
                                        (3) Calculate the drag area (C
                                        <E T="52">D</E>
                                        A) in m
                                        <SU>2</SU>
                                         from the coastdown procedure specified in 40 CFR part 1066.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Approval.</E>
                                         You must obtain preliminary approval before using any methods other than coastdown testing to determine drag coefficients. Send your request for approval to the Designated Compliance Officer. Keep records of the information specified in this paragraph (c). Unless we specify otherwise, include this information with your request. You must provide any information we require to evaluate whether you are apply the provisions of this section consistent with good engineering judgment.
                                    </P>
                                    <P>(1) Include all of the following for your coastdown results:</P>
                                    <P>(i) The name, location, and description of your test facilities, including background/history, equipment and capability, and track and facility elevation, along with the grade and size/length of the track.</P>
                                    <P>(ii) Test conditions for each test result, including date and time, wind speed and direction, ambient temperature and humidity, vehicle speed, driving distance, manufacturer name, test vehicle/model type, model year, applicable model engine family, tire type and rolling resistance, weight of tractor-trailer (as tested), and driver identifier(s).</P>
                                    <P>(iii) Average drag area result as calculated in 40 CFR 1066, subpart D) and all of the individual run results (including voided or invalid runs).</P>
                                    <P>(2) Identify the name and location of the test facilities for your wind tunnel method (if applicable). Also include the following things to describe the test facility:</P>
                                    <P>(i) Background/history.</P>
                                    <P>(ii) The layout (with diagram), type, and construction (structural and material) of the wind tunnel.</P>
                                    <P>(iii) Wind tunnel design details: corner turning vane type and material, air settling, mesh screen specification, air straightening method, tunnel volume, surface area, average duct area, and circuit length.</P>
                                    <P>(iv) Wind tunnel flow quality: temperature control and uniformity, airflow quality, minimum airflow velocity, flow uniformity, angularity and stability, static pressure variation, turbulence intensity, airflow acceleration and deceleration times, test duration flow quality, and overall airflow quality achievement.</P>
                                    <P>
                                        (v) Test/working section information: test section type (
                                        <E T="03">e.g.,</E>
                                         open, closed, adaptive wall) and shape (
                                        <E T="03">e.g.,</E>
                                         circular, square, oval), length, contraction ratio, maximum air velocity, maximum dynamic pressure, nozzle width and height, plenum dimensions and net volume, maximum allowed model scale, maximum model height above road, strut movement rate (if applicable), model support, primary boundary layer slot, boundary layer elimination method, and photos and diagrams of the test section.
                                    </P>
                                    <P>(vi) Fan section description: fan type, diameter, power, maximum rotational speed, maximum top speed, support type, mechanical drive, and sectional total weight.</P>
                                    <P>(vii) Data acquisition and control (where applicable): acquisition type, motor control, tunnel control, model balance, model pressure measurement, wheel drag balances, wing/body panel balances, and model exhaust simulation.</P>
                                    <P>(viii) Moving ground plane or rolling road (if applicable): construction and material, yaw table and range, moving ground length and width, belt type, maximum belt speed, belt suction mechanism, platen instrumentation, temperature control, and steering.</P>
                                    <P>(ix) Facility correction factors and purpose.</P>
                                    <P>(3) Include all of the following for your computational fluid dynamics (CFD) method (if applicable):</P>
                                    <P>
                                        (i) Official name/title of the software product.
                                        <PRTPAGE P="57416"/>
                                    </P>
                                    <P>(ii) Date and version number for the software product.</P>
                                    <P>(iii) Manufacturer/company name, address, phone number and Web address for software product.</P>
                                    <P>(iv) Identify if the software code is Navier-Stokes or Lattice-Boltzmann based.</P>
                                    <P>(4) Include all of the following for any other method (if applicable):</P>
                                    <P>(i) Official name/title of the procedure(s).</P>
                                    <P>(ii) Description of the procedure.</P>
                                    <P>(iii) Cited sources for any standardized procedures that the method is based on.</P>
                                    <P>(iv) Modifications/deviations from the standardized procedures for the method and rational for modifications/deviations.</P>
                                    <P>(v) Data comparing this requested procedure to the coastdown reference procedure.</P>
                                    <P>
                                        (vi) Information above from the other methods as applicable to this method (
                                        <E T="03">e.g.,</E>
                                         source location/address, background/history).
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Wind tunnel methods.</E>
                                         (1) You may measure drag areas consistent with the modified SAE procedures described in this paragraph (d) using any wind tunnel recognized by the Subsonic Aerodynamic Testing Association. If your wind tunnel is not capable of testing in accordance with these modified SAE procedures, you may ask us to approve your alternate test procedures if you demonstrate that your procedures produce equivalent data. For purposes of this paragraph (d), data are equivalent if they are the same or better with respect to repeatability and unbiased correlation with coastdown testing. Note that, for wind tunnels not capable of these modified SAE procedures, good engineering judgment may require you to base your alternate method adjustment factor on more than one vehicle. You may not develop your correction factor until we have approved your alternate method. The applicable SAE procedures are SAE J1252, SAE J1594, and SAE J2071 (incorporated by reference in § 1037.810). The following modifications apply for SAE J1252:
                                    </P>
                                    <P>
                                        (i) The minimum Reynold's number (Re
                                        <E T="52">min</E>
                                        ) is 1.0 × 10
                                        <SU>6</SU>
                                         instead of the value specified in section 5.2 of the SAE procedure. Your model frontal area at zero yaw angle may exceed the recommended 5 percent of the active test section area, provided it does not exceed 25 percent.
                                    </P>
                                    <P>(ii) For full-scale wind tunnel testing, use good engineering judgment to select a test article (tractor and trailer) that is a reasonable representation of the test article used for the reference method testing. For example, where your wind tunnel is not long enough to test the tractor with a standard 53 foot trailer, it may be appropriate to use shorter box trailer. In such a case, the correlation developed using the shorter trailer would only be valid for testing with the shorter trailer.</P>
                                    <P>(iii) For reduced-scale wind tunnel testing, a one-eighth (1/8th) or larger scale model of a heavy-duty tractor and trailer must be used, and the model must be of sufficient design to simulate airflow through the radiator inlet grill and across an engine geometry representative of those commonly used in your test vehicle.</P>
                                    <P>
                                        (2) You must perform wind tunnel testing and the coastdown procedure on the same tractor model and provide the results for both methods. Conduct the wind tunnel tests at a zero yaw angle and, if so equipped, utilizing the moving/rolling floor (
                                        <E T="03">i.e.,</E>
                                         the moving/rolling floor should be on during the test, as opposed to static) for comparison to the coastdown procedure, which corrects to a zero yaw angle for the oncoming wind.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Computational fluid dynamics (CFD).</E>
                                         You may determine drag areas using a CFD method, consistent with good engineering judgment and the requirements of this paragraph (e) using commercially available CFD software code. Conduct the analysis assuming zero yaw angle, and ambient conditions consistent with coastdown procedures. For simulating a wind tunnel test, the analysis should accurately model the particular wind tunnel and assume a wind tunnel blockage ratio consistent with SAE J1252 (incorporated by reference in § 1037.810) or one that matches the selected wind tunnel, whichever is lower. For simulation of open road conditions similar to that experienced during coastdown test procedures, the CFD analysis should assume a blockage ratio at or below 0.2 percent.
                                    </P>
                                    <P>(1) Take the following steps for CFD code with a Navier-Stokes formula solver:</P>
                                    <P>(i) Perform an unstructured, time-accurate, analysis using a mesh grid size with total volume element count of at least 50 million cells of hexahedral and/or polyhedral mesh cell shape, surface elements representing the geometry consisting of no less than 6 million elements, and a near-wall cell size corresponding to a y+ value of less than 300, with the smallest cell sizes applied to local regions of the tractor and trailer in areas of high flow gradients and smaller geometry features.</P>
                                    <P>(ii) Perform the analysis with a turbulence model and mesh deformation enabled (if applicable) with boundary layer resolution of ±95 percent. Once result convergence is achieved, demonstrate the convergence by supplying multiple, successive convergence values for the analysis. The turbulence model may use k-epsilon (k-ε), shear stress transport k-omega (SST k-ω), or other commercially accepted methods.</P>
                                    <P>(2) For Lattice-Boltzman based CFD code, perform an unstructured, time-accurate analysis using a mesh grid size with total surface elements of at least 50 million cells using cubic volume elements and triangular and/or quadrilateral surface elements with a near wall cell size of no greater than 6 mm on local regions of the tractor and trailer in areas of high flow gradients and smaller geometry features, with cell sizes in other areas of the mesh grid starting at twelve millimeters and increasing in size from this value as the distance from the tractor-trailer model increases.</P>
                                    <P>(3) All CFD analysis should be conducted using the following conditions:</P>
                                    <P>(i) A tractor-trailer combination using the manufacturer's tractor and the standard trailer, as applicable.</P>
                                    <P>(ii) An environment with a blockage ratio at or below 0.2 percent to simulate open road conditions, a zero degree yaw angle between the oncoming wind and the tractor-trailer combination.</P>
                                    <P>(iii) Ambient conditions consistent with the coastdown test procedures specified in this part.</P>
                                    <P>(iv) Open grill with representative back pressures based on data from the tractor model,</P>
                                    <P>(v) Turbulence model and mesh deformation enabled (if applicable).</P>
                                    <P>(vi) Tires and ground plane in motion consistent with and simulating a vehicle moving in the forward direction of travel.</P>
                                    <P>
                                        (vii) The smallest cell size should be applied to local regions on the tractor and trailer in areas of high flow gradients and smaller geometry features (
                                        <E T="03">e.g.,</E>
                                         the a-pillar, mirror, visor, grille and accessories, trailer leading and trailing edges, rear bogey, tires, and tractor-trailer gap).
                                    </P>
                                    <P>(viii) Simulate a speed of 55 mph.</P>
                                    <P>
                                        (4) You may ask us to allow you to perform CFD analysis using parameters and criteria other than those specified in this paragraph (e), consistent with good engineering judgment, if you can demonstrate that the specified conditions are not feasible (
                                        <E T="03">e.g.,</E>
                                         insufficient computing power to conduct such analysis, inordinate length of time to conduct analysis, equivalent flow characteristics with more feasible 
                                        <PRTPAGE P="57417"/>
                                        criteria/parameters) or improved criteria may yield better results (
                                        <E T="03">e.g.,</E>
                                         different mesh cell shape and size). To support this request, we may require that you supply data demonstrating that your selected parameters/criteria will provide a sufficient level of detail to yield an accurate analysis, including comparison of key characteristics between your criteria/parameters and the criteria specified in paragraphs (e)(1) and (2) of this section (
                                        <E T="03">e.g.,</E>
                                         pressure profiles, drag build-up, and/or turbulent/laminar flow at key points on the front of the tractor and/or over the length of the tractor-trailer combination).
                                    </P>
                                    <P>
                                        (f) 
                                        <E T="03">Yaw sweep corrections.</E>
                                         You may optionally apply this paragraph (f) for vehicles with aerodynamic features that are more effective at reducing wind-averaged drag than is predicted by zero-yaw drag. You may correct your zero-yaw drag area as follows if the ratio of the zero-yaw drag area divided by yaw sweep drag area for your vehicle is greater than 0.8065 (which represents the ratio expected for a typical aerodynamic Class 8 high-roof sleeper cab tractor):
                                    </P>
                                    <P>(1) Determine the zero-yaw drag area and the yaw sweep drag area for your vehicle using the same alternate method as specified in this subpart. Measure drag area for 0°, −6°, and +6°. Use the arithmetic mean of the −6° and +6° drag areas as the ±6° drag area.</P>
                                    <P>
                                        (2) Calculate your yaw sweep correction factor (CF
                                        <E T="52">ys</E>
                                        ) using the following equation:
                                    </P>
                                    <GPH SPAN="3" DEEP="24">
                                        <GID>ER15SE11.012</GID>
                                    </GPH>
                                    <P>
                                        (3) Calculate your corrected drag area for determining the aerodynamic bin by multiplying the measured zero-yaw drag area by CF
                                        <E T="52">ys</E>
                                        . The correction factor may be applied to drag areas measured using other procedures. For example, we would apply CF
                                        <E T="52">ys</E>
                                         to drag areas measured using the recommended coastdown method. If you use an alternative method, you would also need to apply an alternative correction (F
                                        <E T="52">alt-aero</E>
                                        ) and calculate the final drag area using the following equation:
                                    </P>
                                    <P>
                                        C
                                        <E T="52">D</E>
                                        A = F
                                        <E T="52">alt-aero</E>
                                         · CF
                                        <E T="52">ys</E>
                                         · (C
                                        <E T="52">D</E>
                                        A)
                                        <E T="52">zero-alt</E>
                                    </P>
                                    <P>
                                        (4) You may ask us to apply CF
                                        <E T="52">ys</E>
                                         to similar vehicles incorporating the same design features.
                                    </P>
                                    <P>(5) As an alternative, you may choose to calculate the wind-averaged drag area according to SAE J1252 (incorporated by reference in § 1037.810) and substitute this value into the equation in paragraph (f)(2) of this section for the ±6° yaw-averaged drag area.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.525 </SECTNO>
                                    <SUBJECT>Special procedures for testing hybrid vehicles with power take-off.</SUBJECT>
                                    <P>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 so that all the energy is produced with the engine. 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 whole vehicles or with a post-transmission hybrid system. When testing just the post-transmission hybrid system, 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.</P>
                                    <P>(a) Select two vehicles for testing as follows:</P>
                                    <P>(1) Select a vehicle with a hybrid powertrain to represent the vehicle family. If your vehicle family includes more than one vehicle model, use good engineering judgment to select the vehicle type with the maximum number of PTO circuits that has the smallest potential reduction in greenhouse gas emissions.</P>
                                    <P>(2) Select an equivalent conventional vehicle as specified in § 1037.615.</P>
                                    <P>(b) Measure PTO emissions from the fully warmed-up conventional vehicle as follows:</P>
                                    <P>(1) Without adding any additional restrictions, instrument the vehicle with pressure transducers at the outlet of the hydraulic pump for each circuit.</P>
                                    <P>
                                        (2) Operate the PTO system with no load for at least 15 seconds. Measure the pressure and record the average value over the last 10 seconds (
                                        <E T="03">p</E>
                                        <E T="52">min</E>
                                        ). Apply maximum operator demand to the PTO system until the pressure relief valve opens and pressure stabilizes; measure the pressure and record the average value over the last 10 seconds (
                                        <E T="03">p</E>
                                        <E T="52">max</E>
                                        ).
                                    </P>
                                    <P>(3) Denormalize the PTO duty cycle in Appendix II of this part using the following equation:</P>
                                    <FP SOURCE="FP-2">
                                        <E T="03">p</E>
                                        <E T="52">refi</E>
                                         = 
                                        <E T="03">NP</E>
                                        <E T="52">i</E>
                                         · (
                                        <E T="03">p</E>
                                        <E T="52">max</E>
                                        −
                                        <E T="52">min</E>
                                        ) + 
                                        <E T="03">p</E>
                                        <E T="52">min</E>
                                    </FP>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <P>
                                            <E T="03">p</E>
                                            <E T="52">refi</E>
                                             = the reference pressure at each point 
                                            <E T="03">i</E>
                                             in the PTO cycle.
                                        </P>
                                        <P>
                                            <E T="03">NP</E>
                                            <E T="52">i</E>
                                            = the normalized pressure at each point 
                                            <E T="03">i</E>
                                             in the PTO cycle.
                                        </P>
                                        <P>
                                            <E T="03">p</E>
                                            <E T="52">max</E>
                                            = the maximum pressure measured in paragraph (b)(2) of this section.
                                        </P>
                                        <P>
                                            <E T="03">p</E>
                                            <E T="52">min</E>
                                            = the minimum pressure measured in paragraph (b)(2) of this section.
                                        </P>
                                    </EXTRACT>
                                    <P>(4) If the PTO system has two circuits, repeat paragraph (b)(2) and (3) of this section for the second PTO circuit.</P>
                                    <P>(5) Install a system to control pressures in the PTO system during the cycle.</P>
                                    <P>(6) Start the engine.</P>
                                    <P>
                                        (7) Operate the vehicle over one or both of the denormalized PTO duty cycles, as applicable. Collect CO
                                        <E T="52">2</E>
                                         emissions during operation over each duty cycle.
                                    </P>
                                    <P>(8) Use the provisions of 40 CFR part 1066 to collect and measure emissions. Calculate emission rates in grams per test without rounding.</P>
                                    <P>(9) For each test, validate the pressure in each circuit with the pressure specified from the cycle according to 40 CFR 1065.514. Measured pressures must meet the specifications in the following table for a valid test:</P>
                                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,xs150">
                                        <TTITLE>Table 1 of § 1037.525—Statistical Criteria for Validating Duty Cycles</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Parameter</CHED>
                                            <CHED H="1">Pressure</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">
                                                Slope, |
                                                <E T="03">a</E>
                                                <E T="52">1</E>
                                                |
                                            </ENT>
                                            <ENT>
                                                0.950 ≤
                                                <E T="03"> a</E>
                                                <E T="52">1</E>
                                                 ≤ 1.030.
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                Absolute value of intercept, |
                                                <E T="03">a</E>
                                                <E T="52">0</E>
                                                |
                                            </ENT>
                                            <ENT>≤ 2.0% of maximum mapped pressure.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                Standard error of estimate, 
                                                <E T="03">SEE</E>
                                            </ENT>
                                            <ENT>≤ 10% of maximum mapped pressure.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                Coefficient of determination, 
                                                <E T="03"> r</E>
                                                <SU>2</SU>
                                            </ENT>
                                            <ENT>≥ 0.970.</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <PRTPAGE P="57418"/>
                                    <P>(10) Continue testing over the three vehicle drive cycles, as otherwise required by this part.</P>
                                    <P>(11) Calculate combined cycle-weighted emissions of the four cycles as specified in paragraph (d) of this section.</P>
                                    <P>(c) Measure PTO emissions from the fully warmed-up hybrid vehicle as follows:</P>
                                    <P>(1) Perform the steps in paragraphs (b)(1) through (5) of this section.</P>
                                    <P>(2) Prepare the vehicle for testing by operating it as needed to stabilize the battery at a full state of charge. For electric hybrid vehicles, we recommend running back-to-back PTO tests until engine operation is initiated to charge the battery. The battery should be fully charged once engine operation stops. The ignition should remain in the “on” position.</P>
                                    <P>(3) Turn the vehicle and PTO system off while the sampling system is being prepared.</P>
                                    <P>(4) Turn the vehicle and PTO system on such that the PTO system is functional, whether it draws power from the engine or a battery.</P>
                                    <P>(5) Operate the vehicle over the PTO cycle(s) without turning the vehicle off, until the engine starts and then shuts down. The test cycle is completed once the engine shuts down. Measure emissions as described in paragraphs (b)(2) and (3) of this section. Use good engineering judgment to minimize the variability in testing between the two types of vehicles.</P>
                                    <P>(6) Refer to paragraph (b)(9) of this section for cycle validation.</P>
                                    <P>(7) Continue testing over the three vehicle drive cycles, as otherwise required by this part.</P>
                                    <P>(8) Calculate combined cycle-weighted emissions of the four cycles as specified in paragraph (d) of this section.</P>
                                    <P>(d) Calculate combined cycle-weighted emissions of the four cycles for vocational vehicles as follows:</P>
                                    <P>(1) Calculate the g/ton-mile emission rate for the driving portion of the test specified in § 1037.510.</P>
                                    <P>(2) Calculate the g/hr emission rate for the PTO portion of the test by dividing the total mass emitted over the cycle (grams) by the time of the test (hours). For testing where fractions of a cycle were run (for example, where three cycles are completed and the halfway point of a fourth PTO cycle is reached before the engine starts and shuts down again), use the following procedures to calculate the time of the test:</P>
                                    <P>(i) Add up the time run for all complete tests.</P>
                                    <P>(ii) For fractions of a test, use the following equation to calculate the time:</P>
                                    <GPH SPAN="3" DEEP="61">
                                        <GID>ER15SE11.013</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                            <E T="52">test</E>
                                             = time of the incomplete test.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">i</E>
                                             = the number of each measurement interval.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">N</E>
                                             = the total number of measurement intervals.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">NP</E>
                                            <E T="52">circuit_1</E>
                                             = Normalized pressure command from circuit 1 of the PTO cycle.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">NP</E>
                                            <E T="52">circuit_2</E>
                                             = Normalized pressure command from circuit 2 of the PTO cycle. Let 
                                            <E T="03">NP</E>
                                            <E T="52">circuit_2</E>
                                             = 1 if there is only one circuit.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                            <E T="52">cycle</E>
                                             = time of a complete cycle.
                                        </FP>
                                    </EXTRACT>
                                    <P>(iii) Sum the time from complete cycles (paragraph (d)(2)(i) of this section) and from partial cycles (paragraph (d)(2)(ii) of this section).</P>
                                    <P>(3) Convert the g/hr PTO result to an equivalent g/mi value based on the assumed fraction of engine operating time during which the PTO is operating (28 percent) and an assumed average vehicle speed while driving (27.1 mph). The conversion factor is: Factor = (0.280)/(1.000−0.280)/(27.1 mph) = 0.0144 hr/mi. Multiply the g/hr emission rate by 0.0144 hr/mi.</P>
                                    <P>(4) Divide the g/mi PTO emission rate by the standard payload and add this value to the g/ton-mile emission rate for the driving portion of the test.</P>
                                    <P>(e) Follow the provisions of § 1037.615 to calculate improvement factors and benefits for advanced technologies.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.550 </SECTNO>
                                    <SUBJECT>Special procedures for testing post-transmission hybrid systems.</SUBJECT>
                                    <P>This section describes the procedure for simulating a chassis test with a post-transmission hybrid system for A to B testing. The hardware that must be included in these tests is the engine, the transmission, the hybrid electric motor, the power electronics between the hybrid electric motor and the RESS, and the RESS. You may ask us to modify the provisions of this section to allow testing non-electric hybrid vehicles, consistent with good engineering judgment.</P>
                                    <P>(a) Set up the engine according to 40 CFR 1065.110 to account for work inputs and outputs and accessory work.</P>
                                    <P>
                                        (b) Collect CO
                                        <E T="52">2</E>
                                         emissions while operating the system over the test cycles specified in § 1037.510.
                                    </P>
                                    <P>
                                        (c) Collect and measure emissions as described in 40 CFR part 1066. Calculate emission rates in grams per ton-mile without rounding. Determine values for 
                                        <E T="03">A, B, C,</E>
                                         and
                                        <E T="03"> M</E>
                                         for the vehicle being simulated as specified in 40 CFR part 1066. If you will apply an improvement factor or test results to multiple vehicle configurations, use values of 
                                        <E T="03">A, B,</E>
                                          
                                        <E T="03">C, M,</E>
                                          
                                        <E T="03">k</E>
                                        <E T="52">d</E>
                                        , and 
                                        <E T="03">r</E>
                                         that represent the vehicle configuration with the smallest potential reduction in greenhouse gas emissions as a result of the hybrid capability.
                                    </P>
                                    <P>
                                        (d) Calculate the transmission output shaft's angular speed target for the driver model, 
                                        <E T="03">f</E>
                                        <E T="52">nref,driver</E>
                                        , from the linear speed associated with the vehicle cycle using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="28">
                                        <GID>ER15SE11.014</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">cyclei</E>
                                             = vehicle speed of the test cycle for each point 
                                            <E T="03">i</E>
                                            .
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">k</E>
                                            <E T="52">d</E>
                                             = 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.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">r</E>
                                             = radius of the loaded tires, as declared by the manufacturer.
                                        </FP>
                                    </EXTRACT>
                                    <P>(e) Use either speed control or torque control to program the dynamometer to follow the test cycle, as follows:</P>
                                    <P>
                                        (1) 
                                        <E T="03">Speed control.</E>
                                         Program dynamometers using speed control as described in this paragraph (e)(1). We recommend speed control for automated manual transmissions or other designs where there is a power interrupt during shifts. Calculate the transmission output shaft's angular speed target for the dynamometer, 
                                        <E T="03">f</E>
                                        <E T="52">nref,dyno</E>
                                        , from the measured linear speed at the dynamometer rolls using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="28">
                                        <PRTPAGE P="57419"/>
                                        <GID>ER15SE11.015</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <GPH SPAN="3" DEEP="26">
                                            <GID>ER15SE11.016</GID>
                                        </GPH>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                             = elapsed time in the driving schedule as measured by the dynamometer, in seconds. 
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            Let 
                                            <E T="03">t</E>
                                            <E T="52">i-1</E>
                                             = 0.
                                        </FP>
                                        <GPH SPAN="1" DEEP="77">
                                            <GID>ER15SE11.017</GID>
                                        </GPH>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">T</E>
                                            <E T="52">i</E>
                                             = instantaneous measured torque at the transmission output shaft.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">f</E>
                                            <E T="52">n,i</E>
                                             = instantaneous measured angular speed of the transmission output shaft.
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (2) 
                                        <E T="03">Torque control.</E>
                                         Program dynamometers using torque control as described in this paragraph (e)(2).
                                    </P>
                                    <P>
                                        (i) Calculate the transmission output shaft's torque target, 
                                        <E T="03">T</E>
                                        <E T="52">refi</E>
                                        , using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="31">
                                        <GID>ER15SE11.018</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">FR</E>
                                            <E T="52">i</E>
                                             = total road load force at the surface of the roll, calculated using the equation in 40 CFR 1066.210(d)(4), as specified in paragraph (e)(2)(ii) of this section.
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (ii) Calculate the total road load force based on instantaneous speed values, 
                                        <E T="03">S</E>
                                        <E T="52">i</E>
                                        , calculated from the equation in paragraph (e)(1) of this section.
                                    </P>
                                    <P>(3) For each test, validate the measured transmission output shaft's speed or torque with the corresponding reference values according to 40 CFR 1065.514(e). You may delete points when the vehicle is braking or stopped. Perform the validation based on speed and torque values at the transmission output shaft. For steady-state tests (55 mph and 65 mph cruise), apply cycle-validation criteria by treating the sampling periods from the two tests as a continuous sampling period. Perform this validation based on the following parameters for either speed-control or torque-control, as applicable:</P>
                                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,r100,r100">
                                        <TTITLE>Table 1 of § 1037.550—Statistical Criteria for Validating Duty Cycles</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Parameter</CHED>
                                            <CHED H="1">Speed control</CHED>
                                            <CHED H="1">Torque control</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">
                                                Slope, 
                                                <E T="03">a</E>
                                                <E T="52">1</E>
                                            </ENT>
                                            <ENT>
                                                0.950 
                                                <E T="03">≤ a</E>
                                                <E T="52">1</E>
                                                  
                                                <E T="03">≤</E>
                                                 1.030
                                            </ENT>
                                            <ENT>
                                                0.950 
                                                <E T="03">≤ a</E>
                                                <E T="52">1</E>
                                                  
                                                <E T="03">≤</E>
                                                 1.030.
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                Absolute value of intercept, 
                                                <E T="03">a</E>
                                                <E T="52">0</E>
                                            </ENT>
                                            <ENT>
                                                <E T="03">≤</E>
                                                2.0% of maximum test speed
                                            </ENT>
                                            <ENT>
                                                <E T="03">≤</E>
                                                2.0% of maximum torque.
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                Standard error of estimate, 
                                                <E T="03">SEE</E>
                                            </ENT>
                                            <ENT>
                                                <E T="03">≤</E>
                                                5% of maximum test speed
                                            </ENT>
                                            <ENT>
                                                <E T="03">≤</E>
                                                10% of maximum torque.
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                Coefficient of determination, 
                                                <E T="03">r </E>
                                                <SU>2</SU>
                                            </ENT>
                                            <ENT>
                                                <E T="03">≥</E>
                                                0.970
                                            </ENT>
                                            <ENT>
                                                <E T="03">≥</E>
                                                0.850.
                                            </ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P> (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. The brake signal should be turned off when the torque measured at the transmission output shaft is less than the reference torque. Set a delay before changing the brake state using good engineering judgment to prevent the brake signal from dithering.</P>
                                    <P>(g) The driver model should be designed to follow the cycle as closely as possible and must meet the requirements of 40 CFR 1066.430(e) for transient testing and § 1037.510 for steady-state testing.</P>
                                    <P>(h) Correct for the net energy change of the energy storage device as described in 40 CFR 1066.501.</P>
                                    <P>(i) Follow the provisions of § 1037.510 to weight the cycle results and § 1037.615 to calculate improvement factors and benefits for advanced technologies.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart G—Special Compliance Provisions</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.601 </SECTNO>
                                    <SUBJECT>What compliance provisions apply to these vehicles?</SUBJECT>
                                    <P>(a) Engine and vehicle manufacturers, as well as owners and operators of vehicles subject to the requirements of this part, and all other persons, must observe the provisions of this part, the provisions of the Clean Air Act, and the following provisions of 40 CFR part 1068:</P>
                                    <P>(1) The exemption and importation provisions of 40 CFR part 1068, subparts C and D, apply for vehicles subject to this part 1037, except that the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicles.</P>
                                    <P>(2) Manufacturers may comply with the defect reporting requirements of 40 CFR 1068.501 instead of the defect reporting requirements of 40 CFR part 85.</P>
                                    <P>(b) Vehicles exempted from the applicable standards of 40 CFR part 86 are exempt from the standards of this part without request. Similarly, vehicles are exempt without request if the installed engine is exempted from the applicable standards in 40 CFR part 86.</P>
                                    <P>(c) The prohibitions of 40 CFR 86.1854 apply for vehicles subject to the requirements of this part. The actions prohibited under this provision include the introduction into U.S. commerce of a complete or incomplete vehicle subject to the standards of this part where the vehicle is not covered by a valid certificate of conformity or exemption.</P>
                                    <P>(d) Except as specifically allowed by this part, it is a violation of section 203(a)(1) of the Clean Air Act (42 U.S.C. 7522(a)(1)) to introduce into U.S. commerce a tractor containing an engine not certified for use in tractors; or to introduce into U.S. commerce a vocational vehicle containing a light heavy-duty or medium heavy-duty engine not certified for use in vocational vehicles. This prohibition applies especially to the vehicle manufacturer.</P>
                                    <P>
                                        (e) A vehicle manufacturer that completes assembly of a vehicle at two or more facilities may ask to use as the date of manufacture for that vehicle the date on which manufacturing is completed at the place of main assembly, consistent with provisions of 
                                        <PRTPAGE P="57420"/>
                                        49 CFR 567.4. Note that such staged assembly is subject to the provisions of 40 CFR 1068.260(c). Include your request in your application for certification, along with a summary of your staged-assembly process. You may ask to apply this allowance to some or all of the vehicles in your vehicle family. Our approval is effective when we grant your certificate. We will not approve your request if we determine that you intend to use this allowance to circumvent the intent of this part.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.610 </SECTNO>
                                    <SUBJECT>Vehicles with innovative technologies.</SUBJECT>
                                    <P>
                                        (a) You may ask us to apply the provisions of this section for CO
                                        <E T="52">2</E>
                                         emission reductions resulting from vehicle technologies that were not in common use with heavy-duty vehicles before model year 2010 that are not reflected in the GEM simulation tool. These provisions may be applied for CO
                                        <E T="52">2</E>
                                         emission reductions reflected using the specified test procedures, provided they are not reflected in the GEM. We will apply these provisions only for technologies that will result in measurable, demonstrable, and verifiable real-world CO
                                        <E T="52">2</E>
                                         emission reductions.
                                    </P>
                                    <P>(b) The provisions of this section may be applied as either an improvement factor or as a separate credit, consistent with good engineering judgment. We recommend that you base your credit/adjustment on A to B testing of pairs of vehicles differing only with respect to the technology in question.</P>
                                    <P>(1) Calculate improvement factors as the ratio of in-use emissions with the technology divided by the in-use emissions without the technology. Use the improvement-factor approach where good engineering judgment indicates that the actual benefit will be proportional to emissions measured over the test procedures specified in this part.</P>
                                    <P>(2) Calculate separate credits (g/ton-mile) based on the difference between the in-use emission rate with the technology and the in-use emission rate without the technology. Multiply this difference by the number of vehicles, standard payload, and useful life. Use the separate-credit approach where good engineering judgment indicates that the actual benefit will be not be proportional to emissions measured over the test procedures specified in this part.</P>
                                    <P>(3) We may require you to discount or otherwise adjust your improvement factor or credit to account for uncertainty or other relevant factors.</P>
                                    <P>(c) You may perform A to B testing by measuring emissions from the vehicles during chassis testing or from in-use on-road testing. We recommend that you perform on-road testing according to SAE J1321 Joint TMC/SAE Fuel Consumption Test Procedure Type II Reaffirmed 1986-10 or SAE J1526 Joint TMC/SAE Fuel Consumption In-Service Test Procedure Type III Issued 1987-06 (see § 1037.810 for information availability of SAE standards), subject to the following provisions:</P>
                                    <P>(1) The minimum route distance is 100 miles.</P>
                                    <P>(2) The route selected must be representative in terms of grade. We will take into account published and relevant research in determining whether the grade is representative.</P>
                                    <P>(3) The vehicle speed over the route must be representative of the drive-cycle weighting adopted for each regulatory subcategory. For example, if the route selected for an evaluation of a combination tractor with a sleeper cab contains only interstate driving, the improvement factor would apply only to 86 percent of the weighted result.</P>
                                    <P>(4) The ambient air temperature must be between 5 and 35°C, unless the technology requires other temperatures for demonstration.</P>
                                    <P>
                                        (5) We may allow you to use a Portable Emissions Measurement System (PEMS) device for measuring CO
                                        <E T="52">2</E>
                                         emissions during the on-road testing.
                                    </P>
                                    <P>(d) Send your request to the Designated Compliance Officer. Include a detailed description of the technology and a recommended test plan. Also state whether you recommend applying these provisions using the improvement-factor method or the separate-credit method. We recommend that you do not begin collecting test data (for submission to EPA) before contacting us. For technologies for which the engine manufacturer could also claim credits (such as transmissions in certain circumstances), we may require you to include a letter from the engine manufacturer stating that it will not seek credits for the same technology.</P>
                                    <P>(e) We may seek public comment on your request, consistent with the provisions of 40 CFR 86.1866. However, we will generally not seek public comment on credits or adjustments based on A to B chassis testing performed according to the duty-cycle testing requirements of this part or in-use testing performed according to paragraph (c) of this section.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.615 </SECTNO>
                                    <SUBJECT>Hybrid vehicles and other advanced technologies.</SUBJECT>
                                    <P>(a) This section applies for hybrid vehicles with regenerative braking, vehicles equipped with Rankine-cycle engines, electric vehicles, and fuel cell vehicles. You may not generate credits for engine features for which the engines generate credits under 40 CFR part 1036.</P>
                                    <P>(b) Generate advanced technology emission credits for hybrid vehicles that include regenerative braking (or the equivalent) and energy storage systems, fuel cell vehicles, and vehicles equipped with Rankine-cycle engines as follows:</P>
                                    <P>(1) Measure the effectiveness of the advanced system by chassis testing a vehicle equipped with the advanced system and an equivalent conventional vehicle. Test the vehicles as specified in subpart F of this part. For purposes of this paragraph (b), a conventional vehicle is considered to be equivalent if it has the same footprint (as defined in 40 CFR 86.1803), vehicle service class, aerodynamic drag, and other relevant factors not directly related to the hybrid powertrain. If you use § 1037.525 to quantify the benefits of a hybrid system for PTO operation, the conventional vehicle must have 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.</P>
                                    <P>(2) Calculate an improvement factor and g/ton-mile benefit using the following equations and parameters:</P>
                                    <P>(i) Improvement Factor = [(Emission Rate A)—(Emission Rate B)]/(Emission Rate A)</P>
                                    <P>(ii) g/ton-mile benefit = Improvement Factor × (GEM Result B)</P>
                                    <P>
                                        (iii) Emission Rates A and B are the g/ton-mile CO
                                        <E T="52">2</E>
                                         emission rates of the conventional and advanced vehicles, respectively, as measured under the test procedures specified in this section. GEM Result B is the g/ton-mile CO
                                        <E T="52">2</E>
                                         emission rate resulting from emission modeling of the advanced vehicle as specified in § 1037.520.
                                    </P>
                                    <P>(3) Use the equations of § 1037.705 to convert the g/ton-mile benefit to emission credits (in Mg). Use the g/ton-mile benefit in place of the (Std-FEL) term.</P>
                                    <P>(c) See § 1037.525 for special testing provisions related to hybrid vehicles equipped with power take-off units.</P>
                                    <P>(d) You may use an engineering analysis to calculate an improvement factor for fuel cell vehicles based on measured emissions from the fuel cell vehicle.</P>
                                    <P>
                                        (e) For electric vehicles, calculate CO
                                        <E T="52">2</E>
                                         credits using an FEL of 0 g/ton-mile.
                                        <PRTPAGE P="57421"/>
                                    </P>
                                    <P>(f) As specified in subpart H of this part, credits generated under this section may be used under this part 1037 outside of the averaging set in which they were generated or used under 40 CFR part 1036.</P>
                                    <P>(g) You may certify using both provisions of this section and the innovative technology provisions of § 1037.610, provided you do not double count emission benefits.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.620 </SECTNO>
                                    <SUBJECT>Shipment of incomplete vehicles to secondary vehicle manufacturers.</SUBJECT>
                                    <P>This section specifies how manufacturers may introduce partially complete vehicles into U.S. commerce.</P>
                                    <P>(a) The provisions of this section allow manufacturers to ship partially complete vehicles to secondary vehicle manufacturers or otherwise introduce them into U.S. commerce in the following circumstances:</P>
                                    <P>
                                        (1) 
                                        <E T="03">Tractors.</E>
                                         Manufacturers may introduce partially complete tractors into U.S. commerce if they are covered by a certificate of conformity for tractors and will be in their certified tractor configuration before they reach the ultimate purchasers. For example, this would apply for sleepers initially shipped without the sleeper compartments attached. Note that delegated assembly provisions may apply (see 40 CFR 1068.261).
                                    </P>
                                    <P>
                                        (2) 
                                        <E T="03">Vocational vehicles.</E>
                                         Manufacturers may introduce partially complete vocational vehicles into U.S. commerce if they are covered by a certificate of conformity for vocational vehicles and will be in their certified vocational configuration before they reach the ultimate purchasers. Note that delegated assembly provisions may apply (see 40 CFR 1068.261).
                                    </P>
                                    <P>
                                        (3) 
                                        <E T="03">Uncertified vehicles that will be certified by secondary vehicle manufacturers.</E>
                                         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.
                                    </P>
                                    <P>(b) The provisions of this paragraph (b) generally apply where the secondary vehicle manufacturer has substantial control over the design and assembly of emission controls. In determining whether a manufacturer has substantial control over the design and assembly of emission controls, we would consider the degree to which the secondary manufacturer would be able to ensure that the engine and vehicle will conform to the regulations in their final configurations.</P>
                                    <P>(1) A secondary manufacturer may finish assembly of partially complete vehicles in the following cases:</P>
                                    <P>(i) It obtains a vehicle that is not fully assembled with the intent to manufacture a complete vehicle in a certified configuration.</P>
                                    <P>(ii) It obtains a vehicle with the intent to modify it to a certified configuration before it reaches the ultimate purchaser. For example, this may apply for converting a gasoline-fueled vehicle to operate on natural gas under the terms of a valid certificate.</P>
                                    <P>(2) Manufacturers may introduce partially complete vehicles into U.S. commerce as described in this paragraph (b) if they have a written request for such vehicles from a secondary vehicle manufacturer that will finish the vehicle assembly and has certified the vehicle (or the vehicle has been exempted or excluded from the requirements of this part). The written request must include a statement that the secondary manufacturer has a certificate of conformity (or exemption/exclusion) for the vehicle and identify a valid vehicle family name associated with each vehicle model ordered (or the basis for an exemption/exclusion). The original vehicle manufacturer must apply a removable label meeting the requirements of 40 CFR 1068.45 that identifies the corporate name of the original manufacturer and states that the vehicle is exempt under the provisions of § 1037.620. The name of the certifying manufacturer must also be on the label or, alternatively, on the bill of lading that accompanies the vehicles during shipment. The original manufacturer may not apply a permanent emission control information label identifying the vehicle's eventual status as a certified vehicle.</P>
                                    <P>(3) If you are the secondary manufacturer and you will hold the certificate, you must include the following information in your application for certification:</P>
                                    <P>(i) Identify the original manufacturer of the partially complete vehicle or of the complete vehicle you will modify.</P>
                                    <P>(ii) Describe briefly how and where final assembly will be completed. Specify how you have the ability to ensure that the vehicles will conform to the regulations in their final configuration. (Note: This section prohibits using the provisions of this paragraph (b) unless you have substantial control over the design and assembly of emission controls.)</P>
                                    <P>(iii) State unconditionally that you will not distribute the vehicles without conforming to all applicable regulations.</P>
                                    <P>(4) If you are a secondary manufacturer and you are already a certificate holder for other families, you may receive shipment of partially complete vehicles after you apply for a certificate of conformity but before the certificate's effective date. This exemption allows the original manufacturer to ship vehicles after you have applied for a certificate of conformity. Manufacturers may introduce partially complete vehicles into U.S. commerce as described in this paragraph (b)(4) if they have a written request for such vehicles from a secondary manufacturer stating that the application for certification has been submitted (instead of the information we specify in paragraph (b)(2) of this section). We may set additional conditions under this paragraph (b)(4) to prevent circumvention of regulatory requirements.</P>
                                    <P>(5) Both original and secondary manufacturers must keep the records described in this section for at least five years, including the written request for exempted vehicles and the bill of lading for each shipment (if applicable). The written request is deemed to be a submission to EPA.</P>
                                    <P>(6)  These provisions are intended only to allow secondary manufacturers to obtain or transport vehicles in the specific circumstances identified in this section so any exemption under this section expires when the vehicle reaches the point of final assembly identified in paragraph (b)(3)(ii) of this section.</P>
                                    <P>(7) For purposes of this section, an allowance to introduce partially complete vehicles into U.S. commerce includes a conditional allowance to sell, introduce, or deliver such vehicles into commerce in the United States or import them into the United States. It does not include a general allowance to offer such vehicles for sale because this exemption is intended to apply only for cases in which the certificate holder already has an arrangement to purchase the vehicles from the original manufacturer. This exemption does not allow the original manufacturer to subsequently offer the vehicles for sale to a different manufacturer who will hold the certificate unless that second manufacturer has also complied with the requirements of this part. The exemption does not apply for any individual vehicles that are not labeled as specified in this section or which are shipped to someone who is not a certificate holder.</P>
                                    <P>(8) We may suspend, revoke, or void an exemption under this section, as follows:</P>
                                    <P>
                                        (i) We may suspend or revoke your exemption if you fail to meet the requirements of this section. We may suspend or revoke an exemption related to a specific secondary manufacturer if that manufacturer sells vehicles that are 
                                        <PRTPAGE P="57422"/>
                                        in not in a certified configuration in violation of the regulations. We may disallow this exemption for future shipments to the affected secondary manufacturer or set additional conditions to ensure that vehicles will be assembled in the certified configuration.
                                    </P>
                                    <P>(ii) We may void an exemption for all the affected vehicles if you intentionally submit false or incomplete information or fail to keep and provide to EPA the records required by this section.</P>
                                    <P>(iii) The exemption is void for a vehicle that is shipped to a company that is not a certificate holder or for a vehicle that is shipped to a secondary manufacturer that is not in compliance with the requirements of this section.</P>
                                    <P>(iv) The secondary manufacturer may be liable for penalties for causing a prohibited act where the exemption is voided due to actions on the part of the secondary manufacturer.</P>
                                    <P>(c) Provide instructions along with partially complete vehicles including all information necessary to ensure that an engine will be installed in its certified configuration.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.630 </SECTNO>
                                    <SUBJECT>Special purpose tractors.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">General provisions.</E>
                                         This section allows a vehicle manufacturer to reclassify certain tractors as vocational tractors. Vocational tractors are treated as vocational vehicles and are exempt from the standards of § 1037.106. Note that references to “tractors” outside of this section mean non-vocational tractors.
                                    </P>
                                    <P>(1) This allowance is intended only for vehicles that do not typically operate at highway speeds, or would otherwise not benefit from efficiency improvements designed for line-haul tractors. This allowance is limited to the following vehicle and application types:</P>
                                    <P>(i) Low-roof tractors intended for intra-city pickup and delivery, such as those that deliver bottled beverages to retail stores.</P>
                                    <P>(ii) Tractors intended for off-road operation (including mixed service operation), such as those with reinforced frames and increased ground clearance.</P>
                                    <P>(iii) Tractors with a GCWR over 120,000 pounds.</P>
                                    <P>(2) Where we determine that a manufacturer is not applying this allowance in good faith, we may require the manufacturer to obtain preliminary approval before using this allowance.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Requirements.</E>
                                         The following requirements apply with respect to tractors reclassified under this section:
                                    </P>
                                    <P>(1) The vehicle must fully conform to all requirements applicable to vocational vehicles under this part.</P>
                                    <P>(2) Vehicles reclassified under this section must be certified as a separate vehicle family. However, they remain part of the vocational regulatory sub-category and averaging set that applies for their weight class.</P>
                                    <P>(3) You must include the following additional statement on the vehicle's emission control information label under § 1037.135: “THIS VEHICLE WAS CERTIFIED AS A VOCATIONAL TRACTOR UNDER 40 CFR 1037.630.”.</P>
                                    <P>(4) You must keep records for three years to document your basis for believing the vehicles will be used as described in paragraph (a)(1) of this section. Include in your application for certification a brief description of your basis.</P>
                                    <P>
                                        (c) 
                                        <E T="03">Production limit.</E>
                                         No manufacturer may produce more than 21,000 vehicles under this section in any consecutive three model year period. This means you may not exceed 6,000 in a given model year if the combined total for the previous two years was 15,000. The production limit applies with respect to all Class 7 and Class 8 tractors certified or exempted as vocational tractors. Note that in most cases, the provisions of paragraph (a) of this section will limit the allowable number of vehicles to be a number lower than the production limit of this paragraph (c).
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Off-road exemption.</E>
                                         All the provisions of this section apply for vocational tractors exempted under § 1037.631, except as follows:
                                    </P>
                                    <P>(1) The vehicles are required to comply with the requirements of § 1037.631 instead of the requirements that would otherwise apply to vocational vehicles. Vehicles complying with the requirements of § 1037.631 and using an engine certified to the standards of 40 CFR part 1036 are deemed to fully conform to all requirements applicable to vocational vehicles under this part.</P>
                                    <P>(2) The vehicles must be labeled as specified under § 1037.631 instead of as specified in paragraph (b)(3) of this section.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.631 </SECTNO>
                                    <SUBJECT>Exemption for vocational vehicles intended for off-road use.</SUBJECT>
                                    <P>This section provides an exemption from the greenhouse gas standards of this part for certain vocational vehicles intended to be used extensively in off-road environments such as forests, oil fields, and construction sites. This section does not exempt the engine used in the vehicle from the standards of 40 CFR part 86 or part 1036. Note that you may not include these exempted vehicles in any credit calculations under this part.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Qualifying criteria.</E>
                                         Vocational vehicles intended for off-road use meeting either the criteria of paragraph (a)(1) or (a)(2) of this section are exempt without request, subject to the provisions of this section.
                                    </P>
                                    <P>(1) Vehicles are exempt if the tires installed on the vehicle have a maximum speed rating at or below 55 mph.</P>
                                    <P>(2) Vehicles are exempt if they were primarily designed to perform work off-road (such as in oil fields, forests, or construction sites), and they meet at least one of the criteria of paragraph (a)(2)(i) of this section and at least one of the criteria of paragraph (a)(2)(ii) of this section.</P>
                                    <P>
                                        (i) The vehicle must have affixed components designed to work in an off-road environment (
                                        <E T="03">i.e.,</E>
                                         hazardous material equipment or off-road drill equipment) or be designed to operate at low speeds such that it is unsuitable for normal highway operation.
                                    </P>
                                    <P>(ii) The vehicle must meet one of the following criteria:</P>
                                    <P>(A) Have an axle that has a gross axle weight rating (GAWR) of 29,000 pounds.</P>
                                    <P>(B) Have a speed attainable in 2 miles of not more than 33 mph.</P>
                                    <P>(C) Have a speed attainable in 2 miles of not more than 45 mph, an unloaded vehicle weight that is not less than 95 percent of its gross vehicle weight rating (GVWR), and no capacity to carry occupants other than the driver and operating crew.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Tractors.</E>
                                         The provisions of this section may apply for tractors only if each tractor qualifies as a vocational tractor under § 1037.630.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Recordkeeping and reporting.</E>
                                         (1) You must keep records to document that your exempted vehicle configurations meet all applicable requirements of this section. Keep these records for at least eight years after you stop producing the exempted vehicle model. We may review these records at any time.
                                    </P>
                                    <P>(2) You must also keep records of the individual exempted vehicles you produce, including the vehicle identification number and a description of the vehicle configuration.</P>
                                    <P>(3) Within 90 days after the end of each model year, you must send to the Designated Compliance Officer a report with the following information:</P>
                                    <P>(i) A description of each exempted vehicle configuration, including an explanation of why it qualifies for this exemption.</P>
                                    <P>(ii) The number of vehicles exempted for each vehicle configuration.</P>
                                    <P>
                                        (d) 
                                        <E T="03">Labeling.</E>
                                         You must include the following additional statement on the vehicle's emission control information label under § 1037.135: “THIS VEHICLE 
                                        <PRTPAGE P="57423"/>
                                        WAS EXEMPTED UNDER 40 CFR 1037.631.”.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.640 </SECTNO>
                                    <SUBJECT>Variable vehicle speed limiters.</SUBJECT>
                                    <P>This section specifies provisions that apply for vehicle speed limiters (VSLs) that you model under § 1037.520. This does not apply for VSLs that you do not model under § 1037.520.</P>
                                    <P>
                                        (a) 
                                        <E T="03">General.</E>
                                         The regulations of this part do not constrain how you may design VSLs for your vehicles. For example, you may design your VSL to have a single fixed speed limit or a soft-top speed limit. You may also design your VSL to expire after accumulation of a predetermined number of miles. However, designs with soft tops or expiration features are subject to proration provisions under this section that do not apply to fixed VSLs that do not expire.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Definitions.</E>
                                         The following definitions apply for purposes of this section:
                                    </P>
                                    <P>(1) Default speed limit means the speed limit that normally applies for the vehicle, except as follows:</P>
                                    <P>(i) The default speed limit for adjustable VSLs must represent the speed limit that applies when the VSL is adjusted to its highest setting under paragraph (c) of this section.</P>
                                    <P>(ii) For VSLs with soft tops, the default speed does not include speeds possible only during soft-top operation.</P>
                                    <P>(iii) For expiring VSLs, the default does not include speeds that are possible only after expiration.</P>
                                    <P>(2) Soft-top speed limit means the highest speed limit that applies during soft-top operation.</P>
                                    <P>(3) Maximum soft-top duration means the maximum amount of time that a vehicle could operate above the default speed limit.</P>
                                    <P>(4) Certified VSL means a VSL configuration that applies when a vehicle is new and until it expires.</P>
                                    <P>(5) Expiration point means the mileage at which a vehicle's certified VSL expires (or the point at which tamper protections expire).</P>
                                    <P>(6) Effective speed limit has the meaning given in paragraph (d) of this section.</P>
                                    <P>
                                        (c) 
                                        <E T="03">Adjustments.</E>
                                         You may design your VSL to be adjustable; however, this may affect the value you use in the GEM.
                                    </P>
                                    <P>(1) Except as specified in paragraph (c)(2) of this section, any adjustments that can be made to the engine, vehicle, or their controls that change the VSL's actual speed limit are considered to be adjustable operating parameters. Compliance is based on the vehicle being adjusted to the highest speed limit within this range.</P>
                                    <P>(2) The following adjustments are not adjustable parameters:</P>
                                    <P>(i) Adjustments made only to account for changing tire size or final drive ratio.</P>
                                    <P>(ii) Adjustments protected by encrypted controls or passwords.</P>
                                    <P>(iii) Adjustments possible only after the VSL's expiration point.</P>
                                    <P>
                                        (d) 
                                        <E T="03">Effective speed limit.</E>
                                         (1) For VSLs without soft tops or expiration points that expire before 1,259,000 miles, the effective speed limit is the highest speed limit that results by adjusting the VSL or other vehicle parameters consistent with the provisions of paragraph (c) of this section.
                                    </P>
                                    <P>(2) For VSLs with soft tops and/or expiration points, the effective speed limit is calculated as specified in this paragraph (d)(2), which is based on 10 hours of operation per day (394 miles per day for day cabs and 551 miles per day for sleeper cabs). Note that this calculation assumes that a fraction of this operation is speed limited (3.9 hours and 252 miles for day cabs, and 7.3 hours and 474 miles for sleeper cabs). Use the following equation to calculate the effective speed limit, rounded to the nearest 0.1 mph:</P>
                                    <FP SOURCE="FP-2">Effective speed = ExF * [STF* STSL + (1-STF) * DSL] + (1-ExF)*65 mph</FP>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">ExF = expiration point miles/1,259,000 miles</FP>
                                        <FP SOURCE="FP-2">STF = maximum number of allowable soft top operation hours per day/3.9 hours for day cabs (or maximum miles per day/252)</FP>
                                        <FP SOURCE="FP-2">STF = maximum number of allowable soft top operation hours per day/7.3 hours for sleeper cabs (or maximum miles per day/474)</FP>
                                        <FP SOURCE="FP-2">STSL = the soft top speed limit</FP>
                                        <FP SOURCE="FP-2">DSL = the default speed limit</FP>
                                    </EXTRACT>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.645 </SECTNO>
                                    <SUBJECT>In-use compliance with family emission limits (FELs).</SUBJECT>
                                    <P>You may ask us to apply a higher in-use FEL for certain in-use vehicles, subject to the provisions of this section. Note that § 1037.225 contains provisions related to changing FELs during a model year.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Purpose.</E>
                                         This section is intended to address circumstances in which it is in the public interest to apply a higher in-use FEL based on forfeiting an appropriate number of emission credits.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">FELs.</E>
                                         We may apply higher in-use FELs to your vehicles as follows:
                                    </P>
                                    <P>(1) Where your vehicle family includes more than one sub-family with different FELs, we may apply a higher FEL within the family than was applied to the vehicle's configuration in your final ABT report. For example, if your vehicle family included three sub-families with FELs of 200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-mile, we may apply a 220 g/ton-mile in-use FEL to vehicles that were originally designated as part of the 200 g/ton-mile or 210 g/ton-mile sub-families.</P>
                                    <P>(2) Without regard to the number of sub-families in your certified vehicle family, we may specify new sub-families with higher FELs than were included in your final ABT report. We may apply these higher FELs as in-use FELs for your vehicles. For example, if your vehicle family included three sub-families with FELs of 200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-mile, we may specify a new 230 g/ton-mile sub-family.</P>
                                    <P>(3) In specifying sub-families and in-use FELs, we would intend to accurately reflect the actual in-use performance of your vehicles, consistent with the specified testing and modeling provisions of this part.</P>
                                    <P>
                                        (c) 
                                        <E T="03">Equivalent families.</E>
                                         We may apply the higher FELs to other families in other model years if they used equivalent emission controls.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Credit forfeiture.</E>
                                         Where we specify higher in-use FELs under this section, you must forfeit CO
                                        <E T="52">2</E>
                                         emission credits based on the difference between the in-use FEL and the otherwise applicable FEL. Calculate the amount of credits to be forfeited using the applicable equation in § 1037.705, by substituting the otherwise applicable FEL for the standard and the in-use FEL for the otherwise applicable FEL.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Requests.</E>
                                         Submit your request to the Designated Compliance Officer. Include the following in your request:
                                    </P>
                                    <P>(1) The vehicle family name, model year, and name/description of the configuration(s) affected.</P>
                                    <P>(2) A list of other vehicle families/configurations/model years that may be affected.</P>
                                    <P>(3) The otherwise applicable FEL for each configuration along with your recommendations for higher in-use FELs.</P>
                                    <P>(4) Your source of credits for forfeiture.</P>
                                    <P>
                                        (f) 
                                        <E T="03">Relation to recall.</E>
                                         You may not request higher in-use FELs for any vehicle families for which we have made a determination of nonconformance and ordered a recall. You may, however, make such requests for vehicle families for which you are performing a voluntary emission recall.
                                    </P>
                                    <P>
                                        (g) 
                                        <E T="03">Approval.</E>
                                         We may approve your request if we determine that you meet the requirements of this section and such approval is in the public interest. We may include appropriate conditions with our approval or we may approve your request with modifications.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.650 </SECTNO>
                                    <SUBJECT>Tire manufacturers.</SUBJECT>
                                    <P>
                                        This section describes how the requirements of this part apply with 
                                        <PRTPAGE P="57424"/>
                                        respect to tire manufacturers that choose to provide test data or emission warranties for purposes of this part.
                                    </P>
                                    <P>
                                        (a) 
                                        <E T="03">Testing.</E>
                                         You are responsible as follows for test tires and emission test results that you provide to vehicle manufacturers for the purpose of the manufacturer submitting them to EPA for certification under this part:
                                    </P>
                                    <P>(1) Such test results are deemed under § 1037.825 to be submissions to EPA. This means that you may be subject to criminal penalties under 18 U.S.C. 1001 if you knowingly submit false test results to the manufacturer.</P>
                                    <P>(2) You may not cause a vehicle manufacturer to violate the regulations by rendering inaccurate emission test results you provide (or emission test results from testing of test tires you provide) to the vehicle manufacturer.</P>
                                    <P>(3) Your provision of test tires and emission test results to vehicle manufacturers for the purpose of certifying under this part is deemed to be an agreement to provide tires to EPA for confirmatory testing under § 1037.201.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Warranty.</E>
                                         You may contractually agree to process emission warranty claims on behalf of the manufacturer certifying the vehicle with respect to tires you produce.
                                    </P>
                                    <P>(1) Your fulfillment of the warranty requirements of this part is deemed to fulfill the vehicle manufacturer's warranty obligations under this part with respect to tires you warrant.</P>
                                    <P>(2) You may not cause a vehicle manufacturer to violate the regulations by failing to fulfill the emission warranty requirements that you contractually agreed to fulfill.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.655 </SECTNO>
                                    <SUBJECT>Post-useful life vehicle modifications.</SUBJECT>
                                    <P>This section specifies vehicle modifications that may occur after a vehicle reaches the end of its regulatory useful life. It does not apply with respect to modifications that occur within the useful life period. It also does not apply with respect to engine modifications or recalibrations. Note that many such modifications to the vehicle during the useful life and to the engine at any time are presumed to violate 42 U.S.C. 7522(a)(3)(A).</P>
                                    <P>
                                        (a) 
                                        <E T="03">General.</E>
                                         Except as allowed by this section, it is prohibited for any person to remove or render inoperative any emission control device installed to comply with the requirements of this part 1037.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Allowable modifications.</E>
                                         You may modify a vehicle for the purpose of reducing emissions, provided you have a reasonable technical basis for knowing that such modification will not increase emissions of any other pollutant. Reasonable technical basis has the meaning given in 40 CFR 1068.30. This generally requires you to have information that would lead an engineer or other person familiar with engine and vehicle design and function to reasonably believe that the modifications will not increase emissions of any regulated pollutant.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Examples of allowable modifications.</E>
                                         The following are examples of allowable modifications:
                                    </P>
                                    <P>(1) It is generally allowable to remove tractor roof fairings after the end of the vehicle's useful life if the vehicle will no longer be used primarily to pull box trailers.</P>
                                    <P>(2) Other fairings may be removed after the end of the vehicle's useful life if the vehicle will no longer be used significantly on highways with vehicle speed of 55 miles per hour or higher.</P>
                                    <P>
                                        (d) 
                                        <E T="03">Examples of prohibited modifications.</E>
                                         The following are examples of modifications that are not allowable:
                                    </P>
                                    <P>(1) No person may disable a vehicle speed limiter prior to its expiration point.</P>
                                    <P>(2) No person may remove aerodynamic fairings from tractors that are used primarily to pull box trailers on highways.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.660 </SECTNO>
                                    <SUBJECT>Automatic engine shutdown systems.</SUBJECT>
                                    <P>This section specifies requirements that apply for certified automatic engine shutdown systems (AES) that are modeled under § 1037.520. It does not apply for AES systems that you do not model under § 1037.520.</P>
                                    <P>
                                        (a) 
                                        <E T="03">Minimum requirements.</E>
                                         Your AES system must meet all of the requirements of this paragraph (a) to be modeled under § 1037.520. The system must shut down the engine within 300 seconds when all the following conditions are met:
                                    </P>
                                    <P>(1) The transmission is set in neutral with the parking brake engaged (or the transmission is set to park if so equipped).</P>
                                    <P>(2) The operator has not reset the system timer within the 300 seconds by changing the position of the accelerator, brake, or clutch pedal; or by some other mechanism we approve.</P>
                                    <P>(3) None of the override conditions of paragraph (b) of this section are met.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Override conditions.</E>
                                         The system may delay shutting the engine down while any of the conditions of this paragraph (b) apply. Engines equipped with auto restart may restart during override conditions. Note that these conditions allow the system to delay shutdown or restart, but do not allow it to reset the timer. The system may delay shutdown—
                                    </P>
                                    <P>(1) While an exhaust emission control device is regenerating. The period considered to be regeneration for purposes of this allowance must be consistent with good engineering judgment and may differ in length from the period considered to be regeneration for other purposes. For example, in some cases it may be appropriate to include a cool down period for this purpose but not for infrequent regeneration adjustment factors.</P>
                                    <P>(2) If necessary while servicing the vehicle, provided the deactivation of the AES system is accomplished using a diagnostic scan tool. The system must be automatically reactivated when the engine is shutdown for more than 60 minutes.</P>
                                    <P>(3) If the vehicle's main battery state-of-charge is not sufficient to allow the main engine to be restarted.</P>
                                    <P>(4) If the external ambient temperature reaches a level below which or above which the cabin temperature cannot be maintained within reasonable heat or cold exposure threshold limit values for the health and safety of the operator (not merely comfort).</P>
                                    <P>(5) If the vehicle's engine coolant temperature is too low according to the manufacturer's engine protection guidance. This may also apply for fuel or oil temperatures. This allows the engine to continue operating until it reaches a predefined temperature at which the shutdown sequence of paragraph (a) of this section would resume.</P>
                                    <P>(6) The system may delay shutdown while the vehicle's main engine is operating in power take-off (PTO) mode. For purposes of this paragraph (b)(6), an engine is considered to be in PTO mode when a switch or setting designating PTO mode is enabled.</P>
                                    <P>
                                        (c) 
                                        <E T="03">Expiration of AES systems.</E>
                                         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 expiring AES system that expires before 1,259,000 miles adjust the model input as follows:
                                    </P>
                                    <FP SOURCE="FP-2">
                                        Input = 5 g CO
                                        <E T="52">2</E>
                                        /ton-mile × (miles at expiration/1,259,000 miles)
                                    </FP>
                                    <P>
                                        (d) 
                                        <E T="03">Adjustable parameters.</E>
                                         Provisions that apply generally with respect to adjustable parameters also apply to the AES system operating parameters, except the following are not considered to be adjustable parameters:
                                    </P>
                                    <P>
                                        (1) Accelerator, brake, and clutch pedals, with respect to resetting the idle timer. Parameters associated with other timer reset mechanisms we approve are also not adjustable parameters.
                                        <PRTPAGE P="57425"/>
                                    </P>
                                    <P>(2) Bypass parameters allowed for vehicle service under paragraph (b)(2) of this section.</P>
                                    <P>(3) Parameters that are adjustable only after the expiration point.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart H—Averaging, Banking, and Trading for Certification</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.701 </SECTNO>
                                    <SUBJECT>General provisions.</SUBJECT>
                                    <P>(a) You may average, bank, and trade (ABT) emission credits for purposes of certification as described in this subpart and in subpart B of this part to show compliance with the standards of §§ 1037.105 and 1037.106. Participation in this program is voluntary.</P>
                                    <P>(b) The definitions of Subpart I of this part apply to this subpart. The following definitions also apply:</P>
                                    <P>
                                        (1) 
                                        <E T="03">Actual emission credits</E>
                                         means emission credits you have generated that we have verified by reviewing your final report.
                                    </P>
                                    <P>
                                        (2) 
                                        <E T="03">Averaging set</E>
                                         means a set of vehicles in which emission credits may be exchanged. Credits generated by one vehicle may only be used by other vehicles in the same averaging set. Note that an averaging set may comprise more than one regulatory subcategory. See § 1037.740.
                                    </P>
                                    <P>
                                        (3) 
                                        <E T="03">Broker</E>
                                         means any entity that facilitates a trade of emission credits between a buyer and seller.
                                    </P>
                                    <P>
                                        (4) 
                                        <E T="03">Buyer</E>
                                         means the entity that receives emission credits as a result of a trade.
                                    </P>
                                    <P>
                                        (5) 
                                        <E T="03">Reserved emission credits</E>
                                         means emission credits you have generated that we have not yet verified by reviewing your final report.
                                    </P>
                                    <P>
                                        (6) 
                                        <E T="03">Seller</E>
                                         means `the entity that provides emission credits during a trade.
                                    </P>
                                    <P>
                                        (7) 
                                        <E T="03">Standard</E>
                                         means the emission standard that applies under subpart B of this part for vehicles not participating in the ABT program of this subpart.
                                    </P>
                                    <P>
                                        (8) 
                                        <E T="03">Trade</E>
                                         means to exchange emission credits, either as a buyer or seller.
                                    </P>
                                    <P>(c) Emission credits may be exchanged only within an averaging set as specified in § 1037.740.</P>
                                    <P>(d) You may not use emission credits generated under this subpart to offset any emissions that exceed an FEL or standard, except as allowed by § 1037.645.</P>
                                    <P>(e) You may trade emission credits generated from any number of your vehicles to the vehicle purchasers or other parties to retire the credits. Identify any such credits in the reports described in § 1037.730. Vehicles must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (e). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards.</P>
                                    <P>(f) Emission credits may be used in the model year they are generated. Surplus emission credits may be banked for future model years. Surplus emission credits may sometimes be used for past model years, as described in § 1037.745.</P>
                                    <P>(g) You may increase or decrease an FEL during the model year by amending your application for certification under § 1037.225. The new FEL may apply only to vehicles you have not already introduced into commerce.</P>
                                    <P>(h) See § 1037.740 for special credit provisions that apply for credits generated under § 1037.104(d)(7), § 1037.615 or 40 CFR 1036.615.</P>
                                    <P>
                                        (i) Unless the regulations explicitly allow it, you may not calculate credits more than once for any emission reduction. For example, if you generate CO
                                        <E T="52">2</E>
                                         emission credits for a given hybrid vehicle under this part, no one may generate CO
                                        <E T="52">2</E>
                                         emission credits for the hybrid engine under 40 CFR part 1036. However, credits could be generated for identical engine used in vehicles that did not generate credits under this part.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.705 </SECTNO>
                                    <SUBJECT>Generating and calculating emission credits.</SUBJECT>
                                    <P>(a) The provisions of this section apply separately for calculating emission credits for each pollutant.</P>
                                    <P>(b) For each participating family or subfamily, calculate positive or negative emission credits relative to the otherwise applicable emission standard. Calculate positive emission credits for a family or subfamily that has an FEL below the standard. Calculate negative emission credits for a family or subfamily that has an FEL above the standard. Sum your positive and negative credits for the model year before rounding. Round the sum of emission credits to the nearest megagram (Mg), using consistent units throughout the following equations:</P>
                                    <P>(1) For vocational vehicles:</P>
                                    <FP SOURCE="FP-2">
                                        Emission credits (Mg) = (Std-FEL) × (Payload Tons) × (Volume) × (UL) × (10
                                        <E T="51">-6</E>
                                        )
                                    </FP>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">Std = the emission standard associated with the specific tractor regulatory subcategory (g/ton-mile).</FP>
                                        <FP SOURCE="FP-2">FEL = the family emission limit for the vehicle subfamily (g/ton-mile).</FP>
                                        <FP SOURCE="FP-2">Payload tons = the prescribed payload for each class in tons (2.85 tons for light heavy-duty vehicles, 5.6 tons for medium heavy-duty vehicles, and 7.5 tons for heavy heavy-duty vehicles).</FP>
                                        <FP SOURCE="FP-2">Volume = U.S.-directed production volume of the vehicle subfamily. For example, if you produce three configurations with the same FEL, the subfamily production volume would be the sum of the production volumes for these three configurations.</FP>
                                        <FP SOURCE="FP-2">UL = useful life of the vehicle (110,000 miles for light heavy-duty vehicles, 185,000 miles for medium heavy-duty vehicles, and 435,000 miles for heavy heavy-duty vehicles).</FP>
                                    </EXTRACT>
                                    <P>(2) For tractors:</P>
                                    <FP SOURCE="FP-2">
                                        Emission credits (Mg) = (Std-FEL) × (Payload tons) × (Volume) × (UL) × (10
                                        <E T="51">-6</E>
                                        )
                                    </FP>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">Std = the emission standard associated with the specific tractor regulatory subcategory (g/ton-mile).</FP>
                                        <FP SOURCE="FP-2">FEL = the family emission limit for the vehicle subfamily (g/ton-mile).</FP>
                                        <FP SOURCE="FP-2">Payload tons = the prescribed payload for each class in tons (12.5 tons for Class 7 and 19 tons for Class 8).</FP>
                                        <FP SOURCE="FP-2">Volume = U.S.-directed production volume of the vehicle subfamily.</FP>
                                        <FP SOURCE="FP-2">UL = useful life of the tractor (435,000 miles for Class 8 and 185,000 miles for Class 7).</FP>
                                    </EXTRACT>
                                    <P>(c) As described in § 1037.730, compliance with the requirements of this subpart is determined at the end of the model year based on actual U.S.-directed production volumes. Keep appropriate records to document these production volumes. Do not include any of the following vehicles to calculate emission credits:</P>
                                    <P>
                                        (1) Vehicles that you do not certify to the CO
                                        <E T="52">2</E>
                                         standards of this part because they are permanently exempted under subpart G of this part or under 40 CFR part 1068.
                                    </P>
                                    <P>(2) Exported vehicles.</P>
                                    <P>(3) Vehicles not subject to the requirements of this part, such as those excluded under § 1037.5.</P>
                                    <P>(4) Any other vehicles, where we indicate elsewhere in this part 1037 that they are not to be included in the calculations of this subpart.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.710 </SECTNO>
                                    <SUBJECT>Averaging.</SUBJECT>
                                    <P>(a) Averaging is the exchange of emission credits among your vehicle families. You may average emission credits only within the same averaging set.</P>
                                    <P>(b) You may certify one or more vehicle families (or subfamilies) to an FEL above the applicable standard, subject to any applicable FEL caps and other provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero or that a negative balance is allowed under § 1037.745.</P>
                                    <P>
                                        (c) If you certify a vehicle family to an FEL that exceeds the otherwise applicable standard, you must obtain 
                                        <PRTPAGE P="57426"/>
                                        enough emission credits to offset the vehicle family's deficit by the due date for the final report required in § 1037.730. The emission credits used to address the deficit may come from your other vehicle families that generate emission credits in the same model year (or from later model years as specified in § 1037.745), from emission credits you have banked, or from emission credits you obtain through trading.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.715 </SECTNO>
                                    <SUBJECT>Banking.</SUBJECT>
                                    <P>(a) Banking is the retention of surplus emission credits by the manufacturer generating the emission credits for use in future model years for averaging or trading.</P>
                                    <P>(b) You may designate any emission credits you plan to bank in the reports you submit under § 1037.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging or trading.</P>
                                    <P>(c) Reserved credits become actual emission credits when you submit your final report. However, we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records.</P>
                                    <P>(d) Banked credits retain the designation of the averaging set in which they were generated.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.720 </SECTNO>
                                    <SUBJECT>Trading.</SUBJECT>
                                    <P>(a) Trading is the exchange of emission credits between manufacturers, or the transfer of credits to another party to retire them. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits remain subject to the averaging-set restrictions based on the averaging set in which they were generated.</P>
                                    <P>(b) You may trade actual emission credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits. You may trade banked credits within an averaging set to any certifying manufacturer.</P>
                                    <P>(c) If a negative emission credit balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See § 1037.255(e) for cases involving fraud. We may void the certificates of all vehicle families participating in a trade that results in a manufacturer having a negative balance of emission credits. See § 1037.745.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.725 </SECTNO>
                                    <SUBJECT>What must I include in my application for certification?</SUBJECT>
                                    <P>(a) You must declare in your application for certification your intent to use the provisions of this subpart for each vehicle family that will be certified using the ABT program. You must also declare the FELs you select for the vehicle family or subfamily for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs must be expressed to the same number of decimal places as the applicable standards.</P>
                                    <P>(b) Include the following in your application for certification:</P>
                                    <P>(1) A statement that, to the best of your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year; or a statement that you will have a negative balance of emission credits for one or more averaging sets but that it is allowed under § 1037.745.</P>
                                    <P>(2) Calculations of projected emission credits (positive or negative) based on projected U.S.-directed production volumes. We may require you to include similar calculations from your other vehicle families to project your net credit balances for the model year. If you project negative emission credits for a family or subfamily, state the source of positive emission credits you expect to use to offset the negative emission credits.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.730 </SECTNO>
                                    <SUBJECT>ABT reports.</SUBJECT>
                                    <P>(a) If any of your vehicle families are certified using the ABT provisions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the model year.</P>
                                    <P>(b) Your end-of-year and final reports must include the following information for each vehicle family participating in the ABT program:</P>
                                    <P>(1) Vehicle-family and subfamily designations.</P>
                                    <P>(2) The regulatory subcategory and emission standards that would otherwise apply to the vehicle family.</P>
                                    <P>(3) The FEL for each pollutant. If you change the FEL after the start of production, identify the date that you started using the new FEL and/or give the vehicle identification number for the first vehicle covered by the new FEL. In this case, identify each applicable FEL and calculate the positive or negative emission credits as specified in § 1037.225.</P>
                                    <P>(4) The projected and actual U.S.-directed production volumes for the model year. If you changed an FEL during the model year, identify the actual production volume associated with each FEL.</P>
                                    <P>(5) Useful life.</P>
                                    <P>(6) Calculated positive or negative emission credits for the whole vehicle family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section.</P>
                                    <P>(7) If you have a negative credit balance for the averaging set in the given model year, specify whether the vehicle family (or certain subfamilies with the vehicle family) have a credit deficit for the year. Consider for example, a manufacturer with three vehicle families (“A”, “B”, and “C”) in a given averaging set. If family A generates enough credits to offset the negative credits of family B but not enough to also offset the negative credits of family C (and the manufacturer has no banked credits in the averaging set), the manufacturer may designate families A and B as having no deficit for the model year, provided it designates family C as having a deficit for the model year.</P>
                                    <P>(c) Your end-of-year and final reports must include the following additional information:</P>
                                    <P>(1) Show that your net balance of emission credits from all your participating vehicle families in each averaging set in the applicable model year is not negative, except as allowed under § 1037.745.</P>
                                    <P>(2) State whether you will reserve any emission credits for banking.</P>
                                    <P>(3) State that the report's contents are accurate.</P>
                                    <P>(d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows:</P>
                                    <P>(1) As the seller, you must include the following information in your report:</P>
                                    <P>(i) The corporate names of the buyer and any brokers.</P>
                                    <P>(ii) A copy of any contracts related to the trade.</P>
                                    <P>(iii) The vehicle families that generated emission credits for the trade, including the number of emission credits from each family.</P>
                                    <P>(2) As the buyer, you must include the following information in your report:</P>
                                    <P>(i) The corporate names of the seller and any brokers.</P>
                                    <P>(ii) A copy of any contracts related to the trade.</P>
                                    <P>(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply to each vehicle family (if known).</P>
                                    <P>
                                        (e) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, 
                                        <PRTPAGE P="57427"/>
                                        send us a written request with justification for a waiver.
                                    </P>
                                    <P>(f) Correct errors in your end-of-year report or final report as follows:</P>
                                    <P>(1) You may correct any errors in your end-of-year report when you prepare the final report, as long as you send us the final report by the time it is due.</P>
                                    <P>(2) If you or we determine within 270 days after the end of the model year that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (f)(2).</P>
                                    <P>(3) If you or we determine anytime that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.735 </SECTNO>
                                    <SUBJECT>Recordkeeping.</SUBJECT>
                                    <P>(a) You must organize and maintain your records as described in this section. We may review your records at any time.</P>
                                    <P>(b) Keep the records required by this section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any vehicles if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.</P>
                                    <P>(c) Keep a copy of the reports we require in §§ 1037.725 and 1037.730.</P>
                                    <P>(d) Keep records of the vehicle identification number for each vehicle you produce that generates or uses emission credits under the ABT program. You may identify these numbers as a range. If you change the FEL after the start of production, identify the date you started using each FEL and the range of vehicle identification numbers associated with each FEL. You must also identify the purchaser and destination for each vehicle you produce to the extent this information is available.</P>
                                    <P>(e) We may require you to keep additional records or to send us relevant information not required by this section in accordance with the Clean Air Act.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.740 </SECTNO>
                                    <SUBJECT>Restrictions for using emission credits.</SUBJECT>
                                    <P>The following restrictions apply for using emission credits:</P>
                                    <P>
                                        (a) 
                                        <E T="03">Averaging sets.</E>
                                         Except as specified in paragraph (b) of this section, emission credits may be exchanged only within an averaging set. There are three principal averaging sets for vehicles subject to this subpart.
                                    </P>
                                    <P>(1) Vehicles at or below 19,500 pounds GVWR that are subject to the standards of § 1037.105.</P>
                                    <P>(2) Vehicles above 19,500 pounds GVWR but at or below 33,000 pounds GVWR.</P>
                                    <P>(3) Vehicles over 33,000 pounds GVWR.</P>
                                    <P>(4) Note that other separate averaging sets also apply for emission credits not related to this subpart. For example, under § 1037.104, an additional averaging set comprises all vehicles subject to the standards of that section. Separate averaging sets also apply for engines under 40 CFR part 1036, including engines used in vehicles subject to this subpart.</P>
                                    <P>
                                        (b) 
                                        <E T="03">Credits from hybrid vehicles and other advanced technologies.</E>
                                         The averaging set restrictions of paragraph (a) of this section do not apply for credits generated under § 1037.104(d)(7), § 1037.615 or 40 CFR 1036.615 from hybrid vehicles with regenerative braking, or from other advanced technologies.
                                    </P>
                                    <P>(1) The maximum amount of credits you may bring into the following service class groups is 60,000 Mg per model year:</P>
                                    <P>(i) Spark-ignition engines, light heavy-duty compression-ignition engines, and light heavy-duty vehicles. This group comprises the averaging set listed in paragraphs (a)(1) of this section and the averaging set listed in 40 CFR 1036.740(a)(1) and (2).</P>
                                    <P>(ii) Medium heavy-duty compression-ignition engines and medium heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(2) of this section and 40 CFR 1036.740(a)(3).</P>
                                    <P>(iii) Heavy heavy-duty compression-ignition engines and heavy heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(3) of this section and 40 CFR 1036.740(a)(4).</P>
                                    <P>(2) The limit specified in paragraph (b)(1) of this section does not limit the amount of advanced technology credits that can be used within a service class group if they were generated in that same service class group.</P>
                                    <P>
                                        (c) C
                                        <E T="03">redit life.</E>
                                         Credits expire after five years.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Other restrictions.</E>
                                         Other sections of this part specify additional restrictions for using emission credits under certain special provisions.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.745 </SECTNO>
                                    <SUBJECT>
                                        End-of-year CO
                                        <E T="52">2</E>
                                         credit deficits.
                                    </SUBJECT>
                                    <P>Except as allowed by this section, we may void the certificate of any vehicle family certified to an FEL above the applicable standard for which you do not have sufficient credits by the deadline for submitting the final report.</P>
                                    <P>
                                        (a) Your certificate for a vehicle family for which you do not have sufficient CO
                                        <E T="52">2</E>
                                         credits will not be void if you remedy the deficit with surplus credits within three model years. For example, if you have a credit deficit of 500 Mg for a vehicle family at the end of model year 2015, you must generate (or otherwise obtain) a surplus of at least 500 Mg in that same averaging set by the end of model year 2018.
                                    </P>
                                    <P>(b) You may apply only surplus credits to your deficit. You may not apply credits to a deficit from an earlier model year if they were generated in a model year for which any of your vehicle families for that averaging set had an end-of-year credit deficit.</P>
                                    <P>
                                        (c) If you do not remedy the deficit with surplus credits within three model years, we may void your certificate for that vehicle family. Note that voiding a certificate applies 
                                        <E T="03">ab initio.</E>
                                         Where the net deficit is less than the total amount of negative credits originally generated by the family, we will void the certificate only with respect to the number of vehicles needed to reach the amount of the net deficit. For example, if the original vehicle family generated 500 Mg of negative credits, and the manufacturer's net deficit after three years was 250 Mg, we would void the certificate with respect to half of the vehicles in the family.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.750 </SECTNO>
                                    <SUBJECT>What can happen if I do not comply with the provisions of this subpart?</SUBJECT>
                                    <P>(a) For each vehicle family participating in the ABT program, the certificate of conformity is conditioned upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for a vehicle family if you fail to comply with any provisions of this subpart.</P>
                                    <P>
                                        (b) You may certify your vehicle family or subfamily to an FEL above an applicable standard based on a projection that you will have enough emission credits to offset the deficit for the vehicle family. See § 1037.745 for provisions specifying what happens if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in a vehicle family.
                                        <PRTPAGE P="57428"/>
                                    </P>
                                    <P>(c) We may void the certificate of conformity for a vehicle family if you fail to keep records, send reports, or give us information we request. Note that failing to keep records, send reports, or give us information we request is also a violation of 42 U.S.C. 7522(a)(2).</P>
                                    <P>(d) You may ask for a hearing if we void your certificate under this section (see § 1037.820).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.755 </SECTNO>
                                    <SUBJECT>Information provided to the Department of Transportation.</SUBJECT>
                                    <P>
                                        After receipt of each manufacturer's final report as specified in § 1037.730 and completion of any verification testing required to validate the manufacturer's submitted final data, we will issue a report to the Department of Transportation with CO
                                        <E T="52">2</E>
                                         emission information and will verify the accuracy of each manufacturer's equivalent fuel consumption data required by NHTSA under 49 CFR 535.8. We will send a report to DOT for each vehicle manufacturer based on each regulatory category and subcategory, including sufficient information for NHTSA to determine fuel consumption and associated credit values. See 49 CFR 535.8 to determine if NHTSA deems submission of this information to EPA to also be a submission to NHTSA.
                                    </P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart I—Definitions and Other Reference Information</HD>
                                <SECTION>
                                    <SECTNO>§ 1037.801 </SECTNO>
                                    <SUBJECT>Definitions.</SUBJECT>
                                    <P>The following definitions apply to this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Act gives to them. The definitions follow:</P>
                                    <P>
                                        <E T="03">A to B testing</E>
                                         means testing performed in pairs to allow comparison of vehicle A to vehicle B.
                                    </P>
                                    <P>
                                        <E T="03">Act</E>
                                         means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
                                    </P>
                                    <P>
                                        <E T="03">Adjustable parameter</E>
                                         means any device, system, or element of design that someone can adjust (including those which are difficult to access) and that, if adjusted, may affect measured or modeled emissions (as applicable). You may ask us to exclude a parameter that is difficult to access if it cannot be adjusted to affect emissions without significantly degrading vehicle performance, or if you otherwise show us that it will not be adjusted in a way that affects emissions during in-use operation.
                                    </P>
                                    <P>
                                        <E T="03">Adjusted Loaded Vehicle Weight</E>
                                         means the numerical average of vehicle curb weight and GVWR.
                                    </P>
                                    <P>
                                        <E T="03">Advanced technology</E>
                                         means vehicle technology certified under § 1037.615, § 1037.104(d)(7), or 40 CFR 1036.615.
                                    </P>
                                    <P>
                                        <E T="03">Aftertreatment</E>
                                         means relating to a catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emissions in the vehicle exhaust before it is exhausted to the environment. Exhaust-gas recirculation (EGR) and turbochargers are not aftertreatment.
                                    </P>
                                    <P>
                                        <E T="03">Alcohol-fueled vehicle</E>
                                         means a vehicle that is designed to run using an alcohol fuel. For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol content below 25 percent by volume.
                                    </P>
                                    <P>
                                        <E T="03">Auxiliary emission control device</E>
                                         means any element of design that senses temperature, motive speed, engine RPM, transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission control system.
                                    </P>
                                    <P>
                                        <E T="03">Averaging set</E>
                                         has the meaning given in § 1037.701.
                                    </P>
                                    <P>
                                        <E T="03">Cab-complete vehicle</E>
                                         means a vehicle that is first sold as an incomplete vehicle that substantially includes its cab. Vehicles known commercially as chassis-cabs, cab-chassis, box-deletes, bed-deletes, cut-away vans are considered cab-complete vehicles. For purposes of this definition, a cab includes a steering column and passenger compartment. Note a vehicle lacking some components of the cab is a cab-complete vehicle if it substantially includes the cab.
                                    </P>
                                    <P>
                                        <E T="03">Calibration</E>
                                         means the set of specifications and tolerances specific to a particular design, version, or application of a component or assembly capable of functionally describing its operation over its working range.
                                    </P>
                                    <P>
                                        <E T="03">Carbon-related exhaust emissions (CREE)</E>
                                         has the meaning given in 40 CFR 600.002. Note that CREE represents the combined mass of carbon emitted as HC, CO, and CO
                                        <E T="52">2,</E>
                                         expressed as having a molecular weight equal to that of CO
                                        <E T="52">2</E>
                                        .
                                    </P>
                                    <P>
                                        <E T="03">Carryover</E>
                                         means relating to certification based on emission data generated from an earlier model year.
                                    </P>
                                    <P>
                                        <E T="03">Certification</E>
                                         means relating to the process of obtaining a certificate of conformity for a vehicle family that complies with the emission standards and requirements in this part.
                                    </P>
                                    <P>
                                        <E T="03">Certified emission level</E>
                                         means the highest deteriorated emission level in a vehicle family for a given pollutant from either transient or steady-state testing.
                                    </P>
                                    <P>
                                        <E T="03">Class</E>
                                         means relating to GVWR classes, as follows:
                                    </P>
                                    <P>
                                        (1) 
                                        <E T="03">Class 2b</E>
                                         means heavy-duty motor vehicles at or below 10,000 pounds GVWR.
                                    </P>
                                    <P>
                                        (2) 
                                        <E T="03">Class 3</E>
                                         means heavy-duty motor vehicles above 10,000 pounds GVWR but at or below 14,000 pounds GVWR.
                                    </P>
                                    <P>
                                        (3) 
                                        <E T="03">Class 4</E>
                                         means heavy-duty motor vehicles above 14,000 pounds GVWR but at or below 16,000 pounds GVWR.
                                    </P>
                                    <P>
                                        (4) 
                                        <E T="03">Class 5</E>
                                         means heavy-duty motor vehicles above 16,000 pounds GVWR but at or below 19,500 pounds GVWR.
                                    </P>
                                    <P>
                                        (5) 
                                        <E T="03">Class 6</E>
                                         means heavy-duty motor vehicles above 19,500 pounds GVWR but at or below 26,000 pounds GVWR.
                                    </P>
                                    <P>
                                        (6) 
                                        <E T="03">Class 7</E>
                                         means heavy-duty motor vehicles above 26,000 pounds GVWR but at or below 33,000 pounds GVWR.
                                    </P>
                                    <P>
                                        (7) 
                                        <E T="03">Class 8</E>
                                         means heavy-duty motor vehicles above 33,000 pounds GVWR.
                                    </P>
                                    <P>
                                        <E T="03">Complete vehicle</E>
                                         has the meaning given in the definition of 
                                        <E T="03">vehicle</E>
                                         in this section.
                                    </P>
                                    <P>
                                        <E T="03">Compression-ignition</E>
                                         means relating to a type of reciprocating, internal-combustion engine that is not a spark-ignition engine.
                                    </P>
                                    <P>
                                        <E T="03">Curb weight</E>
                                         has the meaning given in 40 CFR 86.1803, consistent with the provisions of § 1037.140.
                                    </P>
                                    <P>
                                        <E T="03">Date of manufacture</E>
                                         means the date on which the certifying vehicle manufacturer completes its manufacturing operations, except as follows:
                                    </P>
                                    <P>(1) Where the certificate holder is an engine manufacturer that does not manufacture the chassis, the date of manufacture of the vehicle is based on the date assembly of the vehicle is completed.</P>
                                    <P>(2) We may approve an alternate date of manufacture based on the date on which the certifying (or primary) manufacturer completes assembly at the place of main assembly, consistent with the provisions of § 1037.601 and 49 CFR 567.4.</P>
                                    <P>
                                        <E T="03">Day cab</E>
                                         means a type of tractor cab that is not a sleeper cab.
                                    </P>
                                    <P>
                                        <E T="03">Designated Compliance Officer</E>
                                         means the Manager, Heavy-Duty and Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
                                    </P>
                                    <P>
                                        <E T="03">Designated Enforcement Officer</E>
                                         means the Director, Air Enforcement Division (2242A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
                                    </P>
                                    <P>
                                        <E T="03">Deteriorated emission level</E>
                                         means the emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data vehicle. Note that where no deterioration factor applies, references in this part to the 
                                        <E T="03">deteriorated emission level</E>
                                         mean the official emission result.
                                    </P>
                                    <P>
                                        <E T="03">Deterioration factor</E>
                                         means the relationship between emissions at the 
                                        <PRTPAGE P="57429"/>
                                        end of useful life and emissions at the low-hour test point, expressed in one of the following ways:
                                    </P>
                                    <P>(1) For multiplicative deterioration factors, the ratio of emissions at the end of useful life to emissions at the low-hour test point.</P>
                                    <P>(2) For additive deterioration factors, the difference between emissions at the end of useful life and emissions at the low-hour test point.</P>
                                    <P>
                                        <E T="03">Driver model</E>
                                         means an automated controller that simulates a person driving a vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Electric vehicle</E>
                                         means a vehicle that does not include an engine, and is powered solely by an external source of electricity and/or solar power. Note that this does not include electric hybrid or fuel-cell vehicles that use a chemical fuel such as gasoline, diesel fuel, or hydrogen. Electric vehicles may also be referred to as all-electric vehicles to distinguish them from hybrid vehicles.
                                    </P>
                                    <P>
                                        <E T="03">Emission control system</E>
                                         means any device, system, or element of design that controls or reduces the emissions of regulated pollutants from a vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Emission-data vehicle</E>
                                         means a vehicle that is tested for certification. This includes vehicle tested to establish deterioration factors.
                                    </P>
                                    <P>
                                        <E T="03">Emission-related maintenance</E>
                                         means maintenance that substantially affects emissions or is likely to substantially affect emission deterioration.
                                    </P>
                                    <P>
                                        <E T="03">Excluded</E>
                                         means relating to vehicles that are not subject to some or all of the requirements of this part as follows:
                                    </P>
                                    <P>(1) A vehicle that has been determined not to be a motor vehicle is excluded from this part.</P>
                                    <P>(2) Certain vehicles are excluded from the requirements of this part under § 1037.5.</P>
                                    <P>(3) Specific regulatory provisions of this part may exclude a vehicle generally subject to this part from one or more specific standards or requirements of this part.</P>
                                    <P>
                                        <E T="03">Exempted</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Family emission limit (FEL)</E>
                                         means an emission level declared by the manufacturer to serve in place of an otherwise applicable emission standard under the ABT program in subpart H of this part. The family emission limit must be expressed to the same number of decimal places as the emission standard it replaces. Note that an FEL may apply as a “subfamily” emission limit.
                                    </P>
                                    <P>
                                        <E T="03">Fuel system</E>
                                         means all components involved in transporting, metering, and mixing the fuel from the fuel tank to the combustion chamber(s), including the fuel tank, fuel pump, fuel filters, fuel lines, carburetor or fuel-injection components, and all fuel-system vents. It also includes components for controlling evaporative emissions, such as fuel caps, purge valves, and carbon canisters.
                                    </P>
                                    <P>
                                        <E T="03">Fuel type</E>
                                         means a general category of fuels such as diesel fuel or natural gas. There can be multiple grades within a single fuel type, such as high-sulfur or low-sulfur diesel fuel.
                                    </P>
                                    <P>
                                        <E T="03">Good engineering judgment</E>
                                         has the meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment.
                                    </P>
                                    <P>
                                        <E T="03">Gross combination weight rating (GCWR)</E>
                                         means the value specified by the vehicle manufacturer as the maximum weight of a loaded vehicle and trailer, consistent with good engineering judgment. For example, compliance with SAE J2807 is generally considered to be consistent with good engineering judgment, especially for Class 3 and smaller vehicles.
                                    </P>
                                    <P>
                                        <E T="03">Gross vehicle weight rating (GVWR)</E>
                                         means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle, consistent with good engineering judgment.
                                    </P>
                                    <P>
                                        <E T="03">Heavy-duty engine</E>
                                         means any engine used for (or for which the engine manufacturer could reasonably expect to be used for) motive power in a heavy-duty vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Heavy-duty vehicle</E>
                                         means any motor vehicle above 8,500 pounds GVWR or that has a vehicle curb weight above 6,000 pounds or that has a basic vehicle frontal area greater than 45 square feet.
                                    </P>
                                    <P>
                                        <E T="03">Hybrid engine</E>
                                         or 
                                        <E T="03">hybrid powertrain</E>
                                         means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking.
                                    </P>
                                    <P>
                                        <E T="03">Hybrid vehicle</E>
                                         means a vehicle that includes energy storage features (other than a conventional battery system or conventional flywheel) in addition to an internal combustion engine or other engine using consumable chemical fuel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid vehicles that include regenerative braking different than those that do not include regenerative braking.
                                    </P>
                                    <P>
                                        <E T="03">Hydrocarbon (HC)</E>
                                         means the hydrocarbon group on which the emission standards are based for each fuel type. For alcohol-fueled vehicles, HC means nonmethane hydrocarbon equivalent (NMHCE) for exhaust emissions and total hydrocarbon equivalent (THCE) for evaporative emissions. For all other vehicles, HC means nonmethane hydrocarbon (NMHC) for exhaust emissions and total hydrocarbon (THC) for evaporative emissions.
                                    </P>
                                    <P>
                                        <E T="03">Identification number</E>
                                         means a unique specification (for example, a model number/serial number combination) that allows someone to distinguish a particular vehicle from other similar vehicles.
                                    </P>
                                    <P>
                                        <E T="03">Incomplete vehicle</E>
                                         has the meaning given in the definition of 
                                        <E T="03">vehicle</E>
                                         in this section.
                                    </P>
                                    <P>
                                        <E T="03">Innovative technology</E>
                                         means technology certified under § 1037.610.
                                    </P>
                                    <P>
                                        <E T="03">Light-duty truck</E>
                                         means any motor vehicle rated at or below 8,500 pounds GVWR with a curb weight at or below 6,000 pounds and basic vehicle frontal area at or below 45 square feet, which is:
                                    </P>
                                    <P>(1) Designed primarily for purposes of transportation of property or is a derivation of such a vehicle; or</P>
                                    <P>(2) Designed primarily for transportation of persons and has a capacity of more than 12 persons; or</P>
                                    <P>(3) Available with special features enabling off-street or off-highway operation and use.</P>
                                    <P>
                                        <E T="03">Light-duty vehicle</E>
                                         means a passenger car or passenger car derivative capable of seating 12 or fewer passengers.
                                    </P>
                                    <P>
                                        <E T="03">Low-mileage</E>
                                         means relating to a vehicle with stabilized emissions and represents the undeteriorated emission level. This would generally involve approximately 4000 miles of operation.
                                    </P>
                                    <P>
                                        <E T="03">Low rolling resistance tire</E>
                                         means a tire on a vocational vehicle with a TRRL at or below of 7.7 kg/metric ton, a steer tire on a tractor with a TRRL at or below 7.7 kg/metric ton, or a drive tire on a tractor with a TRRL at or below 8.1 kg/metric ton.
                                    </P>
                                    <P>
                                        <E T="03">Manufacture</E>
                                         means the physical and engineering process of designing, constructing, and/or assembling a vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Manufacturer</E>
                                         has the meaning given in section 216(1) of the Act. In general, this term includes any person who manufactures a vehicle or vehicle for sale in the United States or otherwise introduces a new motor vehicle into commerce in the United States. This includes importers who import vehicles or vehicles for resale.
                                        <PRTPAGE P="57430"/>
                                    </P>
                                    <P>
                                        <E T="03">Medium-duty passenger vehicle (MDPV)</E>
                                         has the meaning given in 40 CFR 86.1803.
                                    </P>
                                    <P>
                                        <E T="03">Model year</E>
                                         means the manufacturer's annual new model production period, except as restricted under this definition and 40 CFR part 85, subpart X. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year.
                                    </P>
                                    <P>(1) The manufacturer who holds the certificate of conformity for the vehicle must assign the model year based on the date when its manufacturing operations are completed relative to its annual model year period. In unusual circumstances where completion of your assembly is delayed, we may allow you to assign a model year one year earlier, provided it does not affect which regulatory requirements will apply.</P>
                                    <P>(2) Unless a vehicle is being shipped to a secondary manufacturer that will hold the certificate of conformity, the model year must be assigned prior to introduction of the vehicle into U.S. commerce. The certifying manufacturer must redesignate the model year if it does not complete its manufacturing operations within the originally identified model year. A vehicle introduced into U.S. commerce without a model year is deemed to have a model year equal to the calendar year of its introduction into U.S. commerce unless the certifying manufacturer assigns a later date.</P>
                                    <P>
                                        <E T="03">Motor vehicle</E>
                                         has the meaning given in 40 CFR 85.1703.
                                    </P>
                                    <P>
                                        <E T="03">New motor vehicle</E>
                                         means a motor vehicle meeting the criteria of either paragraph (1) or (2) of this definition. New motor vehicles may be complete or incomplete.
                                    </P>
                                    <P>
                                        (1) A motor vehicle for which the ultimate purchaser has never received the equitable or legal title is a 
                                        <E T="03">new motor vehicle.</E>
                                         This kind of vehicle might commonly be thought of as “brand new” although a 
                                        <E T="03">new motor vehicle</E>
                                         may include previously used parts. Under this definition, the vehicle is new from the time it is produced until the ultimate purchaser receives the title or places it into service, whichever comes first.
                                    </P>
                                    <P>
                                        (2) An imported heavy-duty motor vehicle originally produced after the 1969 model year is a 
                                        <E T="03">new motor vehicle.</E>
                                    </P>
                                    <P>
                                        <E T="03">Noncompliant vehicle</E>
                                         means a vehicle that was originally covered by a certificate of conformity, but is not in the certified configuration or otherwise does not comply with the conditions of the certificate.
                                    </P>
                                    <P>
                                        <E T="03">Nonconforming vehicle</E>
                                         means a vehicle not covered by a certificate of conformity that would otherwise be subject to emission standards.
                                    </P>
                                    <P>
                                        <E T="03">Nonmethane hydrocarbons (NMHC)</E>
                                         means the sum of all hydrocarbon species except methane, as measured according to 40 CFR part 1065.
                                    </P>
                                    <P>
                                        <E T="03">Official emission result</E>
                                         means the measured emission rate for an emission-data vehicle on a given duty cycle before the application of any required deterioration factor, but after the applicability of regeneration adjustment factors.
                                    </P>
                                    <P>
                                        <E T="03">Owners manual</E>
                                         means a document or collection of documents prepared by the vehicle manufacturer for the owners or operators to describe appropriate vehicle maintenance, applicable warranties, and any other information related to operating or keeping the vehicle. The owners manual is typically provided to the ultimate purchaser at the time of sale.
                                    </P>
                                    <P>
                                        <E T="03">Oxides of nitrogen</E>
                                         has the meaning given in 40 CFR 1065.1001.
                                    </P>
                                    <P>
                                        <E T="03">Particulate trap</E>
                                         means a filtering device that is designed to physically trap all particulate matter above a certain size.
                                    </P>
                                    <P>
                                        <E T="03">Percent</E>
                                         has the meaning given in 40 CFR 1065.1001. Note that this means percentages identified in this part are assumed to be infinitely precise without regard to the number of significant figures. For example, one percent of 1,493 is 14.93.
                                    </P>
                                    <P>
                                        <E T="03">Placed into service</E>
                                         means put into initial use for its intended purpose.
                                    </P>
                                    <P>
                                        <E T="03">Power take-off (PTO)</E>
                                         means a secondary engine shaft (or equivalent) that provides substantial auxiliary power for purposes unrelated to vehicle propulsion or normal vehicle accessories such as air conditioning, power steering, and basic electrical accessories. A typical PTO uses a secondary shaft on the engine to transmit power to a hydraulic pump that powers auxiliary equipment, such as a boom on a bucket truck. You may ask us to consider other equivalent auxiliary power configurations (such as those with hybrid vehicles) as power take-off systems.
                                    </P>
                                    <P>
                                        <E T="03">Rechargeable Energy Storage System (RESS)</E>
                                         means the component(s) of a hybrid engine or vehicle that store recovered energy for later use, such as the battery system in an electric hybrid vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Regulatory sub-category</E>
                                         means one of following groups:
                                    </P>
                                    <P>(1) Spark-ignition vehicles subject to the standards of § 1037.104. Note that this category includes most gasoline-fueled heavy-duty pickup trucks and vans.</P>
                                    <P>(2) All other vehicles subject to the standards of § 1037.104. Note that this category includes most diesel-fueled heavy-duty pickup trucks and van.</P>
                                    <P>(3) Vocational vehicles at or below 19,500 pounds GVWR.</P>
                                    <P>(4) Vocational vehicles at or above 19,500 pounds GVWR but below 33,000 pounds GVWR.</P>
                                    <P>(5) Vocational vehicles over 33,000 pounds GVWR.</P>
                                    <P>(6) Low-roof tractors at or above 26,000 pounds GVWR but below 33,000 pounds GVWR.</P>
                                    <P>(7) Mid-roof tractors at or above 26,000 pounds GVWR but below 33,000 pounds GVWR.</P>
                                    <P>(8) High-roof tractors at or above 26,000 pounds GVWR but below 33,000 pounds GVWR.</P>
                                    <P>(9) Low-roof day cab tractors at or above 33,000 pounds GVWR.</P>
                                    <P>(10) Low-roof sleeper cab tractors at or above 33,000 pounds GVWR.</P>
                                    <P>(11) Mid-roof day cab tractors at or above 33,000 pounds GVWR.</P>
                                    <P>(12) Mid-roof sleeper cab tractors at or above 33,000 pounds GVWR.</P>
                                    <P>(13) High-roof day cab tractors at or above 33,000 pounds GVWR.</P>
                                    <P>(14) High-roof sleeper cab tractors at or above 33,000 pounds GVWR.</P>
                                    <P>
                                        <E T="03">Relating to</E>
                                         as used in this section means relating to something in a specific, direct manner. This expression is used in this section only to define terms as adjectives and not to broaden the meaning of the terms.
                                    </P>
                                    <P>
                                        <E T="03">Revoke</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Roof height</E>
                                         means the maximum height of a vehicle (rounded to the nearest inch), excluding narrow accessories such as exhaust pipes and antennas, but including any wide accessories such as roof fairings. Measure roof height of the vehicle configured to have its maximum height that will occur during actual use, with properly inflated tires and no driver, passengers, or cargo onboard. 
                                        <E T="03">Roof height</E>
                                         may also refer to the following categories:
                                    </P>
                                    <P>(1) Low-roof means relating to a vehicle with a roof height of 120 inches or less.</P>
                                    <P>(2) Mid-roof means relating to a vehicle with a roof height of 121 to 147 inches.</P>
                                    <P>(3) High-roof means relating to a vehicle with a roof height of 148 inches or more.</P>
                                    <P>
                                        <E T="03">Round</E>
                                         has the meaning given in 40 CFR 1065.1001.
                                    </P>
                                    <P>
                                        <E T="03">Scheduled maintenance</E>
                                         means adjusting, repairing, removing, disassembling, cleaning, or replacing components or systems periodically to keep a part or system from failing, 
                                        <PRTPAGE P="57431"/>
                                        malfunctioning, or wearing prematurely. It also may mean actions you expect are necessary to correct an overt indication of failure or malfunction for which periodic maintenance is not appropriate.
                                    </P>
                                    <P>
                                        <E T="03">Sleeper cab</E>
                                         means a type of tractor cab that has a compartment behind the driver's seat intended to be used by the driver for sleeping. This includes cabs accessible from the driver's compartment and those accessible from outside the vehicle.
                                    </P>
                                    <P>
                                        <E T="03">Small manufacturer</E>
                                         means a manufacturer meeting the criteria specified in 13 CFR 121.201. For manufacturers owned by a parent company, the employee and revenue limits apply to the total number employees and total revenue of the parent company and all its subsidiaries. 
                                    </P>
                                    <P>
                                        <E T="03">Spark-ignition</E>
                                         means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation.
                                    </P>
                                    <P>
                                        <E T="03">Standard payload</E>
                                         means the vehicle payload assumed for each class in tons for modeling and calculating emission credits. There are three standard payloads:
                                    </P>
                                    <P>(1) 2.85 tons for light heavy-duty vehicles.</P>
                                    <P>(2) 5.6 tons for medium heavy-duty vehicles.</P>
                                    <P>(3) 7.5 tons for heavy heavy-duty vehicles.</P>
                                    <P>
                                        <E T="03">Standard trailer</E>
                                         has the meaning given in § 1037.501.
                                    </P>
                                    <P>
                                        <E T="03">Suspend</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Test sample</E>
                                         means the collection of vehicles selected from the population of a vehicle family for emission testing. This may include testing for certification, production-line testing, or in-use testing.
                                    </P>
                                    <P>
                                        <E T="03">Test vehicle</E>
                                         means a vehicle in a test sample.
                                    </P>
                                    <P>
                                        <E T="03">Test weight</E>
                                         means the vehicle weight used or represented during testing.
                                    </P>
                                    <P>
                                        <E T="03">Tire rolling resistance level (TRRL)</E>
                                         means a value with units of kg/metric ton that represents that rolling resistance of a tire configuration. TRRLs are used as inputs to the GEM model under § 1037.520. Note that a manufacturer may assign a value higher than the measured rolling resistance of a tire configuration.
                                    </P>
                                    <P>
                                        <E T="03">Total hydrocarbon</E>
                                         has the meaning given in 40 CFR 1065.1001. This generally means the combined mass of organic compounds measured by the specified procedure for measuring total hydrocarbon, expressed as a hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
                                    </P>
                                    <P>
                                        <E T="03">Total hydrocarbon equivalent</E>
                                         has the meaning given in 40 CFR 1065.1001. This generally means the sum of the carbon mass contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic compounds that are measured separately as contained in a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled vehicles. The atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
                                    </P>
                                    <P>
                                        <E T="03">Tractor</E>
                                         has the meaning given for “truck tractor” in 49 CFR 571.3. This includes most heavy-duty vehicles specifically designed for the primary purpose of pulling trailers, but does not include vehicles designed to carry other loads. For purposes of this definition “other loads” would not include loads carried in the cab, sleeper compartment, or toolboxes. Examples of vehicles that are similar to tractors but that are not 
                                        <E T="03">tractors</E>
                                         under this part include dromedary tractors, automobile haulers, straight trucks with trailers hitches, and tow trucks. Note that the provisions of this part that apply for tractors do not apply for tractors that are classified as vocational tractors under § 1037.630.
                                    </P>
                                    <P>
                                        <E T="03">Ultimate purchaser</E>
                                         means, with respect to any new vehicle, the first person who in good faith purchases such new vehicle for purposes other than resale.
                                    </P>
                                    <P>
                                        <E T="03">United States</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Upcoming model year</E>
                                         means for a vehicle family the model year after the one currently in production.
                                    </P>
                                    <P>
                                        <E T="03">U.S.-directed production volume</E>
                                         means the number of vehicle units, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States. This does not include vehicles certified to state emission standards that are different than the emission standards in this part.
                                    </P>
                                    <P>
                                        <E T="03">Useful life</E>
                                         means the period during which a vehicle is required to comply with all applicable emission standards.
                                    </P>
                                    <P>
                                        <E T="03">Vehicle</E>
                                         means equipment intended for use on highways that meets the criteria of paragraph (1)(i) or (1)(ii) of this definition, as follows:
                                    </P>
                                    <P>(1) The following equipment are vehicles:</P>
                                    <P>(i) A piece of equipment that is intended for self-propelled use on highways becomes a vehicle when it includes at least an engine, a transmission, and a frame. (Note: For purposes of this definition, any electrical, mechanical, and/or hydraulic devices attached to engines for the purpose of powering wheels are considered to be transmissions.)</P>
                                    <P>(ii) A piece of equipment that is intended for self-propelled use on highways becomes a vehicle when it includes a passenger compartment attached to a frame with axles.</P>
                                    <P>(2) Vehicles may be complete or incomplete vehicles as follows:</P>
                                    <P>
                                        (i) A 
                                        <E T="03">complete vehicle</E>
                                         is a functioning vehicle that has the primary load carrying device or container (or equivalent equipment) attached. Examples of equivalent equipment would include fifth wheel trailer hitches, firefighting equipment, and utility booms.
                                    </P>
                                    <P>
                                        (ii) An 
                                        <E T="03">incomplete vehicle</E>
                                         is a vehicle that is not a complete vehicle. Incomplete vehicles may also be cab-complete vehicles. This may include vehicles sold to secondary vehicle manufacturers.
                                    </P>
                                    <P>(iii) The primary use of the terms “complete vehicle” and “incomplete vehicle” are to distinguish whether a vehicle is complete when it is first sold as a vehicle.</P>
                                    <P>(iv) You may ask us to allow you to certify a vehicle as incomplete if you manufacture the engines and sell the unassembled chassis components, as long as you do not produce and sell the body components necessary to complete the vehicle.</P>
                                    <P>(3) Equipment such as trailers that are not self-propelled are not “vehicles” under this part 1037.</P>
                                    <P>
                                        <E T="03">Vehicle configuration</E>
                                         means a unique combination of vehicle hardware and calibration (related to measured or modeled emissions) within a vehicle family. Vehicles with hardware or software differences, but that have no hardware or software differences related to measured or modeled emissions may be included in the same vehicle configuration. Note that vehicles with hardware or software differences related to measured or modeled emissions are considered to be different configurations even if they have the same GEM inputs and FEL. Vehicles within a vehicle configuration differ only with respect to normal production variability or factors unrelated to measured or modeled emissions.
                                    </P>
                                    <P>
                                        <E T="03">Vehicle family</E>
                                         has the meaning given in § 1037.230.
                                    </P>
                                    <P>
                                        <E T="03">Vehicle service class</E>
                                         means a vehicle's weight class as specified in this definition. Note that, while 
                                        <E T="03">vehicle service class</E>
                                         is similar to primary intended service class for engines, they are not necessarily the same. For example, a medium heavy-duty vehicle may include a light heavy-duty engine. 
                                        <PRTPAGE P="57432"/>
                                        Note also that while spark-ignition engines do not have a primary intended service class, vehicles using spark-ignition engines have a vehicle service class.
                                    </P>
                                    <P>(1) Light heavy-duty vehicles are those vehicles with GVWR below 19,500 pounds. </P>
                                    <P>Vehicles In this class include heavy-duty pickup trucks and vans, motor homes and other recreational vehicles, and some straight trucks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction.</P>
                                    <P>(2) Medium heavy-duty vehicles are those vehicles with GVWR from 19,500 to 33,000 pounds. Vehicles in this class include school buses, straight trucks with a single rear axle, city tractors, and a variety of special purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include commercial short haul and intra-city delivery and pickup.</P>
                                    <P>(3) Heavy heavy-duty vehicles are those vehicles with GVWR above 33,000 pounds. Vehicles in this class include tractors, urban buses, and other heavy trucks.</P>
                                    <P>
                                        <E T="03">Vehicle subfamily</E>
                                         or 
                                        <E T="03">subfamily</E>
                                         means a subset of a vehicle family including vehicles subject to the same FEL(s).
                                    </P>
                                    <P>
                                        <E T="03">Vocational tractor</E>
                                         means a vehicle classified as a vocational tractor under § 1037.630.
                                    </P>
                                    <P>
                                        <E T="03">Vocational vehicle</E>
                                         means relating to a vehicle subject to the standards of § 1037.105 (including vocational tractors).
                                    </P>
                                    <P>
                                        <E T="03">Void</E>
                                         has the meaning given in 40 CFR 1068.30.
                                    </P>
                                    <P>
                                        <E T="03">Volatile liquid fuel</E>
                                         means any fuel other than diesel or biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor Pressure higher than 2.0 pounds per square inch.
                                    </P>
                                    <P>
                                        <E T="03">We (us, our)</E>
                                         means the Administrator of the Environmental Protection Agency and any authorized representatives.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.805 </SECTNO>
                                    <SUBJECT>Symbols, acronyms, and abbreviations.</SUBJECT>
                                    <P>The following symbols, acronyms, and abbreviations apply to this part:</P>
                                    <EXTRACT>
                                        <FP SOURCE="FP-1">ABT Averaging, banking, and trading.</FP>
                                        <FP SOURCE="FP-1">AECD auxiliary emission control device.</FP>
                                        <FP SOURCE="FP-1">
                                            C
                                            <E T="52">D</E>
                                             drag coefficient.
                                        </FP>
                                        <FP SOURCE="FP-1">
                                            C
                                            <E T="52">D</E>
                                            A drag area.
                                        </FP>
                                        <FP SOURCE="FP-1">CFD computational fluid dynamics.</FP>
                                        <FP SOURCE="FP-1">CFR Code of Federal Regulations.</FP>
                                        <FP SOURCE="FP-1">
                                            CH
                                            <E T="52">4</E>
                                             methane.
                                        </FP>
                                        <FP SOURCE="FP-1">CO carbon monoxide.</FP>
                                        <FP SOURCE="FP-1">
                                            CO
                                            <E T="52">2</E>
                                             carbon dioxide.
                                        </FP>
                                        <FP SOURCE="FP-1">CREE carbon-related exhaust emissions.</FP>
                                        <FP SOURCE="FP-1">DOT Department of Transportation.</FP>
                                        <FP SOURCE="FP-1">EPA Environmental Protection Agency.</FP>
                                        <FP SOURCE="FP-1">ETW equivalent test weight.</FP>
                                        <FP SOURCE="FP-1">FEL Family Emission Limit.</FP>
                                        <FP SOURCE="FP-1">g grams.</FP>
                                        <FP SOURCE="FP-1">GAWR gross axle weight rating.</FP>
                                        <FP SOURCE="FP-1">GCWR gross combination weight rating.</FP>
                                        <FP SOURCE="FP-1">GVWR gross vehicle weight rating.</FP>
                                        <FP SOURCE="FP-1">GWP global-warming potential.</FP>
                                        <FP SOURCE="FP-1">HC hydrocarbon.</FP>
                                        <FP SOURCE="FP-1">ISO International Organization for Standardization.</FP>
                                        <FP SOURCE="FP-1">kg kilograms.</FP>
                                        <FP SOURCE="FP-1">m meter.</FP>
                                        <FP SOURCE="FP-1">mm millimeter</FP>
                                        <FP SOURCE="FP-1">mph miles per hour.</FP>
                                        <FP SOURCE="FP-1">
                                            N
                                            <E T="52">2</E>
                                            O nitrous oxide.
                                        </FP>
                                        <FP SOURCE="FP-1">NARA National Archives and Records Administration.</FP>
                                        <FP SOURCE="FP-1">NHTSA National Highway Transportation Safety Administration.</FP>
                                        <FP SOURCE="FP-1">
                                            NO
                                            <E T="52">X</E>
                                             oxides of nitrogen (NO and NO
                                            <E T="52">2</E>
                                            ).
                                        </FP>
                                        <FP SOURCE="FP-1">PM particulate matter.</FP>
                                        <FP SOURCE="FP-1">PTO power take-off.</FP>
                                        <FP SOURCE="FP-1">RESS rechargeable energy storage system.</FP>
                                        <FP SOURCE="FP-1">RPM revolutions per minute.</FP>
                                        <FP SOURCE="FP-1">SAE Society of Automotive Engineers.</FP>
                                        <FP SOURCE="FP-1">SKU Stock-keeping unit.</FP>
                                        <FP SOURCE="FP-1">TRRL Tire rolling resistance level.</FP>
                                        <FP SOURCE="FP-1">U.S.C. United States Code.</FP>
                                        <FP SOURCE="FP-1">VSL vehicle speed limiter.</FP>
                                        <FP SOURCE="FP-1">WF work factor.</FP>
                                    </EXTRACT>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.810 </SECTNO>
                                    <SUBJECT>Incorporation by reference.</SUBJECT>
                                    <P>
                                        (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 
                                        <E T="04">Federal Register</E>
                                         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 
                                        <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E>
                                    </P>
                                    <P>
                                        (b) International Organization for Standardization, Case Postale 56, CH-1211 Geneva 20, Switzerland, (41) 22749 0111, 
                                        <E T="03">http://www.iso.org,</E>
                                         or 
                                        <E T="03">central@iso.org.</E>
                                    </P>
                                    <P>(1) ISO 28580:2009(E) “Passenger car, truck and bus tyres—Methods of measuring rolling resistance—Single point test and correlation of measurement results”, First Edition, July 1, 2009; IBR approved for § 1037.520(c).</P>
                                    <P>(2) [Reserved]</P>
                                    <P>
                                        (c) U.S. EPA, Office of Air and Radiation, 2565 Plymouth Road, Ann Arbor, MI 48105, 
                                        <E T="03">http://www.epa.gov:</E>
                                    </P>
                                    <P>
                                        (1) GEM simulation tool, Version 2.0, August 2011; 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 
                                        <E T="03">http://www.epa.gov/otaq/climate/gem.htm.</E>
                                    </P>
                                    <P>(2) [Reserved]</P>
                                    <P>
                                        (d) 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), 
                                        <E T="03">http://www.sae.org.</E>
                                    </P>
                                    <P>(1) SAE J1252, SAE Wind Tunnel Test Procedure for Trucks and Buses, Revised July 1981, IBR approved for § 1037.521(d), (e), and (f).</P>
                                    <P>(2) SAE J1594, Vehicle Aerodynamics Terminology, Revised July 2010, IBR approved for § 1037.521(d).</P>
                                    <P>(3) SAE J2071, Aerodynamic Testing of Road Vehicles—Open Throat Wind Tunnel Adjustment, Revised June 1994, IBR approved for § 1037.521(d).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.815 </SECTNO>
                                    <SUBJECT>Confidential information.</SUBJECT>
                                    <P>The provisions of 40 CFR 1068.10 apply for information you consider confidential.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.820 </SECTNO>
                                    <SUBJECT>Requesting a hearing.</SUBJECT>
                                    <P>(a) You may request a hearing under certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision.</P>
                                    <P>(b) For a hearing you request under the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue.</P>
                                    <P>(c) If we agree to hold a hearing, we will use the procedures specified in 40 CFR part 1068, subpart G.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1037.825 </SECTNO>
                                    <SUBJECT>Reporting and recordkeeping requirements.</SUBJECT>
                                    <P>
                                        (a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You may not rely on anyone else to meet recordkeeping requirements on your behalf unless we specifically authorize it. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format.
                                        <PRTPAGE P="57433"/>
                                    </P>
                                    <P>(b) The regulations in § 1037.255 and 40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties.</P>
                                    <P>(c) Send all reports and requests for approval to the Designated Compliance Officer (see § 1037.801).</P>
                                    <P>(d) Any written information we require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. Keep these records for eight years unless the regulations specify a different period. We may require you to send us these records whether or not you are a certificate holder.</P>
                                    <P>
                                        (e) Under the Paperwork Reduction Act (44 U.S.C. 3501 
                                        <E T="03">et seq</E>
                                        ), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for vehicles regulated under this part:
                                    </P>
                                    <P>(1) We specify the following requirements related to vehicle certification in this part 1037:</P>
                                    <P>(i) In subpart C of this part we identify a wide range of information required to certify vehicles.</P>
                                    <P>(ii) In subpart G of this part we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions.</P>
                                    <P>(iii) In § 1037.725, 1037.730, and 1037.735 we specify certain records related to averaging, banking, and trading.</P>
                                    <P>(2) We specify the following requirements related to testing in 40 CFR part 1066:</P>
                                    <P>(i) In 40 CFR 1065.2 we give an overview of principles for reporting information.</P>
                                    <P>(ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for establishing various changes to published test procedures.</P>
                                    <P>(iii) In 40 CFR 1065.25 we establish basic guidelines for storing test information.</P>
                                    <P>(iv) In 40 CFR 1065.695 we identify data that may be appropriate for collecting during testing of in-use vehicles using portable analyzers.</P>
                                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s35,5,5">
                                        <TTITLE>Appendix I to Part 1037—Heavy-Duty Transient Chassis Test Cycle</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">
                                                Time
                                                <LI>sec.</LI>
                                            </CHED>
                                            <CHED H="1">
                                                Speed
                                                <LI>mph</LI>
                                            </CHED>
                                            <CHED H="1">
                                                Speed
                                                <LI>m/s</LI>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">1</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">2</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">3</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">4</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">5</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">6</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">7</ENT>
                                            <ENT>0.41</ENT>
                                            <ENT>0.18</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">8</ENT>
                                            <ENT>1.18</ENT>
                                            <ENT>0.53</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">9</ENT>
                                            <ENT>2.26</ENT>
                                            <ENT>1.01</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">10</ENT>
                                            <ENT>3.19</ENT>
                                            <ENT>1.43</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">11</ENT>
                                            <ENT>3.97</ENT>
                                            <ENT>1.77</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">12</ENT>
                                            <ENT>4.66</ENT>
                                            <ENT>2.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">13</ENT>
                                            <ENT>5.32</ENT>
                                            <ENT>2.38</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">14</ENT>
                                            <ENT>5.94</ENT>
                                            <ENT>2.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">15</ENT>
                                            <ENT>6.48</ENT>
                                            <ENT>2.90</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">16</ENT>
                                            <ENT>6.91</ENT>
                                            <ENT>3.09</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">17</ENT>
                                            <ENT>7.28</ENT>
                                            <ENT>3.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">18</ENT>
                                            <ENT>7.64</ENT>
                                            <ENT>3.42</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">19</ENT>
                                            <ENT>8.02</ENT>
                                            <ENT>3.59</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">20</ENT>
                                            <ENT>8.36</ENT>
                                            <ENT>3.74</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">21</ENT>
                                            <ENT>8.60</ENT>
                                            <ENT>3.84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">22</ENT>
                                            <ENT>8.74</ENT>
                                            <ENT>3.91</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">23</ENT>
                                            <ENT>8.82</ENT>
                                            <ENT>3.94</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">24</ENT>
                                            <ENT>8.82</ENT>
                                            <ENT>3.94</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">25</ENT>
                                            <ENT>8.76</ENT>
                                            <ENT>3.92</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">26</ENT>
                                            <ENT>8.66</ENT>
                                            <ENT>3.87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">27</ENT>
                                            <ENT>8.58</ENT>
                                            <ENT>3.84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">28</ENT>
                                            <ENT>8.52</ENT>
                                            <ENT>3.81</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">29</ENT>
                                            <ENT>8.46</ENT>
                                            <ENT>3.78</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">30</ENT>
                                            <ENT>8.38</ENT>
                                            <ENT>3.75</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">31</ENT>
                                            <ENT>8.31</ENT>
                                            <ENT>3.71</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">32</ENT>
                                            <ENT>8.21</ENT>
                                            <ENT>3.67</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">33</ENT>
                                            <ENT>8.11</ENT>
                                            <ENT>3.63</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">34</ENT>
                                            <ENT>8.00</ENT>
                                            <ENT>3.58</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">35</ENT>
                                            <ENT>7.94</ENT>
                                            <ENT>3.55</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">36</ENT>
                                            <ENT>7.94</ENT>
                                            <ENT>3.55</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">37</ENT>
                                            <ENT>7.80</ENT>
                                            <ENT>3.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">38</ENT>
                                            <ENT>7.43</ENT>
                                            <ENT>3.32</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">39</ENT>
                                            <ENT>6.79</ENT>
                                            <ENT>3.04</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">40</ENT>
                                            <ENT>5.81</ENT>
                                            <ENT>2.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">41</ENT>
                                            <ENT>4.65</ENT>
                                            <ENT>2.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">42</ENT>
                                            <ENT>3.03</ENT>
                                            <ENT>1.35</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">43</ENT>
                                            <ENT>1.88</ENT>
                                            <ENT>0.84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">44</ENT>
                                            <ENT>1.15</ENT>
                                            <ENT>0.51</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">45</ENT>
                                            <ENT>1.14</ENT>
                                            <ENT>0.51</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">46</ENT>
                                            <ENT>1.12</ENT>
                                            <ENT>0.50</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">47</ENT>
                                            <ENT>1.11</ENT>
                                            <ENT>0.50</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">48</ENT>
                                            <ENT>1.19</ENT>
                                            <ENT>0.53</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">49</ENT>
                                            <ENT>1.57</ENT>
                                            <ENT>0.70</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">50</ENT>
                                            <ENT>2.31</ENT>
                                            <ENT>1.03</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">51</ENT>
                                            <ENT>3.37</ENT>
                                            <ENT>1.51</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">52</ENT>
                                            <ENT>4.51</ENT>
                                            <ENT>2.02</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">53</ENT>
                                            <ENT>5.56</ENT>
                                            <ENT>2.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">54</ENT>
                                            <ENT>6.41</ENT>
                                            <ENT>2.87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">55</ENT>
                                            <ENT>7.09</ENT>
                                            <ENT>3.17</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">56</ENT>
                                            <ENT>7.59</ENT>
                                            <ENT>3.39</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">57</ENT>
                                            <ENT>7.99</ENT>
                                            <ENT>3.57</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">58</ENT>
                                            <ENT>8.32</ENT>
                                            <ENT>3.72</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">59</ENT>
                                            <ENT>8.64</ENT>
                                            <ENT>3.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">60</ENT>
                                            <ENT>8.91</ENT>
                                            <ENT>3.98</ENT>
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                                        <ROW>
                                            <ENT I="01">61</ENT>
                                            <ENT>9.13</ENT>
                                            <ENT>4.08</ENT>
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                                        <ROW>
                                            <ENT I="01">62</ENT>
                                            <ENT>9.29</ENT>
                                            <ENT>4.15</ENT>
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                                        <ROW>
                                            <ENT I="01">63</ENT>
                                            <ENT>9.40</ENT>
                                            <ENT>4.20</ENT>
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                                        <ROW>
                                            <ENT I="01">64</ENT>
                                            <ENT>9.39</ENT>
                                            <ENT>4.20</ENT>
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                                        <ROW>
                                            <ENT I="01">65</ENT>
                                            <ENT>9.20</ENT>
                                            <ENT>4.11</ENT>
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                                        <ROW>
                                            <ENT I="01">66</ENT>
                                            <ENT>8.84</ENT>
                                            <ENT>3.95</ENT>
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                                        <ROW>
                                            <ENT I="01">67</ENT>
                                            <ENT>8.35</ENT>
                                            <ENT>3.73</ENT>
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                                        <ROW>
                                            <ENT I="01">68</ENT>
                                            <ENT>7.81</ENT>
                                            <ENT>3.49</ENT>
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                                        <ROW>
                                            <ENT I="01">69</ENT>
                                            <ENT>7.22</ENT>
                                            <ENT>3.23</ENT>
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                                        <ROW>
                                            <ENT I="01">70</ENT>
                                            <ENT>6.65</ENT>
                                            <ENT>2.97</ENT>
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                                        <ROW>
                                            <ENT I="01">71</ENT>
                                            <ENT>6.13</ENT>
                                            <ENT>2.74</ENT>
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                                        <ROW>
                                            <ENT I="01">72</ENT>
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                                            <ENT>2.57</ENT>
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                                        <ROW>
                                            <ENT I="01">73</ENT>
                                            <ENT>5.61</ENT>
                                            <ENT>2.51</ENT>
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                                        <ROW>
                                            <ENT I="01">74</ENT>
                                            <ENT>5.65</ENT>
                                            <ENT>2.53</ENT>
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                                        <ROW>
                                            <ENT I="01">75</ENT>
                                            <ENT>5.80</ENT>
                                            <ENT>2.59</ENT>
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                                        <ROW>
                                            <ENT I="01">76</ENT>
                                            <ENT>5.95</ENT>
                                            <ENT>2.66</ENT>
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                                        <ROW>
                                            <ENT I="01">77</ENT>
                                            <ENT>6.09</ENT>
                                            <ENT>2.72</ENT>
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                                        <ROW>
                                            <ENT I="01">78</ENT>
                                            <ENT>6.21</ENT>
                                            <ENT>2.78</ENT>
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                                        <ROW>
                                            <ENT I="01">79</ENT>
                                            <ENT>6.31</ENT>
                                            <ENT>2.82</ENT>
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                                        <ROW>
                                            <ENT I="01">80</ENT>
                                            <ENT>6.34</ENT>
                                            <ENT>2.83</ENT>
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                                        <ROW>
                                            <ENT I="01">81</ENT>
                                            <ENT>6.47</ENT>
                                            <ENT>2.89</ENT>
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                                        <ROW>
                                            <ENT I="01">82</ENT>
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                                            <ENT>2.97</ENT>
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                                        <ROW>
                                            <ENT I="01">83</ENT>
                                            <ENT>6.88</ENT>
                                            <ENT>3.08</ENT>
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                                        <ROW>
                                            <ENT I="01">84</ENT>
                                            <ENT>7.04</ENT>
                                            <ENT>3.15</ENT>
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                                        <ROW>
                                            <ENT I="01">85</ENT>
                                            <ENT>7.05</ENT>
                                            <ENT>3.15</ENT>
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                                        <ROW>
                                            <ENT I="01">86</ENT>
                                            <ENT>7.01</ENT>
                                            <ENT>3.13</ENT>
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                                        <ROW>
                                            <ENT I="01">87</ENT>
                                            <ENT>6.90</ENT>
                                            <ENT>3.08</ENT>
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                                        <ROW>
                                            <ENT I="01">88</ENT>
                                            <ENT>6.88</ENT>
                                            <ENT>3.08</ENT>
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                                        <ROW>
                                            <ENT I="01">89</ENT>
                                            <ENT>6.89</ENT>
                                            <ENT>3.08</ENT>
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                                        <ROW>
                                            <ENT I="01">90</ENT>
                                            <ENT>6.96</ENT>
                                            <ENT>3.11</ENT>
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                                        <ROW>
                                            <ENT I="01">91</ENT>
                                            <ENT>7.04</ENT>
                                            <ENT>3.15</ENT>
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                                        <ROW>
                                            <ENT I="01">92</ENT>
                                            <ENT>7.17</ENT>
                                            <ENT>3.21</ENT>
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                                        <ROW>
                                            <ENT I="01">93</ENT>
                                            <ENT>7.29</ENT>
                                            <ENT>3.26</ENT>
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                                        <ROW>
                                            <ENT I="01">94</ENT>
                                            <ENT>7.39</ENT>
                                            <ENT>3.30</ENT>
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                                        <ROW>
                                            <ENT I="01">95</ENT>
                                            <ENT>7.48</ENT>
                                            <ENT>3.34</ENT>
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                                        <ROW>
                                            <ENT I="01">96</ENT>
                                            <ENT>7.57</ENT>
                                            <ENT>3.38</ENT>
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                                        <ROW>
                                            <ENT I="01">97</ENT>
                                            <ENT>7.61</ENT>
                                            <ENT>3.40</ENT>
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                                        <ROW>
                                            <ENT I="01">98</ENT>
                                            <ENT>7.59</ENT>
                                            <ENT>3.39</ENT>
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                                        <ROW>
                                            <ENT I="01">99</ENT>
                                            <ENT>7.53</ENT>
                                            <ENT>3.37</ENT>
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                                        <ROW>
                                            <ENT I="01">100</ENT>
                                            <ENT>7.46</ENT>
                                            <ENT>3.33</ENT>
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                                        <ROW>
                                            <ENT I="01">101</ENT>
                                            <ENT>7.40</ENT>
                                            <ENT>3.31</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">102</ENT>
                                            <ENT>7.39</ENT>
                                            <ENT>3.30</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">103</ENT>
                                            <ENT>7.38</ENT>
                                            <ENT>3.30</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">104</ENT>
                                            <ENT>7.37</ENT>
                                            <ENT>3.29</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">105</ENT>
                                            <ENT>7.37</ENT>
                                            <ENT>3.29</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">106</ENT>
                                            <ENT>7.39</ENT>
                                            <ENT>3.30</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">107</ENT>
                                            <ENT>7.42</ENT>
                                            <ENT>3.32</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">108</ENT>
                                            <ENT>7.43</ENT>
                                            <ENT>3.32</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">109</ENT>
                                            <ENT>7.40</ENT>
                                            <ENT>3.31</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">110</ENT>
                                            <ENT>7.39</ENT>
                                            <ENT>3.30</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">111</ENT>
                                            <ENT>7.42</ENT>
                                            <ENT>3.32</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">112</ENT>
                                            <ENT>7.50</ENT>
                                            <ENT>3.35</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">113</ENT>
                                            <ENT>7.57</ENT>
                                            <ENT>3.38</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">114</ENT>
                                            <ENT>7.60</ENT>
                                            <ENT>3.40</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">115</ENT>
                                            <ENT>7.60</ENT>
                                            <ENT>3.40</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">116</ENT>
                                            <ENT>7.61</ENT>
                                            <ENT>3.40</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">117</ENT>
                                            <ENT>7.64</ENT>
                                            <ENT>3.42</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">118</ENT>
                                            <ENT>7.68</ENT>
                                            <ENT>3.43</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">119</ENT>
                                            <ENT>7.74</ENT>
                                            <ENT>3.46</ENT>
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                                        <ROW>
                                            <ENT I="01">120</ENT>
                                            <ENT>7.82</ENT>
                                            <ENT>3.50</ENT>
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                                        <ROW>
                                            <ENT I="01">121</ENT>
                                            <ENT>7.90</ENT>
                                            <ENT>3.53</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">122</ENT>
                                            <ENT>7.96</ENT>
                                            <ENT>3.56</ENT>
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                                        <ROW>
                                            <ENT I="01">123</ENT>
                                            <ENT>7.99</ENT>
                                            <ENT>3.57</ENT>
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                                        <ROW>
                                            <ENT I="01">124</ENT>
                                            <ENT>8.02</ENT>
                                            <ENT>3.59</ENT>
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                                        <ROW>
                                            <ENT I="01">125</ENT>
                                            <ENT>8.01</ENT>
                                            <ENT>3.58</ENT>
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                                        <ROW>
                                            <ENT I="01">126</ENT>
                                            <ENT>7.87</ENT>
                                            <ENT>3.52</ENT>
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                                        <ROW>
                                            <ENT I="01">127</ENT>
                                            <ENT>7.59</ENT>
                                            <ENT>3.39</ENT>
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                                        <ROW>
                                            <ENT I="01">128</ENT>
                                            <ENT>7.20</ENT>
                                            <ENT>3.22</ENT>
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                                        <ROW>
                                            <ENT I="01">129</ENT>
                                            <ENT>6.52</ENT>
                                            <ENT>2.91</ENT>
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                                        <ROW>
                                            <ENT I="01">130</ENT>
                                            <ENT>5.53</ENT>
                                            <ENT>2.47</ENT>
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                                        <ROW>
                                            <ENT I="01">131</ENT>
                                            <ENT>4.36</ENT>
                                            <ENT>1.95</ENT>
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                                        <ROW>
                                            <ENT I="01">132</ENT>
                                            <ENT>3.30</ENT>
                                            <ENT>1.48</ENT>
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                                        <ROW>
                                            <ENT I="01">133</ENT>
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                                        <ROW>
                                            <ENT I="01">134</ENT>
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                                        <ROW>
                                            <ENT I="01">135</ENT>
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                                        <ROW>
                                            <ENT I="01">136</ENT>
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                                            <ENT>0.42</ENT>
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                                        <ROW>
                                            <ENT I="01">137</ENT>
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                                        <ROW>
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                                        <ROW>
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                                        <ROW>
                                            <ENT I="01">141</ENT>
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                                        <ROW>
                                            <ENT I="01">142</ENT>
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                                        <ROW>
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                                        <ROW>
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                                        <ROW>
                                            <ENT I="01">145</ENT>
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                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">146</ENT>
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                                        <ROW>
                                            <ENT I="01">147</ENT>
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                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">148</ENT>
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                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">149</ENT>
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                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">150</ENT>
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                                        <ROW>
                                            <ENT I="01">151</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">152</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">153</ENT>
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                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">154</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">155</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">156</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">157</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">158</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">159</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">160</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">161</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">162</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">163</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">164</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">165</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">166</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">167</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">168</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">169</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">170</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">171</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">172</ENT>
                                            <ENT>1.11</ENT>
                                            <ENT>0.50</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">173</ENT>
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                                            <ENT>1.18</ENT>
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                                        <ROW>
                                            <ENT I="01">174</ENT>
                                            <ENT>4.45</ENT>
                                            <ENT>1.99</ENT>
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                                        <ROW>
                                            <ENT I="01">175</ENT>
                                            <ENT>5.68</ENT>
                                            <ENT>2.54</ENT>
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                                        <ROW>
                                            <ENT I="01">176</ENT>
                                            <ENT>6.75</ENT>
                                            <ENT>3.02</ENT>
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                                        <ROW>
                                            <ENT I="01">177</ENT>
                                            <ENT>7.59</ENT>
                                            <ENT>3.39</ENT>
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                                        <ROW>
                                            <ENT I="01">178</ENT>
                                            <ENT>7.75</ENT>
                                            <ENT>3.46</ENT>
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                                        <ROW>
                                            <ENT I="01">179</ENT>
                                            <ENT>7.63</ENT>
                                            <ENT>3.41</ENT>
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                                        <ROW>
                                            <ENT I="01">180</ENT>
                                            <ENT>7.67</ENT>
                                            <ENT>3.43</ENT>
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                                        <ROW>
                                            <ENT I="01">181</ENT>
                                            <ENT>8.70</ENT>
                                            <ENT>3.89</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">182</ENT>
                                            <ENT>10.20</ENT>
                                            <ENT>4.56</ENT>
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                                        <ROW>
                                            <ENT I="01">183</ENT>
                                            <ENT>11.92</ENT>
                                            <ENT>5.33</ENT>
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                                        <ROW>
                                            <ENT I="01">184</ENT>
                                            <ENT>12.84</ENT>
                                            <ENT>5.74</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">185</ENT>
                                            <ENT>13.27</ENT>
                                            <ENT>5.93</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">186</ENT>
                                            <ENT>13.38</ENT>
                                            <ENT>5.98</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">187</ENT>
                                            <ENT>13.61</ENT>
                                            <ENT>6.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">188</ENT>
                                            <ENT>14.15</ENT>
                                            <ENT>6.33</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">189</ENT>
                                            <ENT>14.84</ENT>
                                            <ENT>6.63</ENT>
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                                        <ROW>
                                            <ENT I="01">190</ENT>
                                            <ENT>16.49</ENT>
                                            <ENT>7.37</ENT>
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                                        <ROW>
                                            <ENT I="01">191</ENT>
                                            <ENT>18.33</ENT>
                                            <ENT>8.19</ENT>
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                                        <ROW>
                                            <ENT I="01">192</ENT>
                                            <ENT>20.36</ENT>
                                            <ENT>9.10</ENT>
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                                        <ROW>
                                            <ENT I="01">193</ENT>
                                            <ENT>21.47</ENT>
                                            <ENT>9.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">194</ENT>
                                            <ENT>22.35</ENT>
                                            <ENT>9.99</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">195</ENT>
                                            <ENT>22.96</ENT>
                                            <ENT>10.26</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">196</ENT>
                                            <ENT>23.46</ENT>
                                            <ENT>10.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">197</ENT>
                                            <ENT>23.92</ENT>
                                            <ENT>10.69</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">198</ENT>
                                            <ENT>24.42</ENT>
                                            <ENT>10.92</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">199</ENT>
                                            <ENT>24.99</ENT>
                                            <ENT>11.17</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">200</ENT>
                                            <ENT>25.91</ENT>
                                            <ENT>11.58</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">201</ENT>
                                            <ENT>26.26</ENT>
                                            <ENT>11.74</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">202</ENT>
                                            <ENT>26.38</ENT>
                                            <ENT>11.79</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">203</ENT>
                                            <ENT>26.26</ENT>
                                            <ENT>11.74</ENT>
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                                        <ROW>
                                            <ENT I="01">204</ENT>
                                            <ENT>26.49</ENT>
                                            <ENT>11.84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">205</ENT>
                                            <ENT>26.76</ENT>
                                            <ENT>11.96</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">206</ENT>
                                            <ENT>27.07</ENT>
                                            <ENT>12.10</ENT>
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                                        <ROW>
                                            <ENT I="01">207</ENT>
                                            <ENT>26.64</ENT>
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                                        <ROW>
                                            <ENT I="01">208</ENT>
                                            <ENT>25.99</ENT>
                                            <ENT>11.62</ENT>
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                                        <ROW>
                                            <ENT I="01">209</ENT>
                                            <ENT>24.77</ENT>
                                            <ENT>11.07</ENT>
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                                        <ROW>
                                            <ENT I="01">210</ENT>
                                            <ENT>24.04</ENT>
                                            <ENT>10.75</ENT>
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                                        <ROW>
                                            <ENT I="01">211</ENT>
                                            <ENT>23.39</ENT>
                                            <ENT>10.46</ENT>
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                                        <ROW>
                                            <ENT I="01">212</ENT>
                                            <ENT>22.73</ENT>
                                            <ENT>10.16</ENT>
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                                        <ROW>
                                            <ENT I="01">213</ENT>
                                            <ENT>22.16</ENT>
                                            <ENT>9.91</ENT>
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                                        <ROW>
                                            <ENT I="01">214</ENT>
                                            <ENT>21.66</ENT>
                                            <ENT>9.68</ENT>
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                                        <ROW>
                                            <ENT I="01">215</ENT>
                                            <ENT>21.39</ENT>
                                            <ENT>9.56</ENT>
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                                        <ROW>
                                            <ENT I="01">216</ENT>
                                            <ENT>21.43</ENT>
                                            <ENT>9.58</ENT>
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                                        <ROW>
                                            <ENT I="01">217</ENT>
                                            <ENT>20.67</ENT>
                                            <ENT>9.24</ENT>
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                                        <ROW>
                                            <ENT I="01">218</ENT>
                                            <ENT>17.98</ENT>
                                            <ENT>8.04</ENT>
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                                        <ROW>
                                            <ENT I="01">219</ENT>
                                            <ENT>13.15</ENT>
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                                        <ROW>
                                            <ENT I="01">220</ENT>
                                            <ENT>7.71</ENT>
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                                        <ROW>
                                            <ENT I="01">221</ENT>
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                                        <ROW>
                                            <ENT I="01">222</ENT>
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                                        <ROW>
                                            <ENT I="01">223</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">224</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">225</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">226</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">227</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">228</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">229</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">230</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">231</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">232</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">233</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">234</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">235</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">236</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">237</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">238</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">239</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
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                                        <ROW>
                                            <ENT I="01">241</ENT>
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                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">242</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">243</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">244</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">245</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">246</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">247</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">248</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">249</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">250</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">251</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">252</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">253</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">254</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
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                                        <ROW>
                                            <ENT I="01">255</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">256</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">257</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">258</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">259</ENT>
                                            <ENT>0.50</ENT>
                                            <ENT>0.22</ENT>
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                                        <ROW>
                                            <ENT I="01">260</ENT>
                                            <ENT>1.57</ENT>
                                            <ENT>0.70</ENT>
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                                        <ROW>
                                            <ENT I="01">261</ENT>
                                            <ENT>3.07</ENT>
                                            <ENT>1.37</ENT>
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                                        <ROW>
                                            <ENT I="01">262</ENT>
                                            <ENT>4.57</ENT>
                                            <ENT>2.04</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">263</ENT>
                                            <ENT>5.65</ENT>
                                            <ENT>2.53</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">264</ENT>
                                            <ENT>6.95</ENT>
                                            <ENT>3.11</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">265</ENT>
                                            <ENT>8.05</ENT>
                                            <ENT>3.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">266</ENT>
                                            <ENT>9.13</ENT>
                                            <ENT>4.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">267</ENT>
                                            <ENT>10.05</ENT>
                                            <ENT>4.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">268</ENT>
                                            <ENT>11.62</ENT>
                                            <ENT>5.19</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">269</ENT>
                                            <ENT>12.92</ENT>
                                            <ENT>5.78</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">270</ENT>
                                            <ENT>13.84</ENT>
                                            <ENT>6.19</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">271</ENT>
                                            <ENT>14.38</ENT>
                                            <ENT>6.43</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">272</ENT>
                                            <ENT>15.64</ENT>
                                            <ENT>6.99</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">273</ENT>
                                            <ENT>17.14</ENT>
                                            <ENT>7.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">274</ENT>
                                            <ENT>18.21</ENT>
                                            <ENT>8.14</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">275</ENT>
                                            <ENT>18.90</ENT>
                                            <ENT>8.45</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">276</ENT>
                                            <ENT>19.44</ENT>
                                            <ENT>8.69</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">277</ENT>
                                            <ENT>20.09</ENT>
                                            <ENT>8.98</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">278</ENT>
                                            <ENT>21.89</ENT>
                                            <ENT>9.79</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">279</ENT>
                                            <ENT>24.15</ENT>
                                            <ENT>10.80</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">280</ENT>
                                            <ENT>26.26</ENT>
                                            <ENT>11.74</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">281</ENT>
                                            <ENT>26.95</ENT>
                                            <ENT>12.05</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">282</ENT>
                                            <ENT>27.03</ENT>
                                            <ENT>12.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">283</ENT>
                                            <ENT>27.30</ENT>
                                            <ENT>12.20</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">284</ENT>
                                            <ENT>28.10</ENT>
                                            <ENT>12.56</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">285</ENT>
                                            <ENT>29.44</ENT>
                                            <ENT>13.16</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">286</ENT>
                                            <ENT>30.78</ENT>
                                            <ENT>13.76</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">287</ENT>
                                            <ENT>32.09</ENT>
                                            <ENT>14.35</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">288</ENT>
                                            <ENT>33.24</ENT>
                                            <ENT>14.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">289</ENT>
                                            <ENT>34.46</ENT>
                                            <ENT>15.40</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">290</ENT>
                                            <ENT>35.42</ENT>
                                            <ENT>15.83</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">291</ENT>
                                            <ENT>35.88</ENT>
                                            <ENT>16.04</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">292</ENT>
                                            <ENT>36.03</ENT>
                                            <ENT>16.11</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">293</ENT>
                                            <ENT>35.84</ENT>
                                            <ENT>16.02</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">294</ENT>
                                            <ENT>35.65</ENT>
                                            <ENT>15.94</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">295</ENT>
                                            <ENT>35.31</ENT>
                                            <ENT>15.78</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">296</ENT>
                                            <ENT>35.19</ENT>
                                            <ENT>15.73</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">297</ENT>
                                            <ENT>35.12</ENT>
                                            <ENT>15.70</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">298</ENT>
                                            <ENT>35.12</ENT>
                                            <ENT>15.70</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">299</ENT>
                                            <ENT>35.04</ENT>
                                            <ENT>15.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">300</ENT>
                                            <ENT>35.08</ENT>
                                            <ENT>15.68</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">301</ENT>
                                            <ENT>35.04</ENT>
                                            <ENT>15.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">302</ENT>
                                            <ENT>35.34</ENT>
                                            <ENT>15.80</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">303</ENT>
                                            <ENT>35.50</ENT>
                                            <ENT>15.87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">304</ENT>
                                            <ENT>35.77</ENT>
                                            <ENT>15.99</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">305</ENT>
                                            <ENT>35.81</ENT>
                                            <ENT>16.01</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">306</ENT>
                                            <ENT>35.92</ENT>
                                            <ENT>16.06</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">307</ENT>
                                            <ENT>36.23</ENT>
                                            <ENT>16.20</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">308</ENT>
                                            <ENT>36.42</ENT>
                                            <ENT>16.28</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">309</ENT>
                                            <ENT>36.65</ENT>
                                            <ENT>16.38</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">310</ENT>
                                            <ENT>36.26</ENT>
                                            <ENT>16.21</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">311</ENT>
                                            <ENT>36.07</ENT>
                                            <ENT>16.12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">312</ENT>
                                            <ENT>35.84</ENT>
                                            <ENT>16.02</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">313</ENT>
                                            <ENT>35.96</ENT>
                                            <ENT>16.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">314</ENT>
                                            <ENT>36.00</ENT>
                                            <ENT>16.09</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">315</ENT>
                                            <ENT>35.57</ENT>
                                            <ENT>15.90</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">316</ENT>
                                            <ENT>35.00</ENT>
                                            <ENT>15.65</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">317</ENT>
                                            <ENT>34.08</ENT>
                                            <ENT>15.24</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">318</ENT>
                                            <ENT>33.39</ENT>
                                            <ENT>14.93</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">319</ENT>
                                            <ENT>32.20</ENT>
                                            <ENT>14.39</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">320</ENT>
                                            <ENT>30.32</ENT>
                                            <ENT>13.55</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">321</ENT>
                                            <ENT>28.48</ENT>
                                            <ENT>12.73</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">322</ENT>
                                            <ENT>26.95</ENT>
                                            <ENT>12.05</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">323</ENT>
                                            <ENT>26.18</ENT>
                                            <ENT>11.70</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">324</ENT>
                                            <ENT>25.38</ENT>
                                            <ENT>11.35</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">325</ENT>
                                            <ENT>24.77</ENT>
                                            <ENT>11.07</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">326</ENT>
                                            <ENT>23.46</ENT>
                                            <ENT>10.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">327</ENT>
                                            <ENT>22.39</ENT>
                                            <ENT>10.01</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">328</ENT>
                                            <ENT>20.97</ENT>
                                            <ENT>9.37</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">329</ENT>
                                            <ENT>20.09</ENT>
                                            <ENT>8.98</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">330</ENT>
                                            <ENT>18.90</ENT>
                                            <ENT>8.45</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">331</ENT>
                                            <ENT>18.17</ENT>
                                            <ENT>8.12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">332</ENT>
                                            <ENT>16.48</ENT>
                                            <ENT>7.37</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">333</ENT>
                                            <ENT>15.07</ENT>
                                            <ENT>6.74</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">334</ENT>
                                            <ENT>12.23</ENT>
                                            <ENT>5.47</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">335</ENT>
                                            <ENT>10.08</ENT>
                                            <ENT>4.51</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">336</ENT>
                                            <ENT>7.71</ENT>
                                            <ENT>3.45</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">337</ENT>
                                            <ENT>7.32</ENT>
                                            <ENT>3.27</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">338</ENT>
                                            <ENT>8.63</ENT>
                                            <ENT>3.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">339</ENT>
                                            <ENT>10.77</ENT>
                                            <ENT>4.81</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">340</ENT>
                                            <ENT>12.65</ENT>
                                            <ENT>5.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">341</ENT>
                                            <ENT>13.88</ENT>
                                            <ENT>6.20</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">342</ENT>
                                            <ENT>15.03</ENT>
                                            <ENT>6.72</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">343</ENT>
                                            <ENT>15.64</ENT>
                                            <ENT>6.99</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">344</ENT>
                                            <ENT>16.99</ENT>
                                            <ENT>7.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">345</ENT>
                                            <ENT>17.98</ENT>
                                            <ENT>8.04</ENT>
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                                        <ROW>
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                                            <ENT I="01">346</ENT>
                                            <ENT>19.13</ENT>
                                            <ENT>8.55</ENT>
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                                        <ROW>
                                            <ENT I="01">347</ENT>
                                            <ENT>18.67</ENT>
                                            <ENT>8.35</ENT>
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                                        <ROW>
                                            <ENT I="01">348</ENT>
                                            <ENT>18.25</ENT>
                                            <ENT>8.16</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">349</ENT>
                                            <ENT>18.17</ENT>
                                            <ENT>8.12</ENT>
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                                        <ROW>
                                            <ENT I="01">350</ENT>
                                            <ENT>18.40</ENT>
                                            <ENT>8.23</ENT>
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                                        <ROW>
                                            <ENT I="01">351</ENT>
                                            <ENT>19.63</ENT>
                                            <ENT>8.78</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">352</ENT>
                                            <ENT>20.32</ENT>
                                            <ENT>9.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">353</ENT>
                                            <ENT>21.43</ENT>
                                            <ENT>9.58</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">354</ENT>
                                            <ENT>21.47</ENT>
                                            <ENT>9.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">355</ENT>
                                            <ENT>21.97</ENT>
                                            <ENT>9.82</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">356</ENT>
                                            <ENT>22.27</ENT>
                                            <ENT>9.96</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">357</ENT>
                                            <ENT>22.69</ENT>
                                            <ENT>10.14</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">358</ENT>
                                            <ENT>23.15</ENT>
                                            <ENT>10.35</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">359</ENT>
                                            <ENT>23.69</ENT>
                                            <ENT>10.59</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">360</ENT>
                                            <ENT>23.96</ENT>
                                            <ENT>10.71</ENT>
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                                        <ROW>
                                            <ENT I="01">361</ENT>
                                            <ENT>24.27</ENT>
                                            <ENT>10.85</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">362</ENT>
                                            <ENT>24.34</ENT>
                                            <ENT>10.88</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">363</ENT>
                                            <ENT>24.50</ENT>
                                            <ENT>10.95</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">364</ENT>
                                            <ENT>24.42</ENT>
                                            <ENT>10.92</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">365</ENT>
                                            <ENT>24.38</ENT>
                                            <ENT>10.90</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">366</ENT>
                                            <ENT>24.31</ENT>
                                            <ENT>10.87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">367</ENT>
                                            <ENT>24.23</ENT>
                                            <ENT>10.83</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">368</ENT>
                                            <ENT>24.69</ENT>
                                            <ENT>11.04</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">369</ENT>
                                            <ENT>25.11</ENT>
                                            <ENT>11.23</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">370</ENT>
                                            <ENT>25.53</ENT>
                                            <ENT>11.41</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">371</ENT>
                                            <ENT>25.38</ENT>
                                            <ENT>11.35</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">372</ENT>
                                            <ENT>24.58</ENT>
                                            <ENT>10.99</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">373</ENT>
                                            <ENT>23.77</ENT>
                                            <ENT>10.63</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">374</ENT>
                                            <ENT>23.54</ENT>
                                            <ENT>10.52</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">375</ENT>
                                            <ENT>23.50</ENT>
                                            <ENT>10.51</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">376</ENT>
                                            <ENT>24.15</ENT>
                                            <ENT>10.80</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">377</ENT>
                                            <ENT>24.30</ENT>
                                            <ENT>10.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">378</ENT>
                                            <ENT>24.15</ENT>
                                            <ENT>10.80</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">379</ENT>
                                            <ENT>23.19</ENT>
                                            <ENT>10.37</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">380</ENT>
                                            <ENT>22.50</ENT>
                                            <ENT>10.06</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">381</ENT>
                                            <ENT>21.93</ENT>
                                            <ENT>9.80</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">382</ENT>
                                            <ENT>21.85</ENT>
                                            <ENT>9.77</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">383</ENT>
                                            <ENT>21.55</ENT>
                                            <ENT>9.63</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">384</ENT>
                                            <ENT>21.89</ENT>
                                            <ENT>9.79</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">385</ENT>
                                            <ENT>21.97</ENT>
                                            <ENT>9.82</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">386</ENT>
                                            <ENT>21.97</ENT>
                                            <ENT>9.82</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">387</ENT>
                                            <ENT>22.01</ENT>
                                            <ENT>9.84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">388</ENT>
                                            <ENT>21.85</ENT>
                                            <ENT>9.77</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">389</ENT>
                                            <ENT>21.62</ENT>
                                            <ENT>9.67</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">390</ENT>
                                            <ENT>21.62</ENT>
                                            <ENT>9.67</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">391</ENT>
                                            <ENT>22.01</ENT>
                                            <ENT>9.84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">392</ENT>
                                            <ENT>22.81</ENT>
                                            <ENT>10.20</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">393</ENT>
                                            <ENT>23.54</ENT>
                                            <ENT>10.52</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">394</ENT>
                                            <ENT>24.38</ENT>
                                            <ENT>10.90</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">395</ENT>
                                            <ENT>24.80</ENT>
                                            <ENT>11.09</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">396</ENT>
                                            <ENT>24.61</ENT>
                                            <ENT>11.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">397</ENT>
                                            <ENT>23.12</ENT>
                                            <ENT>10.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">398</ENT>
                                            <ENT>21.62</ENT>
                                            <ENT>9.67</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">399</ENT>
                                            <ENT>19.90</ENT>
                                            <ENT>8.90</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">400</ENT>
                                            <ENT>18.86</ENT>
                                            <ENT>8.43</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">401</ENT>
                                            <ENT>17.79</ENT>
                                            <ENT>7.95</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">402</ENT>
                                            <ENT>17.25</ENT>
                                            <ENT>7.71</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">403</ENT>
                                            <ENT>16.91</ENT>
                                            <ENT>7.56</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">404</ENT>
                                            <ENT>16.75</ENT>
                                            <ENT>7.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">405</ENT>
                                            <ENT>16.75</ENT>
                                            <ENT>7.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">406</ENT>
                                            <ENT>16.87</ENT>
                                            <ENT>7.54</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">407</ENT>
                                            <ENT>16.37</ENT>
                                            <ENT>7.32</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">408</ENT>
                                            <ENT>16.37</ENT>
                                            <ENT>7.32</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">409</ENT>
                                            <ENT>16.49</ENT>
                                            <ENT>7.37</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">410</ENT>
                                            <ENT>17.21</ENT>
                                            <ENT>7.69</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">411</ENT>
                                            <ENT>17.41</ENT>
                                            <ENT>7.78</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">412</ENT>
                                            <ENT>17.37</ENT>
                                            <ENT>7.77</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">413</ENT>
                                            <ENT>16.87</ENT>
                                            <ENT>7.54</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">414</ENT>
                                            <ENT>16.72</ENT>
                                            <ENT>7.47</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">415</ENT>
                                            <ENT>16.22</ENT>
                                            <ENT>7.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">416</ENT>
                                            <ENT>15.76</ENT>
                                            <ENT>7.05</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">417</ENT>
                                            <ENT>14.72</ENT>
                                            <ENT>6.58</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">418</ENT>
                                            <ENT>13.69</ENT>
                                            <ENT>6.12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">419</ENT>
                                            <ENT>12.00</ENT>
                                            <ENT>5.36</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">420</ENT>
                                            <ENT>10.43</ENT>
                                            <ENT>4.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">421</ENT>
                                            <ENT>8.71</ENT>
                                            <ENT>3.89</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">422</ENT>
                                            <ENT>7.44</ENT>
                                            <ENT>3.33</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">423</ENT>
                                            <ENT>5.71</ENT>
                                            <ENT>2.55</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">424</ENT>
                                            <ENT>4.22</ENT>
                                            <ENT>1.89</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">425</ENT>
                                            <ENT>2.30</ENT>
                                            <ENT>1.03</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">426</ENT>
                                            <ENT>1.00</ENT>
                                            <ENT>0.45</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">427</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">428</ENT>
                                            <ENT>0.61</ENT>
                                            <ENT>0.27</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">429</ENT>
                                            <ENT>1.19</ENT>
                                            <ENT>0.53</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">430</ENT>
                                            <ENT>1.61</ENT>
                                            <ENT>0.72</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">431</ENT>
                                            <ENT>1.53</ENT>
                                            <ENT>0.68</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">432</ENT>
                                            <ENT>2.34</ENT>
                                            <ENT>1.05</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">433</ENT>
                                            <ENT>4.29</ENT>
                                            <ENT>1.92</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">434</ENT>
                                            <ENT>7.25</ENT>
                                            <ENT>3.24</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">435</ENT>
                                            <ENT>10.20</ENT>
                                            <ENT>4.56</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">436</ENT>
                                            <ENT>12.46</ENT>
                                            <ENT>5.57</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">437</ENT>
                                            <ENT>14.53</ENT>
                                            <ENT>6.50</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">438</ENT>
                                            <ENT>16.22</ENT>
                                            <ENT>7.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">439</ENT>
                                            <ENT>17.87</ENT>
                                            <ENT>7.99</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">440</ENT>
                                            <ENT>19.74</ENT>
                                            <ENT>8.82</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">441</ENT>
                                            <ENT>21.01</ENT>
                                            <ENT>9.39</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">442</ENT>
                                            <ENT>22.23</ENT>
                                            <ENT>9.94</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">443</ENT>
                                            <ENT>22.62</ENT>
                                            <ENT>10.11</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">444</ENT>
                                            <ENT>23.61</ENT>
                                            <ENT>10.55</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">445</ENT>
                                            <ENT>24.88</ENT>
                                            <ENT>11.12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">446</ENT>
                                            <ENT>26.15</ENT>
                                            <ENT>11.69</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">447</ENT>
                                            <ENT>26.99</ENT>
                                            <ENT>12.07</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">448</ENT>
                                            <ENT>27.56</ENT>
                                            <ENT>12.32</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">449</ENT>
                                            <ENT>28.18</ENT>
                                            <ENT>12.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">450</ENT>
                                            <ENT>28.94</ENT>
                                            <ENT>12.94</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">451</ENT>
                                            <ENT>29.83</ENT>
                                            <ENT>13.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">452</ENT>
                                            <ENT>30.78</ENT>
                                            <ENT>13.76</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">453</ENT>
                                            <ENT>31.82</ENT>
                                            <ENT>14.22</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">454</ENT>
                                            <ENT>32.78</ENT>
                                            <ENT>14.65</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">455</ENT>
                                            <ENT>33.24</ENT>
                                            <ENT>14.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">456</ENT>
                                            <ENT>33.47</ENT>
                                            <ENT>14.96</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">457</ENT>
                                            <ENT>33.31</ENT>
                                            <ENT>14.89</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">458</ENT>
                                            <ENT>33.08</ENT>
                                            <ENT>14.79</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">459</ENT>
                                            <ENT>32.78</ENT>
                                            <ENT>14.65</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">460</ENT>
                                            <ENT>32.39</ENT>
                                            <ENT>14.48</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">461</ENT>
                                            <ENT>32.13</ENT>
                                            <ENT>14.36</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">462</ENT>
                                            <ENT>31.82</ENT>
                                            <ENT>14.22</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">463</ENT>
                                            <ENT>31.55</ENT>
                                            <ENT>14.10</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">464</ENT>
                                            <ENT>31.25</ENT>
                                            <ENT>13.97</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">465</ENT>
                                            <ENT>30.94</ENT>
                                            <ENT>13.83</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">466</ENT>
                                            <ENT>30.71</ENT>
                                            <ENT>13.73</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">467</ENT>
                                            <ENT>30.56</ENT>
                                            <ENT>13.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">468</ENT>
                                            <ENT>30.79</ENT>
                                            <ENT>13.76</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">469</ENT>
                                            <ENT>31.13</ENT>
                                            <ENT>13.92</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">470</ENT>
                                            <ENT>31.55</ENT>
                                            <ENT>14.10</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">471</ENT>
                                            <ENT>31.51</ENT>
                                            <ENT>14.09</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">472</ENT>
                                            <ENT>31.47</ENT>
                                            <ENT>14.07</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">473</ENT>
                                            <ENT>31.44</ENT>
                                            <ENT>14.05</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">474</ENT>
                                            <ENT>31.51</ENT>
                                            <ENT>14.09</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">475</ENT>
                                            <ENT>31.59</ENT>
                                            <ENT>14.12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">476</ENT>
                                            <ENT>31.67</ENT>
                                            <ENT>14.16</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">477</ENT>
                                            <ENT>32.01</ENT>
                                            <ENT>14.31</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">478</ENT>
                                            <ENT>32.63</ENT>
                                            <ENT>14.59</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">479</ENT>
                                            <ENT>33.39</ENT>
                                            <ENT>14.93</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">480</ENT>
                                            <ENT>34.31</ENT>
                                            <ENT>15.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">481</ENT>
                                            <ENT>34.81</ENT>
                                            <ENT>15.56</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">482</ENT>
                                            <ENT>34.20</ENT>
                                            <ENT>15.29</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">483</ENT>
                                            <ENT>32.39</ENT>
                                            <ENT>14.48</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">484</ENT>
                                            <ENT>30.29</ENT>
                                            <ENT>13.54</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">485</ENT>
                                            <ENT>28.56</ENT>
                                            <ENT>12.77</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">486</ENT>
                                            <ENT>26.45</ENT>
                                            <ENT>11.82</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">487</ENT>
                                            <ENT>24.79</ENT>
                                            <ENT>11.08</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">488</ENT>
                                            <ENT>23.12</ENT>
                                            <ENT>10.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">489</ENT>
                                            <ENT>20.73</ENT>
                                            <ENT>9.27</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">490</ENT>
                                            <ENT>18.33</ENT>
                                            <ENT>8.19</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">491</ENT>
                                            <ENT>15.72</ENT>
                                            <ENT>7.03</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">492</ENT>
                                            <ENT>13.11</ENT>
                                            <ENT>5.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">493</ENT>
                                            <ENT>10.47</ENT>
                                            <ENT>4.68</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">494</ENT>
                                            <ENT>7.82</ENT>
                                            <ENT>3.50</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">495</ENT>
                                            <ENT>5.70</ENT>
                                            <ENT>2.55</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">496</ENT>
                                            <ENT>3.57</ENT>
                                            <ENT>1.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">497</ENT>
                                            <ENT>0.92</ENT>
                                            <ENT>0.41</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">498</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">499</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">500</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">501</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">502</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">503</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">504</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">505</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">506</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">507</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">508</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">509</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">510</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">511</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">512</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">513</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">514</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">515</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">516</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">517</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">518</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">519</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">520</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">521</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">522</ENT>
                                            <ENT>0.50</ENT>
                                            <ENT>0.22</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">523</ENT>
                                            <ENT>1.50</ENT>
                                            <ENT>0.67</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">524</ENT>
                                            <ENT>3.00</ENT>
                                            <ENT>1.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">525</ENT>
                                            <ENT>4.50</ENT>
                                            <ENT>2.01</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">526</ENT>
                                            <ENT>5.80</ENT>
                                            <ENT>2.59</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">527</ENT>
                                            <ENT>6.52</ENT>
                                            <ENT>2.91</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">528</ENT>
                                            <ENT>6.75</ENT>
                                            <ENT>3.02</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">529</ENT>
                                            <ENT>6.44</ENT>
                                            <ENT>2.88</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">530</ENT>
                                            <ENT>6.17</ENT>
                                            <ENT>2.76</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">531</ENT>
                                            <ENT>6.33</ENT>
                                            <ENT>2.83</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">532</ENT>
                                            <ENT>6.71</ENT>
                                            <ENT>3.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">533</ENT>
                                            <ENT>7.40</ENT>
                                            <ENT>3.31</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">534</ENT>
                                            <ENT>7.67</ENT>
                                            <ENT>3.43</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">535</ENT>
                                            <ENT>7.33</ENT>
                                            <ENT>3.28</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">536</ENT>
                                            <ENT>6.71</ENT>
                                            <ENT>3.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">537</ENT>
                                            <ENT>6.41</ENT>
                                            <ENT>2.87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">538</ENT>
                                            <ENT>6.60</ENT>
                                            <ENT>2.95</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">539</ENT>
                                            <ENT>6.56</ENT>
                                            <ENT>2.93</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">540</ENT>
                                            <ENT>5.94</ENT>
                                            <ENT>2.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">541</ENT>
                                            <ENT>5.45</ENT>
                                            <ENT>2.44</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">542</ENT>
                                            <ENT>5.87</ENT>
                                            <ENT>2.62</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">543</ENT>
                                            <ENT>6.71</ENT>
                                            <ENT>3.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">544</ENT>
                                            <ENT>7.56</ENT>
                                            <ENT>3.38</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">545</ENT>
                                            <ENT>7.59</ENT>
                                            <ENT>3.39</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">546</ENT>
                                            <ENT>7.63</ENT>
                                            <ENT>3.41</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">547</ENT>
                                            <ENT>7.67</ENT>
                                            <ENT>3.43</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">548</ENT>
                                            <ENT>7.67</ENT>
                                            <ENT>3.43</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">549</ENT>
                                            <ENT>7.48</ENT>
                                            <ENT>3.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">550</ENT>
                                            <ENT>7.29</ENT>
                                            <ENT>3.26</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">551</ENT>
                                            <ENT>7.29</ENT>
                                            <ENT>3.26</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">552</ENT>
                                            <ENT>7.40</ENT>
                                            <ENT>3.31</ENT>
                                        </ROW>
                                        <ROW>
                                            <PRTPAGE P="57436"/>
                                            <ENT I="01">553</ENT>
                                            <ENT>7.48</ENT>
                                            <ENT>3.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">554</ENT>
                                            <ENT>7.52</ENT>
                                            <ENT>3.36</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">555</ENT>
                                            <ENT>7.52</ENT>
                                            <ENT>3.36</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">556</ENT>
                                            <ENT>7.48</ENT>
                                            <ENT>3.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">557</ENT>
                                            <ENT>7.44</ENT>
                                            <ENT>3.33</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">558</ENT>
                                            <ENT>7.28</ENT>
                                            <ENT>3.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">559</ENT>
                                            <ENT>7.21</ENT>
                                            <ENT>3.22</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">560</ENT>
                                            <ENT>7.09</ENT>
                                            <ENT>3.17</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">561</ENT>
                                            <ENT>7.06</ENT>
                                            <ENT>3.16</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">562</ENT>
                                            <ENT>7.29</ENT>
                                            <ENT>3.26</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">563</ENT>
                                            <ENT>7.75</ENT>
                                            <ENT>3.46</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">564</ENT>
                                            <ENT>8.55</ENT>
                                            <ENT>3.82</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">565</ENT>
                                            <ENT>9.09</ENT>
                                            <ENT>4.06</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">566</ENT>
                                            <ENT>10.04</ENT>
                                            <ENT>4.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">567</ENT>
                                            <ENT>11.12</ENT>
                                            <ENT>4.97</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">568</ENT>
                                            <ENT>12.46</ENT>
                                            <ENT>5.57</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">569</ENT>
                                            <ENT>13.00</ENT>
                                            <ENT>5.81</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">570</ENT>
                                            <ENT>14.26</ENT>
                                            <ENT>6.37</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">571</ENT>
                                            <ENT>15.37</ENT>
                                            <ENT>6.87</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">572</ENT>
                                            <ENT>17.02</ENT>
                                            <ENT>7.61</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">573</ENT>
                                            <ENT>18.17</ENT>
                                            <ENT>8.12</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">574</ENT>
                                            <ENT>19.21</ENT>
                                            <ENT>8.59</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">575</ENT>
                                            <ENT>20.17</ENT>
                                            <ENT>9.02</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">576</ENT>
                                            <ENT>20.66</ENT>
                                            <ENT>9.24</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">577</ENT>
                                            <ENT>21.12</ENT>
                                            <ENT>9.44</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">578</ENT>
                                            <ENT>21.43</ENT>
                                            <ENT>9.58</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">579</ENT>
                                            <ENT>22.66</ENT>
                                            <ENT>10.13</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">580</ENT>
                                            <ENT>23.92</ENT>
                                            <ENT>10.69</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">581</ENT>
                                            <ENT>25.42</ENT>
                                            <ENT>11.36</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">582</ENT>
                                            <ENT>25.53</ENT>
                                            <ENT>11.41</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">583</ENT>
                                            <ENT>26.68</ENT>
                                            <ENT>11.93</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">584</ENT>
                                            <ENT>28.14</ENT>
                                            <ENT>12.58</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">585</ENT>
                                            <ENT>30.06</ENT>
                                            <ENT>13.44</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">586</ENT>
                                            <ENT>30.94</ENT>
                                            <ENT>13.83</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">587</ENT>
                                            <ENT>31.63</ENT>
                                            <ENT>14.14</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">588</ENT>
                                            <ENT>32.36</ENT>
                                            <ENT>14.47</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">589</ENT>
                                            <ENT>33.24</ENT>
                                            <ENT>14.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">590</ENT>
                                            <ENT>33.66</ENT>
                                            <ENT>15.05</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">591</ENT>
                                            <ENT>34.12</ENT>
                                            <ENT>15.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">592</ENT>
                                            <ENT>35.92</ENT>
                                            <ENT>16.06</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">593</ENT>
                                            <ENT>37.72</ENT>
                                            <ENT>16.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">594</ENT>
                                            <ENT>39.26</ENT>
                                            <ENT>17.55</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">595</ENT>
                                            <ENT>39.45</ENT>
                                            <ENT>17.64</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">596</ENT>
                                            <ENT>39.83</ENT>
                                            <ENT>17.81</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">597</ENT>
                                            <ENT>40.18</ENT>
                                            <ENT>17.96</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">598</ENT>
                                            <ENT>40.48</ENT>
                                            <ENT>18.10</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">599</ENT>
                                            <ENT>40.75</ENT>
                                            <ENT>18.22</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">600</ENT>
                                            <ENT>41.02</ENT>
                                            <ENT>18.34</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">601</ENT>
                                            <ENT>41.36</ENT>
                                            <ENT>18.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">602</ENT>
                                            <ENT>41.79</ENT>
                                            <ENT>18.68</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">603</ENT>
                                            <ENT>42.40</ENT>
                                            <ENT>18.95</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">604</ENT>
                                            <ENT>42.82</ENT>
                                            <ENT>19.14</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">605</ENT>
                                            <ENT>43.05</ENT>
                                            <ENT>19.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">606</ENT>
                                            <ENT>43.09</ENT>
                                            <ENT>19.26</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">607</ENT>
                                            <ENT>43.24</ENT>
                                            <ENT>19.33</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">608</ENT>
                                            <ENT>43.59</ENT>
                                            <ENT>19.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">609</ENT>
                                            <ENT>44.01</ENT>
                                            <ENT>19.67</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">610</ENT>
                                            <ENT>44.35</ENT>
                                            <ENT>19.83</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">611</ENT>
                                            <ENT>44.55</ENT>
                                            <ENT>19.92</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">612</ENT>
                                            <ENT>44.82</ENT>
                                            <ENT>20.04</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">613</ENT>
                                            <ENT>45.05</ENT>
                                            <ENT>20.14</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">614</ENT>
                                            <ENT>45.31</ENT>
                                            <ENT>20.26</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">615</ENT>
                                            <ENT>45.58</ENT>
                                            <ENT>20.38</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">616</ENT>
                                            <ENT>46.00</ENT>
                                            <ENT>20.56</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">617</ENT>
                                            <ENT>46.31</ENT>
                                            <ENT>20.70</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">618</ENT>
                                            <ENT>46.54</ENT>
                                            <ENT>20.81</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">619</ENT>
                                            <ENT>46.61</ENT>
                                            <ENT>20.84</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">620</ENT>
                                            <ENT>46.92</ENT>
                                            <ENT>20.98</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">621</ENT>
                                            <ENT>47.19</ENT>
                                            <ENT>21.10</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">622</ENT>
                                            <ENT>47.46</ENT>
                                            <ENT>21.22</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">623</ENT>
                                            <ENT>47.54</ENT>
                                            <ENT>21.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">624</ENT>
                                            <ENT>47.54</ENT>
                                            <ENT>21.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">625</ENT>
                                            <ENT>47.54</ENT>
                                            <ENT>21.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">626</ENT>
                                            <ENT>47.50</ENT>
                                            <ENT>21.23</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">627</ENT>
                                            <ENT>47.50</ENT>
                                            <ENT>21.23</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">628</ENT>
                                            <ENT>47.50</ENT>
                                            <ENT>21.23</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">629</ENT>
                                            <ENT>47.31</ENT>
                                            <ENT>21.15</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">630</ENT>
                                            <ENT>47.04</ENT>
                                            <ENT>21.03</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">631</ENT>
                                            <ENT>46.77</ENT>
                                            <ENT>20.91</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">632</ENT>
                                            <ENT>45.54</ENT>
                                            <ENT>20.36</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">633</ENT>
                                            <ENT>43.24</ENT>
                                            <ENT>19.33</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">634</ENT>
                                            <ENT>41.52</ENT>
                                            <ENT>18.56</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">635</ENT>
                                            <ENT>39.79</ENT>
                                            <ENT>17.79</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">636</ENT>
                                            <ENT>38.07</ENT>
                                            <ENT>17.02</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">637</ENT>
                                            <ENT>36.34</ENT>
                                            <ENT>16.25</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">638</ENT>
                                            <ENT>34.04</ENT>
                                            <ENT>15.22</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">639</ENT>
                                            <ENT>32.45</ENT>
                                            <ENT>14.51</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">640</ENT>
                                            <ENT>30.86</ENT>
                                            <ENT>13.80</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">641</ENT>
                                            <ENT>28.83</ENT>
                                            <ENT>12.89</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">642</ENT>
                                            <ENT>26.45</ENT>
                                            <ENT>11.82</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">643</ENT>
                                            <ENT>24.27</ENT>
                                            <ENT>10.85</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">644</ENT>
                                            <ENT>22.04</ENT>
                                            <ENT>9.85</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">645</ENT>
                                            <ENT>19.82</ENT>
                                            <ENT>8.86</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">646</ENT>
                                            <ENT>17.04</ENT>
                                            <ENT>7.62</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">647</ENT>
                                            <ENT>14.26</ENT>
                                            <ENT>6.37</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">648</ENT>
                                            <ENT>11.52</ENT>
                                            <ENT>5.15</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">649</ENT>
                                            <ENT>8.78</ENT>
                                            <ENT>3.93</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">650</ENT>
                                            <ENT>7.17</ENT>
                                            <ENT>3.21</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">651</ENT>
                                            <ENT>5.56</ENT>
                                            <ENT>2.49</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">652</ENT>
                                            <ENT>3.72</ENT>
                                            <ENT>1.66</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">653</ENT>
                                            <ENT>3.38</ENT>
                                            <ENT>1.51</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">654</ENT>
                                            <ENT>3.11</ENT>
                                            <ENT>1.39</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">655</ENT>
                                            <ENT>2.58</ENT>
                                            <ENT>1.15</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">656</ENT>
                                            <ENT>1.66</ENT>
                                            <ENT>0.74</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">657</ENT>
                                            <ENT>0.67</ENT>
                                            <ENT>0.30</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">658</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">659</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">660</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">661</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">662</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">663</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">664</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">665</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">666</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">667</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">668</ENT>
                                            <ENT>0.00</ENT>
                                            <ENT>0.00</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,6,6,12,12">
                                        <TTITLE>Appendix II to Part 1037—Power Take-Off Test Cycle</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Cycle simulation</CHED>
                                            <CHED H="1">Mode</CHED>
                                            <CHED H="1">Start time of mode</CHED>
                                            <CHED H="1">
                                                Normalized pressure, 
                                                <LI>circuit 1 </LI>
                                                <LI>(%)</LI>
                                            </CHED>
                                            <CHED H="1">
                                                Normalized pressure, 
                                                <LI>circuit 2 </LI>
                                                <LI>(%)</LI>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">Utility</ENT>
                                            <ENT>0</ENT>
                                            <ENT>0</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Utility</ENT>
                                            <ENT>1</ENT>
                                            <ENT>33</ENT>
                                            <ENT>80.5</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Utility</ENT>
                                            <ENT>2</ENT>
                                            <ENT>40</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Utility</ENT>
                                            <ENT>3</ENT>
                                            <ENT>145</ENT>
                                            <ENT>83.5</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Utility</ENT>
                                            <ENT>4</ENT>
                                            <ENT>289</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>5</ENT>
                                            <ENT>361</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>13.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>6</ENT>
                                            <ENT>363</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>38.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>7</ENT>
                                            <ENT>373</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>53.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>8</ENT>
                                            <ENT>384</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>73.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>9</ENT>
                                            <ENT>388</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>10</ENT>
                                            <ENT>401</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>13.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>11</ENT>
                                            <ENT>403</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>38.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>12</ENT>
                                            <ENT>413</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>53.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>13</ENT>
                                            <ENT>424</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>73.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>14</ENT>
                                            <ENT>442</ENT>
                                            <ENT>11.2</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>15</ENT>
                                            <ENT>468</ENT>
                                            <ENT>29.3</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>16</ENT>
                                            <ENT>473</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>17</ENT>
                                            <ENT>486</ENT>
                                            <ENT>11.2</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>18</ENT>
                                            <ENT>512</ENT>
                                            <ENT>29.3</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>19</ENT>
                                            <ENT>517</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>20</ENT>
                                            <ENT>530</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>11.1</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>21</ENT>
                                            <ENT>532</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>38.2</ENT>
                                        </ROW>
                                        <ROW>
                                            <PRTPAGE P="57437"/>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>22</ENT>
                                            <ENT>541</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>53.4</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>23</ENT>
                                            <ENT>550</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>73.5</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>24</ENT>
                                            <ENT>553</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>25</ENT>
                                            <ENT>566</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>11.1</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>26</ENT>
                                            <ENT>568</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>38.2</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>27</ENT>
                                            <ENT>577</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>53.4</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>28</ENT>
                                            <ENT>586</ENT>
                                            <ENT>12.8</ENT>
                                            <ENT>73.5</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>29</ENT>
                                            <ENT>589</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Refuse</ENT>
                                            <ENT>30</ENT>
                                            <ENT>600</ENT>
                                            <ENT>0.0</ENT>
                                            <ENT>0.0</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <HD SOURCE="HD1">Appendix III to Part 1037—Emission Control Identifiers</HD>
                                    <EXTRACT>
                                        <P>This appendix identifies abbreviations for emission control information labels, as required under § 1037.135.</P>
                                        <HD SOURCE="HD1">Vehicle Speed Limiters</HD>
                                        <FP SOURCE="FP-1">-VSL—Vehicle speed limiter</FP>
                                        <FP SOURCE="FP-1">-VSLS—“Soft-top” vehicle speed limiter</FP>
                                        <FP SOURCE="FP-1">-VSLE—Expiring vehicle speed limiter</FP>
                                        <FP SOURCE="FP-1">-VSLD—Vehicle speed limiter with both “soft-top” and expiration</FP>
                                        <HD SOURCE="HD1">Idle Reduction Technology</HD>
                                        <FP SOURCE="FP-1">-IRT5—Engine shutoff after 5 minutes or less of idling</FP>
                                        <FP SOURCE="FP-1">-IRTE—Expiring engine shutoff</FP>
                                        <HD SOURCE="HD1">Tires</HD>
                                        <FP SOURCE="FP-1">-LRRA—Low rolling resistance tires (all)</FP>
                                        <FP SOURCE="FP-1">-LRRD—Low rolling resistance tires (drive)</FP>
                                        <FP SOURCE="FP-1">-LRRS—Low rolling resistance tires (steer)</FP>
                                        <HD SOURCE="HD1">Aerodynamic Components</HD>
                                        <FP SOURCE="FP-1">-ATS—Aerodynamic side skirt and/or fuel tank fairing</FP>
                                        <FP SOURCE="FP-1">-ARF—Aerodynamic roof fairing</FP>
                                        <FP SOURCE="FP-1">-ARFR—Adjustable height aerodynamic roof fairing</FP>
                                        <FP SOURCE="FP-1">-TGR—Gap reducing fairing (tractor to trailer gap)</FP>
                                        <HD SOURCE="HD1">Other Components</HD>
                                        <FP SOURCE="FP-1">-ADVH—Vehicle includes advanced hybrid technology components</FP>
                                        <FP SOURCE="FP-1">
                                            -ADVO—Vehicle includes other advanced technology components (
                                            <E T="03">i.e.,</E>
                                             non-hybrid system)
                                        </FP>
                                        <FP SOURCE="FP-1">-INV—Vehicle includes innovative technology components</FP>
                                    </EXTRACT>
                                </SECTION>
                            </SUBPART>
                        </PART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1039">
                        <PART>
                            <HD SOURCE="HED">PART 1039—CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION ENGINES</HD>
                        </PART>
                        <AMDPAR>35. The authority citation for part 1039 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority:</HD>
                            <P>42 U.S.C. 7401-7671q.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1039">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart F—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>36. Section 1039.510 is amended by revising paragraph (b) introductory text to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1039.510 </SECTNO>
                            <SUBJECT>Which duty cycles do I use for transient testing?</SUBJECT>
                            <STARS/>
                            <P>(b) The transient test sequence consists of an initial run through the transient duty cycle from a cold start, 20 minutes with no engine operation, then a final run through the same transient duty cycle. Calculate the official transient emission result from the following equation:</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <PART>
                            <HD SOURCE="HED">PART 1065—ENGINE-TESTING PROCEDURES</HD>
                        </PART>
                        <AMDPAR>37. The authority citation for part 1065 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority:</HD>
                            <P>42 U.S.C. 7401-7671q.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart A—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>38. Section 1065.1 is amended by adding paragraph (h) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.1 </SECTNO>
                            <SUBJECT>Applicability.</SUBJECT>
                            <STARS/>
                            <P>(h) 40 CFR part 1066 describes how to measure emissions from vehicles that are subject to standards in g/mile or g/kilometer. Those vehicle testing provisions extensively reference portions of this part 1065. See 40 CFR part 1066 and the standard-setting part for additional information.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>39. Section 1065.15 is amended by revising paragraph (e) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.15 </SECTNO>
                            <SUBJECT>Overview of procedures for laboratory and field testing.</SUBJECT>
                            <STARS/>
                            <P>(e) The following figure illustrates the allowed measurement configurations described in this part 1065:</P>
                            <BILCOD>BILLING CODE 4910-59-P</BILCOD>
                            <GPH SPAN="3" DEEP="622">
                                <PRTPAGE P="57438"/>
                                <GID>ER15SE11.019</GID>
                            </GPH>
                            <BILCOD>BILLING CODE 4910-59-C</BILCOD>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>40. Section 1065.20 is amended by revising paragraphs (a) introductory text, (a)(1), and (e) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.20 </SECTNO>
                            <SUBJECT>Units of measure and overview of calculations.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">System of units.</E>
                                 The procedures in this part generally follow the 
                                <PRTPAGE P="57439"/>
                                International System of Units (SI), as detailed in NIST Special Publication 811, which we incorporate by reference in § 1065.1010. The following exceptions apply:
                            </P>
                            <P>
                                (1) We designate angular speed, 
                                <E T="03">f</E>
                                <E T="52">n,</E>
                                 of an engine's crankshaft in revolutions per minute (r/min), rather than the SI unit of radians per second (rad/s). This is based on the commonplace use of r/min in many engine dynamometer laboratories.
                            </P>
                            <STARS/>
                            <P>
                                (e) 
                                <E T="03">Rounding.</E>
                                 You are required to round certain final values, such as final emission values. You may round intermediate values when transferring data as long as you maintain at least six significant digits (which requires more than six decimal places for values less than 0.1), or all significant digits if fewer than six digits are available. Unless the standard-setting part specifies otherwise, do not round other intermediate values. Round values to the number of significant digits necessary to match the number of decimal places of the applicable standard or specification as described in this paragraph (e). Note that specifications expressed as percentages have infinite precision (as described in paragraph (e)(7) of this section). Use the following rounding convention, which is consistent with ASTM E29 and NIST SP 811:
                            </P>
                            <P>(1) If the first (left-most) digit to be removed is less than five, remove all the appropriate digits without changing the digits that remain. For example, 3.141593 rounded to the second decimal place is 3.14.</P>
                            <P>(2) If the first digit to be removed is greater than five, remove all the appropriate digits and increase the lowest-value remaining digit by one. For example, 3.141593 rounded to the fourth decimal place is 3.1416.</P>
                            <P>(3) If the first digit to be removed is five with at least one additional non-zero digit following the five, remove all the appropriate digits and increase the lowest-value remaining digit by one. For example, 3.141593 rounded to the third decimal place is 3.142.</P>
                            <P>(4) If the first digit to be removed is five with no additional non-zero digits following the five, remove all the appropriate digits, increase the lowest-value remaining digit by one if it is odd and leave it unchanged if it is even. For example, 1.75 and 1.750 rounded to the first decimal place are 1.8; while 1.85 and 1.850 rounded to the first decimal place are also 1.8. Note that this rounding procedure will always result in an even number for the lowest-value digit.</P>
                            <P>
                                (5) This paragraph (e)(5) applies if the regulation specifies rounding to an increment other than decimal places or powers of ten (to the nearest 0.01, 0.1, 1, 10, 100, 
                                <E T="03">etc.</E>
                                ). To round numbers for these special cases, divide the quantity by the specified rounding increment. Round the result to the nearest whole number as described in paragraphs (e)(1) through (4) of this section. Multiply the rounded number by the specified rounding increment. This value is the desired result. For example, to round 0.90 to the nearest 0.2, divide 0.90 by 0.2 to get a result of 4.5, which rounds to 4. Multiplying 4 by 0.2 gives 0.8, which is the result of rounding 0.90 to the nearest 0.2.
                            </P>
                            <P>(6) The following tables further illustrate the rounding procedures specified in this paragraph (e):</P>
                            <GPOTABLE COLS="5" OPTS="L2,p8,8/9,i1" CDEF="s25,12,12,12,12">
                                <TTITLE> </TTITLE>
                                <BOXHD>
                                    <CHED H="1">Quantity</CHED>
                                    <CHED H="1">Rounding increment</CHED>
                                    <CHED H="2">10</CHED>
                                    <CHED H="2">1</CHED>
                                    <CHED H="2">0.1</CHED>
                                    <CHED H="2">0.01</CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">3.141593</ENT>
                                    <ENT>0</ENT>
                                    <ENT>3</ENT>
                                    <ENT>3.1</ENT>
                                    <ENT>3.14</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">123,456.789</ENT>
                                    <ENT>123,460</ENT>
                                    <ENT>123,457</ENT>
                                    <ENT>123,456.8</ENT>
                                    <ENT>123,456.79</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5.500</ENT>
                                    <ENT>10</ENT>
                                    <ENT>6</ENT>
                                    <ENT>5.5</ENT>
                                    <ENT>5.50</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">4.500</ENT>
                                    <ENT>0</ENT>
                                    <ENT>4</ENT>
                                    <ENT>4.5</ENT>
                                    <ENT>4.50</ENT>
                                </ROW>
                            </GPOTABLE>
                            <GPOTABLE COLS="5" OPTS="L2,p8,8/9,i1" CDEF="s25,12,12,12,12">
                                <TTITLE> </TTITLE>
                                <BOXHD>
                                    <CHED H="1">Quantity</CHED>
                                    <CHED H="1">Rounding increment</CHED>
                                    <CHED H="2">25</CHED>
                                    <CHED H="2">3</CHED>
                                    <CHED H="2">0.5</CHED>
                                    <CHED H="2">0.02</CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">229.267</ENT>
                                    <ENT>225</ENT>
                                    <ENT>228</ENT>
                                    <ENT>229.5</ENT>
                                    <ENT>229.26</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">62.500</ENT>
                                    <ENT>50</ENT>
                                    <ENT>63</ENT>
                                    <ENT>62.5</ENT>
                                    <ENT>62.50</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">87.500</ENT>
                                    <ENT>100</ENT>
                                    <ENT>87</ENT>
                                    <ENT>87.5</ENT>
                                    <ENT>87.50</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">7.500</ENT>
                                    <ENT>0</ENT>
                                    <ENT>6</ENT>
                                    <ENT>7.5</ENT>
                                    <ENT>7.50</ENT>
                                </ROW>
                            </GPOTABLE>
                            <P> (7) This paragraph (e)(7) applies where we specify a limit or tolerance as some percentage of another value (such as ±2% of a maximum concentration). You may show compliance with such specifications either by applying the percentage to the total value to calculate an absolute limit, or by converting the absolute value to a percentage by dividing it by the total value.</P>
                            <P>(i) Do not round either value (the absolute limit or the calculated percentage), except as specified in paragraph (e)(7)(ii) of this section. For example, assume we specify that an analyzer must have a repeatability of ±1% of the maximum concentration or better, the maximum concentration is 1059 ppm, and you determine repeatability to be ±6.3 ppm. In this example, you could calculate an absolute limit of ±10.59 ppm (1059 ppm × 0.01) or calculate that the 6.3 ppm repeatability is equivalent to a repeatability of 0.5949008498584%.</P>
                            <P>(ii) Prior to July 1, 2013, you may treat tolerances (and equivalent specifications) specified in percentages as having fixed rather than infinite precision. For example, 2% would be equivalent to 1.51% to 2.50% and 2.0% would be equivalent to 1.951% to 2.050%. Note that this allowance applies whether or not the percentage is explicitly specified as a percentage of another value.</P>
                            <P>
                                (8) You may use measurement devices that incorporate internal rounding, consistent with the provisions of this paragraph (e)(8). You may use devices that use any rounding convention if they report six or more significant digits. You may use devices that report fewer than six digits, consistent with good engineering judgment and the accuracy, repeatability, and noise specifications of this part. Note that this provision does not necessarily require 
                                <PRTPAGE P="57440"/>
                                you to perform engineering analysis or keep records.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart B—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>41. Section 1065.125 is amended by revising paragraph (e)(1) introductory text to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.125 </SECTNO>
                            <SUBJECT>Engine intake air.</SUBJECT>
                            <STARS/>
                            <P>(e) * * *</P>
                            <P>(1) Use a charge-air cooling system with a total intake-air capacity that represents production engines' in-use installation. Design any laboratory charge-air cooling system to minimize accumulation of condensate. Drain any accumulated condensate. Before starting a duty cycle (or preconditioning for a duty cycle), completely close all drains that would normally be closed during in-use operation. Keep those drains closed during the emission test. Maintain coolant conditions as follows:</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>42. Section 1065.140 is amended by revising paragraphs (c)(6)(ii)(C) and (D) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.140 </SECTNO>
                            <SUBJECT>Dilution for gaseous and PM constituents.</SUBJECT>
                            <STARS/>
                            <P>(c) * * *</P>
                            <P>(6) * * *</P>
                            <P>(ii) * * *</P>
                            <P>(C) Identify the maximum potential mole fraction of dilute exhaust lost on a continuous basis during the entire test interval. This value must be less than or equal to 0.02. Calculate on a continuous basis the mole fraction of water that would be in equilibrium with liquid water at the measured minimum surface temperature. Subtract this mole fraction from the mole fraction of water that would be in the exhaust without condensation (either measured or from the chemical balance), and set any negative values to zero. This difference is the potential mole fraction of the dilute exhaust that would be lost due to water condensation on a continuous basis.</P>
                            <P>(D) Integrate the product of the molar flow rate of the dilute exhaust and the potential mole fraction of dilute exhaust lost, and divide by the totalized dilute exhaust molar flow over the test interval. This is the potential mole fraction of the dilute exhaust that would be lost due to water condensation over the entire test interval. Note that this assumes no re-evaporation. This value must be less than or equal to 0.005.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>43. Section 1065.170 is amended by revising paragraph (c)(1)(vi) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.170 </SECTNO>
                            <SUBJECT>Batch sampling for gaseous and PM constituents.</SUBJECT>
                            <STARS/>
                            <P>(c) * * *</P>
                            <P>(1) * * *</P>
                            <P>(vi) Maintain a filter face velocity near 100 cm/s with less than 5% of the recorded flow values exceeding 100 cm/s, unless you expect the net PM mass on the filter to exceed 400 µg, assuming a 38 mm diameter filter stain area. Measure face velocity as the volumetric flow rate of the sample at the pressure upstream of the filter and temperature of the filter face as measured in § 1065.140(e), divided by the filter's exposed area. You may use the exhaust stack or CVS tunnel pressure for the upstream pressure if the pressure drop through the PM sampler up to the filter is less than 2 kPa.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>44. Section 1065.190 is amended by revising Table 1 in paragraph (d)(3) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.190 </SECTNO>
                            <SUBJECT>PM-stabilization and weighing environments for gravimetric analysis.</SUBJECT>
                            <STARS/>
                            <P>(d) * * *</P>
                            <P>(3) * * *</P>
                            <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,xs48,xs48,xs48">
                                <TTITLE>Table 1 of § 1065.190—Dewpoint Tolerance as a Function of % PM Change and % Sulfuric Acid PM</TTITLE>
                                <BOXHD>
                                    <CHED H="1">Expected sulfuric acid fraction of PM</CHED>
                                    <CHED H="1">±0.5% PM mass change</CHED>
                                    <CHED H="1">±1% PM mass change</CHED>
                                    <CHED H="1">±2% PM mass change</CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">5%</ENT>
                                    <ENT>±3 °C</ENT>
                                    <ENT>±6 °C</ENT>
                                    <ENT>±12 °C</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">50%</ENT>
                                    <ENT>±0.3 °C</ENT>
                                    <ENT>±0.6 °C</ENT>
                                    <ENT>±1.2 °C</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">100%</ENT>
                                    <ENT>±0.15 °C</ENT>
                                    <ENT>±0.3 °C</ENT>
                                    <ENT>±0.6 °C</ENT>
                                </ROW>
                            </GPOTABLE>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart C—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>45. Section 1065.205 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.205 </SECTNO>
                            <SUBJECT>Performance specifications for measurement instruments.</SUBJECT>
                            <P>Your test system as a whole must meet all the applicable calibrations, verifications, and test-validation criteria specified in subparts D and F of this part or subpart J of this part for using PEMS and for performing field testing. We recommend that your instruments meet the specifications in Table 1 of this section for all ranges you use for testing. We also recommend that you keep any documentation you receive from instrument manufacturers showing that your instruments meet the specifications in Table 1 of this section.</P>
                            <BILCOD>BILLING CODE  4910-59-P</BILCOD>
                            <GPH SPAN="3" DEEP="640">
                                <PRTPAGE P="57441"/>
                                <GID>ER15SE11.020</GID>
                            </GPH>
                            <BILCOD>BILLING CODE  4910-59-C</BILCOD>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>46. Section 1065.220 is amended by revising paragraph (a) introductory text and adding paragraph (a)(1)(iii) to read as follows:</AMDPAR>
                        <SECTION>
                            <PRTPAGE P="57442"/>
                            <SECTNO>§ 1065.220 </SECTNO>
                            <SUBJECT>Fuel flow meter.</SUBJECT>
                            <P>
                                (a)
                                <E T="03"> Application.</E>
                                 You may use fuel flow in combination with a chemical balance of fuel, inlet air, and raw exhaust to calculate raw exhaust flow as described in § 1065.655(e), as follows:
                            </P>
                            <P>(1) * * *</P>
                            <P>(iii) For calculating the dilution air flow for background correction as described in § 1065.667.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>47. Section 1065.225 is amended by revising paragraph (a) introductory text and adding paragraphs (a)(1)(iii) and (a)(1)(iv) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.225 </SECTNO>
                            <SUBJECT>Intake-air flow meter.</SUBJECT>
                            <STARS/>
                            <P>
                                (a) 
                                <E T="03">Application.</E>
                                 You may use an intake-air flow meter in combination with a chemical balance of fuel, inlet air, and raw exhaust to calculate raw exhaust flow as described in § 1065.655(e) and (f), as follows:
                            </P>
                            <P>(1) * * *</P>
                            <P>(iii) For validating minimum dilution ratio for PM batch sampling as described in § 1065.546.</P>
                            <P>(iv) For calculating the dilution air flow for background correction as described in § 1065.667.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>48. Section 1065.250 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.250 </SECTNO>
                            <SUBJECT>Nondispersive infrared analyzer.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">Application.</E>
                                 Use a nondispersive infrared (NDIR) analyzer to measure CO and CO
                                <E T="52">2</E>
                                 concentrations in raw or diluted exhaust for either batch or continuous sampling.
                            </P>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use an NDIR analyzer that meets the specifications in Table 1 of § 1065.205. Note that your NDIR-based system must meet the calibration and verifications in §§ 1065.350 and 1065.355 and it must also meet the linearity verification in § 1065.307. You may use an NDIR analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>49. Section 1065.260 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.260 </SECTNO>
                            <SUBJECT>Flame-ionization detector.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">Application.</E>
                                 Use a flame-ionization detector (FID) analyzer to measure hydrocarbon concentrations in raw or diluted exhaust for either batch or continuous sampling. Determine hydrocarbon concentrations on a carbon number basis of one, C
                                <E T="52">1</E>
                                . For measuring THC or THCE you must use a FID analyzer. For measuring CH
                                <E T="52">4</E>
                                 you must meet the requirements of paragraph (f) of this section. See subpart I of this part for special provisions that apply to measuring hydrocarbons when testing with oxygenated fuels.
                            </P>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use a FID analyzer that meets the specifications in Table 1 of § 1065.205. Note that your FID-based system for measuring THC, THCE, or CH
                                <E T="52">4</E>
                                 must meet all the verifications for hydrocarbon measurement in subpart D of this part, and it must also meet the linearity verification in § 1065.307. You may use a FID analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                            <P>
                                (c) 
                                <E T="03">Heated FID analyzers.</E>
                                 For measuring THC or THCE from compression-ignition engines, two-stroke spark-ignition engines, and four-stroke spark-ignition engines below 19 kW, you must use heated FID analyzers that maintain all surfaces that are exposed to emissions at a temperature of (191 ±11) °C.
                            </P>
                            <P>
                                (d) 
                                <E T="03">FID fuel and burner air.</E>
                                 Use FID fuel and burner air that meet the specifications of § 1065.750. Do not allow the FID fuel and burner air to mix before entering the FID analyzer to ensure that the FID analyzer operates with a diffusion flame and not a premixed flame.
                            </P>
                            <P>
                                (e) 
                                <E T="03">NMHC.</E>
                                 For demonstrating compliance with NMHC standards, you may either measure THC and CH
                                <E T="52">4</E>
                                 and determine NMHC as described in § 1065.660(b)(2) or (3), or you may measure THC and determine NMHC as described in § 1065.660(b)(1).
                            </P>
                            <P>
                                (f) 
                                <E T="03">CH</E>
                                <E T="54">4</E>
                                . For reporting CH
                                <E T="52">4</E>
                                 or for demonstrating compliance with CH
                                <E T="52">4</E>
                                 standards, you may use a FID analyzer with a nonmethane cutter as described in § 1065.265 or you may use a GC-FID as described in § 1065.267. Determine CH
                                <E T="52">4</E>
                                 as described in § 1065.660(c).
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>50. Section 1065.265 is amended by revising paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.265 </SECTNO>
                            <SUBJECT>Nonmethane cutter.</SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">System performance.</E>
                                 Determine nonmethane-cutter performance as described in § 1065.365 and use the results to calculate CH
                                <E T="52">4</E>
                                 or NMHC emissions in § 1065.660.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>51. Section 1065.267 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.267 </SECTNO>
                            <SUBJECT>Gas chromatograph with a flame ionization detector.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">Application.</E>
                                 You may use a gas chromatograph with a flame ionization detector (GC-FID) to measure CH
                                <E T="52">4</E>
                                 concentrations of diluted exhaust for batch sampling. While you may also use a nonmethane cutter to measure CH
                                <E T="52">4</E>
                                , as described in § 1065.265, use a reference procedure based on a gas chromatograph for comparison with any proposed alternate measurement procedure under § 1065.10.
                            </P>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use a GC-FID that meets the specifications in Table 1 of § 1065.205, and it must also meet the linearity verification in § 1065.307.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>52. Section 1065.270 is amended by revising paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.270 </SECTNO>
                            <SUBJECT>Chemiluminescent detector.</SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use a CLD that meets the specifications in Table 1 of § 1065.205. Note that your CLD-based system must meet the quench verification in § 1065.370 and it must also meet the linearity verification in § 1065.307. You may use a heated or unheated CLD, and you may use a CLD that operates at atmospheric pressure or under a vacuum. You may use a CLD that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                            <STARS/>
                        </SECTION>
                        <AMDPAR>53. Section 1065.272 is amended by revising paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.272 </SECTNO>
                            <SUBJECT>
                                N
                                <E T="52">2</E>
                                O measurement devices.
                            </SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use an NDUV analyzer that meets the specifications in Table 1 of § 1065.205. Note that your NDUV-based system must meet the verifications in § 1065.372 and it must also meet the linearity verification in § 1065.307. You may use a NDUV analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                            <STARS/>
                            <PRTPAGE P="57443"/>
                        </SECTION>
                        <AMDPAR>54. Section 1065.275 is amended by revising paragraphs (b) and (c) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.275 </SECTNO>
                            <SUBJECT>
                                N
                                <E T="0732">2</E>
                                O measurement devices.
                            </SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Instrument types.</E>
                                 You may use any of the following analyzers to measure N
                                <E T="52">2</E>
                                O:
                            </P>
                            <P>
                                (1) 
                                <E T="03">Nondispersive infrared (NDIR) analyzer.</E>
                                 You may use an NDIR analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                            <P>
                                (2) 
                                <E T="03">Fourier transform infrared (FTIR) analyzer.</E>
                                 You may use an FTIR analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias. Use appropriate analytical procedures for interpretation of infrared spectra. For example, EPA Test Method 320 is considered a valid method for spectral interpretation (see 
                                <E T="03">http://www.epa.gov/ttn/emc/methods/method320.html</E>
                                ).
                            </P>
                            <P>
                                (3) 
                                <E T="03">Laser infrared analyzer.</E>
                                 You may use a laser infrared analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias. Examples of laser infrared analyzers are pulsed-mode high-resolution narrow band mid-infrared analyzers, and modulated continuous wave high-resolution narrow band mid-infrared analyzers.
                            </P>
                            <P>
                                (4) 
                                <E T="03">Photoacoustic analyzer.</E>
                                 You may use a photoacoustic analyzer that has compensation algorithms that are functions of other gaseous measurements. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias. Use an optical wheel configuration that gives analytical priority to measurement of the least stable components in the sample. Select a sample integration time of at least 5 seconds. Take into account sample chamber and sample line volumes when determining flush times for your instrument.
                            </P>
                            <P>
                                (5) 
                                <E T="03">Gas chromatograph analyzer.</E>
                                 You may use a gas chromatograph with an electron-capture detector (GC-ECD) to measure N
                                <E T="52">2</E>
                                O concentrations of diluted exhaust for batch sampling.
                            </P>
                            <P>
                                (i) You may use a packed or porous layer open tubular (PLOT) column phase of suitable polarity and length to achieve adequate resolution of the N
                                <E T="52">2</E>
                                O peak for analysis. Examples of acceptable columns are a PLOT column consisting of bonded polystyrene-divinylbenzene or a Porapack Q packed column. Take the column temperature profile and carrier gas selection into consideration when setting up your method to achieve adequate N
                                <E T="52">2</E>
                                O peak resolution.
                            </P>
                            <P>(ii) Use good engineering judgment to zero your instrument and correct for drift. You do not need to follow the specific procedures in §§ 1065.530 and 1065.550(b) that would otherwise apply. For example, you may perform a span gas measurement before and after sample analysis without zeroing and use the average area counts of the pre-span and post-span measurements to generate a response factor (area counts/span gas concentration), which you then multiply by the area counts from your sample to generate the sample concentration.</P>
                            <P>
                                (c) 
                                <E T="03">Interference verification.</E>
                                 Perform interference verification for NDIR, FTIR, laser infrared analyzers, and photoacoustic analyzers using the procedures of § 1065.375. Interference verification is not required for GC-ECD. Certain interference gases can positively interfere with NDIR, FTIR, and photoacoustic analyzers by causing a response similar to N
                                <E T="52">2</E>
                                O. When running the interference verification for these analyzers, use interference gases as follows:
                            </P>
                            <P>
                                (1) The interference gases for NDIR analyzers are CO, CO
                                <E T="52">2</E>
                                , H
                                <E T="52">2</E>
                                O, CH
                                <E T="52">4</E>
                                , and SO
                                <E T="52">2</E>
                                . Note that interference species, with the exception of H
                                <E T="52">2</E>
                                O, are dependent on the N
                                <E T="52">2</E>
                                O infrared absorption band chosen by the instrument manufacturer. For each analyzer determine the N
                                <E T="52">2</E>
                                O infrared absorption band. For each N
                                <E T="52">2</E>
                                O infrared absorption band, use good engineering judgment to determine which interference gases to use in the verification.
                            </P>
                            <P>
                                (2) Use good engineering judgment to determine interference gases for FTIR, and laser infrared analyzers. Note that interference species, with the exception of H
                                <E T="52">2</E>
                                O, are dependent on the N
                                <E T="52">2</E>
                                O infrared absorption band chosen by the instrument manufacturer. For each analyzer determine the N
                                <E T="52">2</E>
                                O infrared absorption band. For each N
                                <E T="52">2</E>
                                O infrared absorption band, use good engineering judgment to determine interference gases to use in the verification.
                            </P>
                            <P>
                                (3) The interference gases for photoacoustic analyzers are CO, CO
                                <E T="52">2</E>
                                , and H
                                <E T="52">2</E>
                                O.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>55. Section 1065.280 is amended by revising paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.280 </SECTNO>
                            <SUBJECT>
                                Paramagnetic and magnetopneumatic O
                                <E T="0732">2</E>
                                 detection analyzers.
                            </SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use a PMD or MPD analyzer that meets the specifications in Table 1 of § 1065.205. Note that it must meet the linearity verification in § 1065.307. You may use a PMD or MPD that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>56. Section 1065.284 is amended by revising paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.284 </SECTNO>
                            <SUBJECT>
                                Zirconia (ZrO
                                <E T="0732">2</E>
                                ) analyzer.
                            </SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use a ZrO
                                <E T="52">2</E>
                                 analyzer that meets the specifications in Table 1 of § 1065.205. Note that your ZrO
                                <E T="52">2</E>
                                -based system must meet the linearity verification in § 1065.307. You may use a Zirconia analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>57. Section 1065.295 is amended by revising paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.295 </SECTNO>
                            <SUBJECT>PM inertial balance for field-testing analysis.</SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Component requirements.</E>
                                 We recommend that you use a balance that meets the specifications in Table 1 of § 1065.205. Note that your balance-based system must meet the linearity verification in § 1065.307. If the balance uses an internal calibration process for routine spanning and linearity verifications, the process must be NIST-traceable. You may use an inertial PM balance that has compensation algorithms that are functions of other gaseous measurements and the engine's known or assumed fuel properties. The target value for any compensation algorithm is 0% (that is, no bias high and no bias low), regardless of the uncompensated signal's bias.
                            </P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <PRTPAGE P="57444"/>
                            <HD SOURCE="HED">Subpart D—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>58. Section 1065.303 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.303 </SECTNO>
                            <SUBJECT>Summary of required calibration and verifications.</SUBJECT>
                            <P>The following table summarizes the required and recommended calibrations and verifications described in this subpart and indicates when these have to be performed:</P>
                            <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,r200">
                                <TTITLE>Table 1 of § 1065.303—Summary of Required Calibration and Verifications</TTITLE>
                                <BOXHD>
                                    <CHED H="1">Type of calibration or verification</CHED>
                                    <CHED H="1">
                                        Minimum frequency 
                                        <SU>a</SU>
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">§ 1065.305: Accuracy, repeatability and noise</ENT>
                                    <ENT>Accuracy: Not required, but recommended for initial installation.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Repeatability: Not required, but recommended for initial installation.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Noise: Not required, but recommended for initial installation.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.307: Linearity verification</ENT>
                                    <ENT>Speed: Upon initial installation, within 370 days before testing and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Torque: Upon initial installation, within 370 days before testing and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Electrical power: Upon initial installation, within 370 days before testing and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Fuel flow rate: Upon initial installation, within 370 days before testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Intake-air, dilution air, diluted exhaust, and batch sampler flow rates: Upon initial installation, within 370 days before testing and after major maintenance, unless flow is verified by propane check or by carbon or oxygen balance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Raw exhaust flow rate: Upon initial installation, within 185 days before testing and after major maintenance, unless flow is verified by propane check or by carbon or oxygen balance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Gas dividers: Upon initial installation, within 370 days before testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Gas analyzers (unless otherwise noted): Upon initial installation, within 35 days before testing and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>FTIR and photoacoustic analyzers: Upon initial installation, within 370 days before testing and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>GC-ECD: Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>PM balance: Upon initial installation, within 370 days before testing and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Pressure, temperature, and dewpoint: Upon initial installation, within 370 days before testing and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.308: Continuous gas analyzer system response and updating-recording verification—for gas analyzers not continuously compensated for other gas species</ENT>
                                    <ENT>Upon initial installation or after system modification that would affect response.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.309: Continuous gas analyzer system-response and updating-recording verification—for gas analyzers continuously compensated for other gas species</ENT>
                                    <ENT>Upon initial installation or after system modification that would affect response.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.310: Torque</ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.315: Pressure, temperature, dewpoint</ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.320: Fuel flow</ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.325: Intake flow</ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.330: Exhaust flow</ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.340: Diluted exhaust flow (CVS)</ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.341: CVS and batch sampler verification 
                                        <SU>b</SU>
                                    </ENT>
                                    <ENT>Upon initial installation, within 35 days before testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.342 Sample dryer verification</ENT>
                                    <ENT>For thermal chillers: upon installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>For osmotic membranes; upon installation, within 35 days of testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.345: Vacuum leak</ENT>
                                    <ENT>For laboratory testing: upon initial installation of the sampling system, within 8 hours before the start of the first test interval of each duty-cycle sequence, and after maintenance such as pre-filter changes.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>For field testing: after each installation of the sampling system on the vehicle, prior to the start of the field test, and after maintenance such as pre-filter changes.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.350: CO
                                        <E T="52">2</E>
                                         NDIR H
                                        <E T="52">2</E>
                                        O interference
                                    </ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.355: CO NDIR CO
                                        <E T="52">2</E>
                                         and H
                                        <E T="52">2</E>
                                        O interference
                                    </ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.360: FID calibrationn </ENT>
                                    <ENT>Calibrate all FID analyzers: upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">THC FID optimization, and THC FID verification</ENT>
                                    <ENT>
                                        Optimize and determine CH
                                        <E T="52">4</E>
                                         response for THC FID analyzers: upon initial installation and after major maintenance.
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>
                                        Verify CH
                                        <E T="52">4</E>
                                         response for THC FID analyzers: upon initial installation, within 185 days before testing, and after major maintenance.
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.362: Raw exhaust FID O
                                        <E T="52">2</E>
                                         interference
                                    </ENT>
                                    <ENT>For all FID analyzers: upon initial installation, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>For THC FID analyzers: upon initial installation, after major maintenance, and after FID optimization according to § 1065.360.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.365: Nonmethane cutter penetration</ENT>
                                    <ENT>Upon initial installation, within 185 days before testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.370: CLD CO
                                        <E T="52">2</E>
                                         and H
                                        <E T="52">2</E>
                                        O quench
                                    </ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.372: NDUV HC and H
                                        <E T="52">2</E>
                                        O interference
                                    </ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.375: N
                                        <E T="52">2</E>
                                        O analyzer interference
                                    </ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.376: Chiller NO
                                        <E T="52">2</E>
                                         penetration
                                    </ENT>
                                    <ENT>Upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        § 1065.378: NO
                                        <E T="52">2</E>
                                        -to-NO converter conversion
                                    </ENT>
                                    <ENT>Upon initial installation, within 35 days before testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <PRTPAGE P="57445"/>
                                    <ENT I="01">§ 1065.390: PM balance and weighing</ENT>
                                    <ENT>Independent verification: upon initial installation, within 370 days before testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Zero, span, and reference sample verifications: within 12 hours of weighing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">§ 1065.395: Inertial PM balance and weighing</ENT>
                                    <ENT>Independent verification: upon initial installation, within 370 days before testing, and after major maintenance.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="22"> </ENT>
                                    <ENT>Other verifications: upon initial installation and after major maintenance.</ENT>
                                </ROW>
                                <TNOTE>
                                    <SU>a</SU>
                                     Perform calibrations and verifications more frequently, according to measurement system manufacturer instructions and good engineering judgment.
                                </TNOTE>
                                <TNOTE>
                                    <SU>b</SU>
                                     The CVS verification described in § 1065.341 is not required for systems that agree within ±2% based on a chemical balance of carbon or oxygen of the intake air, fuel, and diluted exhaust.
                                </TNOTE>
                            </GPOTABLE>
                        </SECTION>
                        <AMDPAR>59. Section 1065.307 is amended by revising paragraph (a) and Table 1 at the end of the section to read as follows:</AMDPAR>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <SECTION>
                            <SECTNO>§ 1065.307 </SECTNO>
                            <SUBJECT>Linearity verification.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">Scope and frequency.</E>
                                 Perform a linearity verification on each measurement system listed in Table 1 of this section at least as frequently as indicated in Table 1 of § 1065.303, consistent with measurement system manufacturer recommendations and good engineering judgment. Note that this linearity verification may replace requirements we previously referred to as “calibrations”. The intent of a linearity verification is to determine that a measurement system responds proportionally over the measurement range of interest. A linearity verification generally consists of introducing a series of at least 10 reference values to a measurement system. The measurement system quantifies each reference value. The measured values are then collectively compared to the reference values by using a least squares linear regression and the linearity criteria specified in Table 1 of this section.
                            </P>
                            <STARS/>
                            <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,10C,r25,10,r25,10">
                                <TTITLE>Table 1 of § 1065.307—Measurement Systems That Require Linearity Verifications</TTITLE>
                                <BOXHD>
                                    <CHED H="1">Measurement system</CHED>
                                    <CHED H="1">Quantity</CHED>
                                    <CHED H="1">Linearity criteria</CHED>
                                    <CHED H="2">
                                        | 
                                        <E T="03"> x</E>
                                        <E T="52">min</E>
                                        (
                                        <E T="03">a</E>
                                        <E T="52">1</E>
                                        -1)+
                                        <E T="03">a</E>
                                        <E T="52">0</E>
                                         |
                                    </CHED>
                                    <CHED H="2">
                                        <E T="03">a</E>
                                        <E T="52">1</E>
                                    </CHED>
                                    <CHED H="2">
                                        <E T="03">SEE</E>
                                    </CHED>
                                    <CHED H="2">
                                        <E T="03">
                                            r
                                            <SU>2</SU>
                                        </E>
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">Speed</ENT>
                                    <ENT>
                                        ƒ
                                        <E T="52">n</E>
                                    </ENT>
                                    <ENT O="xl">
                                        ≤ 0.05% · ƒ
                                        <E T="52">nmax</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT O="xl">
                                        ≤ 2% · ƒ
                                        <E T="52">nmax</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Torque</ENT>
                                    <ENT>
                                        <E T="03">T</E>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">T</E>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT>
                                        ≤ 2% · 
                                        <E T="03">T</E>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Electrical power</ENT>
                                    <ENT>
                                        <E T="03">P</E>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">P</E>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT>
                                        ≤ 2% · 
                                        <E T="03">P</E>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Fuel flow rate</ENT>
                                    <ENT>
                                        <E T="03">m</E>
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">m</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT O="xl">
                                        ≤ 2% · 
                                        <E T="03">m</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Intake-air flow rate</ENT>
                                    <ENT>
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT>
                                        ≤ 2% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Dilution air flow rate</ENT>
                                    <ENT>
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT>
                                        ≤ 2% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Diluted exhaust flow rate</ENT>
                                    <ENT>
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT>
                                        ≤ 2% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Raw exhaust flow rate</ENT>
                                    <ENT>
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT>
                                        ≤ 2% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Batch sampler flow rates</ENT>
                                    <ENT>
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT>
                                        ≤ 2% · 
                                        <E T="03">n</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Gas dividers</ENT>
                                    <ENT>
                                        <E T="03">x/x</E>
                                        <E T="52">span</E>
                                    </ENT>
                                    <ENT O="xl">
                                        ≤ 0.5% · 
                                        <E T="03">x</E>
                                        <E T="52">max/x</E>
                                        <E T="52">span</E>
                                    </ENT>
                                    <ENT>0.98-1.02</ENT>
                                    <ENT O="xl">
                                        ≤ 2% · 
                                        <E T="03">x</E>
                                        <E T="52">max/x</E>
                                        <E T="52">span</E>
                                    </ENT>
                                    <ENT>≥ 0.990</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Gas analyzers for laboratory testing</ENT>
                                    <ENT>
                                        <E T="03">x</E>
                                    </ENT>
                                    <ENT>
                                        ≤ 0.5% · 
                                        <E T="03">x</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.99-1.01</ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">x</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.998</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Gas analyzers for field testing</ENT>
                                    <ENT>
                                        <E T="03">x</E>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">x</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.99-1.01</ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">x</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.998</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">PM balance</ENT>
                                    <ENT>
                                        <E T="03">m</E>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">m</E>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.99-1.01</ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">m</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.998</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Pressures</ENT>
                                    <ENT>
                                        <E T="03">p</E>
                                    </ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">p</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.99-1.01</ENT>
                                    <ENT>
                                        ≤ 1% · 
                                        <E T="03">p</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.998</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Dewpoint for intake air, PM-stabilization and balance environments</ENT>
                                    <ENT>
                                        <E T="03">T</E>
                                        <E T="52">dew</E>
                                    </ENT>
                                    <ENT O="xl">
                                        ≤ 0.5% · 
                                        <E T="03">T</E>
                                        <E T="52">dewmax</E>
                                    </ENT>
                                    <ENT>0.99-1.01</ENT>
                                    <ENT O="xl">
                                        ≤ 0.5% · 
                                        <E T="03">T</E>
                                        <E T="52">dewmax</E>
                                    </ENT>
                                    <ENT>≥ 0.998</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Other dewpoint measurements</ENT>
                                    <ENT>
                                        <E T="03">T</E>
                                        <E T="52">dew</E>
                                    </ENT>
                                    <ENT O="xl">
                                        ≤ 1% · 
                                        <E T="03">T</E>
                                        <E T="52">dewmax</E>
                                    </ENT>
                                    <ENT>0.99-1.01</ENT>
                                    <ENT O="xl">
                                        ≤ 1% · 
                                        <E T="03">T</E>
                                        <E T="52">dewmax</E>
                                    </ENT>
                                    <ENT>≥ 0.998</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Analog-to-digital conversion of temperature signals</ENT>
                                    <ENT>
                                        <E T="03">T</E>
                                    </ENT>
                                    <ENT O="xl">
                                        ≤ 1% · 
                                        <E T="03">T</E>
                                        <AC T="b"/>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>0.99-1.01</ENT>
                                    <ENT O="xl">
                                        ≤ 1% · 
                                        <E T="03">T</E>
                                        <E T="52">max</E>
                                    </ENT>
                                    <ENT>≥ 0.998</ENT>
                                </ROW>
                            </GPOTABLE>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>60. Section 1065.340 is amended by revising paragraphs (a) through (g), adding paragraph (h), and adding and reserving paragraph (i) before Figure 1 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.340 </SECTNO>
                            <SUBJECT>Diluted exhaust flow (CVS) calibration.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">Overview.</E>
                                 This section describes how to calibrate flow meters for diluted exhaust constant-volume sampling (CVS) systems.
                            </P>
                            <P>
                                (b) 
                                <E T="03">Scope and frequency.</E>
                                 Perform this calibration while the flow meter is installed in its permanent position, except as allowed in paragraph (c) of this section. Perform this calibration after you change any part of the flow configuration upstream or downstream of the flow meter that may affect the flow-meter calibration. Perform this calibration upon initial CVS installation and whenever corrective action does not resolve a failure to meet the diluted exhaust flow verification (
                                <E T="03">i.e.,</E>
                                 propane check) in § 1065.341.
                            </P>
                            <P>
                                (c) 
                                <E T="03">Ex-situ CFV and SSV calibration.</E>
                                 You may remove a CFV or SSV from its permanent position for calibration as long as it meets the following requirements when installed in the CVS:
                            </P>
                            <P>(1) Upon installation of the CFV or SSV into the CVS, use good engineering judgment to verify that you have not introduced any leaks between the CVS inlet and the venturi.</P>
                            <P>(2) After ex-situ venturi calibration, you must verify all venturi flow combinations for CFVs or at minimum of 10 flow points for an SSV using the propane check as described in § 1065.341. Your propane check result for each venturi flow point may not exceed the tolerance in § 1065.341(f)(5).</P>
                            <P>
                                (3) To verify your ex-situ calibration for a CVS with more than a single CFV, perform the following check to verify that there are no flow meter entrance effects that can prevent you from passing this verification.
                                <PRTPAGE P="57446"/>
                            </P>
                            <P>(i) Use a constant flow device like a CFO kit to deliver a constant flow of propane to the dilution tunnel.</P>
                            <P>(ii) Measure hydrocarbon concentrations at a minimum of 10 separate flow rates for an SSV flow meter, or at all possible flow combinations for a CFV flow meter, while keeping the flow of propane constant. We recommend selecting CVS flow rates in a random order.</P>
                            <P>(iii) Measure the concentration of hydrocarbon background in the dilution air at the beginning and end of this test. Subtract the average background concentration from each measurement at each flow point before performing the regression analysis in paragraph (c)(3)(iv) of this section.</P>
                            <P>
                                (iv) Perform a power regression using all the paired values of flow rate and corrected concentration to obtain a relationship in the form of 
                                <E T="03">y</E>
                                 = 
                                <E T="03">a</E>
                                 · 
                                <E T="03">x</E>
                                 
                                <SU>b</SU>
                                . Use concentration as the independent variable and flow rate as the dependent variable. For each data point, calculate the difference between the measured flow rate and the value represented by the curve fit. The difference at each point must be less than ±1% of the appropriate regression value. The value of 
                                <E T="03">b</E>
                                 must be between −1.005 and −0.995. If your results do not meet these limits, take corrective action consistent with § 1065.341(a).
                            </P>
                            <P>
                                (d) 
                                <E T="03">Reference flow meter.</E>
                                 Calibrate a CVS flow meter using a reference flow meter such as a subsonic venturi flow meter, a long-radius ASME/NIST flow nozzle, a smooth approach orifice, a laminar flow element, a set of critical flow venturis, or an ultrasonic flow meter. Use a reference flow meter that reports quantities that are NIST-traceable within ±1% uncertainty. Use this reference flow meter's response to flow as the reference value for CVS flow-meter calibration.
                            </P>
                            <P>
                                (e) 
                                <E T="03">Configuration.</E>
                                 Do not use an upstream screen or other restriction that could affect the flow ahead of the reference flow meter, unless the flow meter has been calibrated with such a restriction.
                            </P>
                            <P>
                                (f) 
                                <E T="03">PDP calibration.</E>
                                 Calibrate a positive-displacement pump (PDP) to determine a flow-versus-PDP speed equation that accounts for flow leakage across sealing surfaces in the PDP as a function of PDP inlet pressure. Determine unique equation coefficients for each speed at which you operate the PDP. Calibrate a PDP flow meter as follows:
                            </P>
                            <P>(1) Connect the system as shown in Figure 1 of this section.</P>
                            <P>(2) Leaks between the calibration flow meter and the PDP must be less than 0.3% of the total flow at the lowest calibrated flow point; for example, at the highest restriction and lowest PDP-speed point.</P>
                            <P>
                                (3) While the PDP operates, maintain a constant temperature at the PDP inlet within ±2% of the mean absolute inlet temperature, 
                                <E T="03">T</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>(4) Set the PDP speed to the first speed point at which you intend to calibrate.</P>
                            <P>(5) Set the variable restrictor to its wide-open position.</P>
                            <P>(6) Operate the PDP for at least 3 min to stabilize the system. Continue operating the PDP and record the mean values of at least 30 seconds of sampled data of each of the following quantities:</P>
                            <P>
                                (i) The mean flow rate of the reference flow meter, 
                                <E T="03">n</E>
                                <AC T="i"/>
                                <E T="52">ref</E>
                                . This may include several measurements of different quantities, such as reference meter pressures and temperatures, for calculating 
                                <E T="03">n</E>
                                <AC T="i"/>
                                <E T="52">ref</E>
                                .
                            </P>
                            <P>
                                (ii) The mean temperature at the PDP inlet, 
                                <E T="03">T</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>
                                (iii) The mean static absolute pressure at the PDP inlet, 
                                <E T="03">p</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>
                                (iv) The mean static absolute pressure at the PDP outlet, 
                                <E T="03">p</E>
                                <AC T="8"/>
                                <E T="52">out</E>
                                .
                            </P>
                            <P>HERE</P>
                            <P>
                                (v) The mean PDP speed, 
                                <E T="03">f</E>
                                <AC T="8"/>
                                <E T="52">nPDP</E>
                                .
                            </P>
                            <P>HERE</P>
                            <P>
                                (7) Incrementally close the restrictor valve to decrease the absolute pressure at the inlet to the PDP, 
                                <E T="03">p</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>(8) Repeat the steps in paragraphs (e)(6) and (7) of this section to record data at a minimum of six restrictor positions ranging from the wide open restrictor position to the minimum expected pressure at the PDP inlet.</P>
                            <P>(9) Calibrate the PDP by using the collected data and the equations in § 1065.640.</P>
                            <P>(10) Repeat the steps in paragraphs (e)(6) through (9) of this section for each speed at which you operate the PDP.</P>
                            <P>(11) Use the equations in § 1065.642 to determine the PDP flow equation for emission testing.</P>
                            <P>
                                (12) Verify the calibration by performing a CVS verification (
                                <E T="03">i.e.,</E>
                                 propane check) as described in § 1065.341.
                            </P>
                            <P>(13) Do not use the PDP below the lowest inlet pressure tested during calibration.</P>
                            <P>
                                (g) 
                                <E T="03">CFV calibration.</E>
                                 Calibrate a critical-flow venturi (CFV) to verify its discharge coefficient, 
                                <E T="03">C</E>
                                <E T="52">d,</E>
                                 at the lowest expected static differential pressure between the CFV inlet and outlet. Calibrate a CFV flow meter as follows:
                            </P>
                            <P>(1) Connect the system as shown in Figure 1 of this section.</P>
                            <P>(2) Verify that any leaks between the calibration flow meter and the CFV are less than 0.3% of the total flow at the highest restriction.</P>
                            <P>(3) Start the blower downstream of the CFV.</P>
                            <P>
                                (4) While the CFV operates, maintain a constant temperature at the CFV inlet within ±2% of the mean absolute inlet temperature, 
                                <E T="03">T</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>(5) Set the variable restrictor to its wide-open position. Instead of a variable restrictor, you may alternately vary the pressure downstream of the CFV by varying blower speed or by introducing a controlled leak. Note that some blowers have limitations on nonloaded conditions.</P>
                            <P>(6) Operate the CFV for at least 3 min to stabilize the system. Continue operating the CFV and record the mean values of at least 30 seconds of sampled data of each of the following quantities:</P>
                            <P>
                                (i) The mean flow rate of the reference flow meter, 
                                <E T="03">n</E>
                                <AC T="i"/>
                                <E T="52">ref</E>
                                . This may include several measurements of different quantities, such as reference meter pressures and temperatures, for calculating 
                                <E T="03">n</E>
                                <AC T="i"/>
                                <E T="52">ref</E>
                                .
                            </P>
                            <P>
                                (ii) The mean dewpoint of the calibration air, 
                                <E T="03">T</E>
                                <AC T="8"/>
                                <E T="52">dew</E>
                                . See § 1065.640 for permissible assumptions during emission measurements.
                            </P>
                            <P>
                                (iii) The mean temperature at the venturi inlet, 
                                <E T="03">T</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>
                                (iv) The mean static absolute pressure at the venturi inlet, 
                                <E T="03">p</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>
                                (v) The mean static differential pressure between the CFV inlet and the CFV outlet, Δ
                                <E T="03">p</E>
                                <AC T="8"/>
                                <E T="52">CFV</E>
                                . 
                            </P>
                            <P>
                                (7) Incrementally close the restrictor valve or decrease the downstream pressure to decrease the differential pressure across the CFV, Δ
                                <E T="03">p</E>
                                <AC T="8"/>
                                <E T="52">CFV</E>
                                .
                            </P>
                            <P>
                                (8) Repeat the steps in paragraphs (f)(6) and (7) of this section to record mean data at a minimum of ten restrictor positions, such that you test the fullest practical range of Δ
                                <E T="03">p</E>
                                <AC T="8"/>
                                <E T="52">CFV</E>
                                 expected during testing. We do not require that you remove calibration components or CVS components to calibrate at the lowest possible restrictions.
                            </P>
                            <P>
                                (9) Determine 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 and the lowest allowable pressure ratio, 
                                <E T="03">r,</E>
                                 according to § 1065.640.
                            </P>
                            <P>
                                (10) Use 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 to determine CFV flow during an emission test. Do not use the CFV below the lowest allowed 
                                <E T="03">r,</E>
                                 as determined in § 1065.640.
                            </P>
                            <P>
                                (11) Verify the calibration by performing a CVS verification (
                                <E T="03">i.e.,</E>
                                 propane check) as described in § 1065.341.
                            </P>
                            <P>(12) If your CVS is configured to operate more than one CFV at a time in parallel, calibrate your CVS by one of the following:</P>
                            <P>
                                (i) Calibrate every combination of CFVs according to this section and § 1065.640. Refer to § 1065.642 for 
                                <PRTPAGE P="57447"/>
                                instructions on calculating flow rates for this option.
                            </P>
                            <P>(ii) Calibrate each CFV according to this section and § 1065.640. Refer to § 1065.642 for instructions on calculating flow rates for this option.</P>
                            <P>
                                (h) 
                                <E T="03">SSV calibration.</E>
                                 Calibrate a subsonic venturi (SSV) to determine its calibration coefficient,
                                <E T="03"> C</E>
                                <E T="52">d,</E>
                                 for the expected range of inlet pressures. Calibrate an SSV flow meter as follows:
                            </P>
                            <P>(1) Connect the system as shown in Figure 1 of this section.</P>
                            <P>(2) Verify that any leaks between the calibration flow meter and the SSV are less than 0.3% of the total flow at the highest restriction.</P>
                            <P>(3) Start the blower downstream of the SSV.</P>
                            <P>
                                (4) While the SSV operates, maintain a constant temperature at the SSV inlet within ±2% of the mean absolute inlet temperature, 
                                <E T="03">
                                    T
                                    <AC T="8"/>
                                </E>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>
                                (5) Set the variable restrictor or variable-speed blower to a flow rate greater than the greatest flow rate expected during testing. You may not extrapolate flow rates beyond calibrated values, so we recommend that you make sure the Reynolds number, 
                                <E T="03">Re</E>
                                <E T="53">#</E>
                                , at the SSV throat at the greatest calibrated flow rate is greater than the maximum 
                                <E T="03">Re</E>
                                <E T="53">#</E>
                                 expected during testing.
                            </P>
                            <P>(6) Operate the SSV for at least 3 min to stabilize the system. Continue operating the SSV and record the mean of at least 30 seconds of sampled data of each of the following quantities:</P>
                            <P>
                                (i) The mean flow rate of the reference flow meter 
                                <E T="03">
                                    n
                                    <AC T="i"/>
                                </E>
                                <E T="52">ref</E>
                                . This may include several measurements of different quantities, such as reference meter pressures and temperatures, for calculating 
                                <E T="03">
                                    n
                                    <AC T="i"/>
                                </E>
                                <E T="52">ref</E>
                                .
                            </P>
                            <P>
                                (ii) Optionally, the mean dewpoint of the calibration air, 
                                <E T="03">
                                    T
                                    <AC T="8"/>
                                </E>
                                <E T="52">dew</E>
                                . See § 1065.640 for permissible assumptions.
                            </P>
                            <P>
                                (iii) The mean temperature at the venturi inlet, 
                                <E T="03">
                                    T
                                    <AC T="8"/>
                                </E>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>
                                (iv) The mean static absolute pressure at the venturi inlet, 
                                <E T="03">
                                    p
                                    <AC T="8"/>
                                </E>
                                <E T="52">in</E>
                                .
                            </P>
                            <P>
                                (v) Static differential pressure between the static pressure at the venturi inlet and the static pressure at the venturi throat, Δ
                                <E T="03">
                                    p
                                    <AC T="8"/>
                                </E>
                                <E T="52">ssv</E>
                                .
                            </P>
                            <P>(7) Incrementally close the restrictor valve or decrease the blower speed to decrease the flow rate.</P>
                            <P>(8) Repeat the steps in paragraphs (g)(6) and (7) of this section to record data at a minimum of ten flow rates.</P>
                            <P>
                                (9) Determine a functional form of 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 versus 
                                <E T="03">Re</E>
                                <E T="53">#</E>
                                 by using the collected data and the equations in § 1065.640.
                            </P>
                            <P>
                                (10) Verify the calibration by performing a CVS verification (
                                <E T="03">i.e.,</E>
                                 propane check) as described in § 1065.341 using the new 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 versus 
                                <E T="03">Re</E>
                                <E T="53">#</E>
                                 equation.
                            </P>
                            <P>(11) Use the SSV only between the minimum and maximum calibrated flow rates.</P>
                            <P>(12) Use the equations in § 1065.642 to determine SSV flow during a test.</P>
                            <P>
                                (i) 
                                <E T="03">Ultrasonic flow meter calibration.</E>
                                 [Reserved]
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>61. Section 1065.341 is amended by revising paragraphs (a)(5), (a)(6), and (f)(5) and adding paragraph (a)(7) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.341</SECTNO>
                            <SUBJECT>CVS and batch sampler verification (propane check).</SUBJECT>
                            <P>(a) * * *</P>
                            <P>
                                (5) 
                                <E T="03">Change in CVS calibration.</E>
                                 Perform a calibration of the CVS flow meter as described in § 1065.340.
                            </P>
                            <P>
                                (6) 
                                <E T="03">Flow meter entrance effects.</E>
                                 Inspect the CVS tunnel to determine whether the entrance effects from the piping configuration upstream of the flow meter adversely affect the flow measurement.
                            </P>
                            <P>
                                (7)
                                <E T="03"> Other problems with the CVS or sampling verification hardware or software.</E>
                                 Inspect the CVS system, CVS verification hardware, and software for discrepancies.
                            </P>
                            <STARS/>
                            <P>(f) * * *</P>
                            <P>
                                (5) Subtract the reference C
                                <E T="52">3</E>
                                H
                                <E T="52">8</E>
                                 mass from the calculated mass. If this difference is within ±2% of the reference mass, the CVS passes this verification. If not, take corrective action as described in paragraph (a) of this section.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>62. Section 1065.350 is amended by revising paragraph (d)(7) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.350</SECTNO>
                            <SUBJECT>
                                H
                                <E T="0732">2</E>
                                O interference verification for CO
                                <E T="0732">2</E>
                                 NDIR analyzers.
                            </SUBJECT>
                            <STARS/>
                            <P>(d) * * *</P>
                            <P>(7) While the analyzer measures the sample's concentration, record 30 seconds of sampled data. Calculate the arithmetic mean of this data. The analyzer meets the interference verification if this value is within (0.0 ± 0.4) mmol/mol.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>63. Section 1065.360 is amended by revising paragraph (e) introductory text to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.360</SECTNO>
                            <SUBJECT>FID optimization and verification.</SUBJECT>
                            <STARS/>
                            <P>
                                (e) 
                                <E T="03">THC FID methane (CH</E>
                                <E T="54">4</E>
                                ) 
                                <E T="03">response verification.</E>
                                 This procedure is only for FID analyzers that measure THC. If the value of 
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 from paragraph (d) of this section is within ±5% of its most recent previously determined value, the THC FID passes the methane response verification. For example, if the most recent previous value for 
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 was 1.05 and it changed by ±0.05 to become 1.10 or it changed by −0.05 to become 1.00, either case would be acceptable because ±4.8% is less than ±5%. Verify 
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 as follows:
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>64. Section 1065.370 is amended by revising paragraph (g)(1) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.370</SECTNO>
                            <SUBJECT>
                                CLD CO
                                <E T="0732">2</E>
                                 and H
                                <E T="0732">2</E>
                                O quench verification.
                            </SUBJECT>
                            <STARS/>
                            <P>(g) * * *</P>
                            <P>
                                (1) You may omit this verification if you can show by engineering analysis that for your NO
                                <E T="52">X</E>
                                 sampling system and your emission calculation procedures, the combined CO
                                <E T="52">2</E>
                                 and H
                                <E T="52">2</E>
                                O interference for your NO
                                <E T="52">X</E>
                                 CLD analyzer always affects your brake-specific NO
                                <E T="52">X</E>
                                 emission results within no more than ±1% of the applicable NO
                                <E T="52">X</E>
                                 standard. If you certify to a combined emission standard (such as a NO
                                <E T="52">X</E>
                                 + NMHC standard), scale your NO
                                <E T="52">X</E>
                                 results to the combined standard based on the measured results (after incorporating deterioration factors, if applicable). For example, if your final NO
                                <E T="52">X</E>
                                 + NMHC value is half of the emission standard, double the NO
                                <E T="52">X</E>
                                 result to estimate the level of NO
                                <E T="52">X</E>
                                 emissions corresponding to the applicable standard.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>65. Section 1065.372 is amended by revising paragraph (e)(1) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.372</SECTNO>
                            <SUBJECT>
                                NDUV analyzer HC and H
                                <E T="0732">2</E>
                                O interference verification.
                            </SUBJECT>
                            <STARS/>
                            <P>(e) * * *</P>
                            <P>
                                (1) You may omit this verification if you can show by engineering analysis that for your NO
                                <E T="52">X</E>
                                 sampling system and your emission calculation procedures, the combined HC and H
                                <E T="52">2</E>
                                O interference for your NO
                                <E T="52">X</E>
                                 NDUV analyzer always affects your brake-specific NO
                                <E T="52">X</E>
                                 emission results by less than 0.5% of the applicable NO
                                <E T="52">X</E>
                                 standard.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>66. Section 1065.378 is amended by revising paragraph (d)(3)(iv) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.378</SECTNO>
                            <SUBJECT>
                                NO
                                <E T="0732">2</E>
                                -to-NO converter conversion verification.
                            </SUBJECT>
                            <STARS/>
                            <P>(d) * * *</P>
                            <P>(3) * * *</P>
                            <P>
                                (iv) Switch the ozonator on and adjust the ozone generation rate so the NO 
                                <PRTPAGE P="57448"/>
                                measured by the analyzer is 20 percent of 
                                <E T="03">x</E>
                                <E T="52">NOref</E>
                                 or a value which would simulate the maximum concentration of NO
                                <E T="52">2</E>
                                 expected during testing, while maintaining at least 10 percent unreacted NO. This ensures that the ozonator is generating NO
                                <E T="52">2</E>
                                 at the maximum concentration expected during testing. Record the concentration of NO by calculating the mean of 30 seconds of sampled data from the analyzer and record this value as 
                                <E T="03">x</E>
                                <E T="52">NOmeas</E>
                                .
                            </P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart F—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>67. Section 1065.510 is amended as follows:</AMDPAR>
                        <AMDPAR>a. By revising paragraphs (a) introductory text, (b)(5)(i), and (b)(6).</AMDPAR>
                        <AMDPAR>b. By adding paragraph (b)(7).</AMDPAR>
                        <AMDPAR>c. By revising paragraphs (c)(2), (d)(5), (f)(3), (f)(5), and (g).</AMDPAR>
                        <AMDPAR>d. By adding paragraphs (c)(4) and (h) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.510</SECTNO>
                            <SUBJECT>Engine mapping.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">Applicability, scope, and frequency.</E>
                                 An engine map is a data set that consists of a series of paired data points that represent the maximum brake torque versus engine speed, measured at the engine's primary output shaft. Map your engine if the standard-setting part requires engine mapping to generate a duty cycle for your engine configuration. Map your engine while it is connected to a dynamometer or other device that can absorb work output from the engine's primary output shaft according to § 1065.110. To establish speed and torque values for mapping, we generally recommend that you stabilize an engine for at least 15 seconds at each setpoint and record the mean feedback speed and torque of the last (4 to 6) seconds. Configure any auxiliary work inputs and outputs such as hybrid, turbo-compounding, or thermoelectric systems to represent their in-use configurations, and use the same configuration for emission testing. See Figure 1 of § 1065.210. This may involve configuring initial states of charge and rates and times of auxiliary-work inputs and outputs. We recommend that you contact the Designated Compliance Officer before testing to determine how you should configure any auxiliary-work inputs and outputs. Use the most recent engine map to transform a normalized duty cycle from the standard-setting part to a reference duty cycle specific to your engine. Normalized duty cycles are specified in the standard-setting part. You may update an engine map at any time by repeating the engine-mapping procedure. You must map or re-map an engine before a test if any of the following apply:
                            </P>
                            <STARS/>
                            <P>(b) * * *</P>
                            <P>(5) * * *</P>
                            <P>(i) For any engine subject only to steady-state duty cycles, you may perform an engine map by using discrete speeds. Select at least 20 evenly spaced setpoints from 95% of warm idle speed to the highest speed above maximum power at which 50% of maximum power occurs. We refer to this 50% speed as the check point speed as described in paragraph (b)(5)(iii) of this section. At each setpoint, stabilize speed and allow torque to stabilize. Record the mean speed and torque at each setpoint. Use linear interpolation to determine intermediate speeds and torques. Use this series of speeds and torques to generate the power map as described in paragraph (e) of this section.</P>
                            <STARS/>
                            <P>(6) Use one of the following methods to determine warm high-idle speed for engines with a high-speed governor if they are subject to transient testing with a duty cycle that includes reference speed values above 100%:</P>
                            <P>(i) You may use a manufacturer-declared warm high-idle speed if the engine is electronically governed. For engines with a high-speed governor that shuts off torque output at a manufacturer-specified speed and reactivates at a lower manufacturer-specified speed (such as engines that use ignition cut-off for governing), declare the middle of the specified speed range as the warm high-idle speed.</P>
                            <P>(ii) Measure the warm high-idle speed using the following procedure:</P>
                            <P>
                                (A) Set operator demand to maximum and use the dynamometer to target zero torque on the engine's primary output shaft. If the mean feedback torque is within ±1% of 
                                <E T="03">T</E>
                                <E T="52">max mapped,</E>
                                 you may use the observed mean feedback speed at that point as the measured warm high-idle speed.
                            </P>
                            <P>(B) If the engine is unstable as a result of in-use production components (such as engines that use ignition cut-off for governing, as opposed to unstable dynamometer operation), you must use the mean feedback speed from paragraph (b)(6)(ii)(A) of this section as the measured warm high-idle speed. The engine is considered unstable if any of the 1 Hz speed feedback values are not within ±2% of the calculated mean feedback speed. We recommend that you determine the mean as the value representing the midpoint between the observed maximum and minimum recorded feedback speed.</P>
                            <P>
                                (C) If your dynamometer is not capable of achieving a mean feedback torque within ±1% of 
                                <E T="03">T</E>
                                <E T="52">max mapped,</E>
                                 operate the engine at a second point with operator demand set to maximum with the dynamometer set to target a torque equal to the recorded mean feedback torque on the previous point plus 20% of 
                                <E T="03">T</E>
                                <E T="52">max mapped.</E>
                                 Use this data point and the data point from paragraph (b)(6)(ii)(A) of this section to extrapolate the engine speed where torque is equal to zero.
                            </P>
                            <P>
                                (D) You may use a manufacturer-declared 
                                <E T="03">T</E>
                                <E T="52">max</E>
                                 instead of the measured 
                                <E T="03">T</E>
                                <E T="52">max mapped.</E>
                                 If you do this, or if you are able to determine mean feedback speed as described in paragraphs (b)(6)(ii)(A) and (B) of this section, you may measure the warm high-idle speed before running the speed sweep specified in paragraph (b)(5) of this section.
                            </P>
                            <P>(7) For engines with a low-speed governor, if a nonzero idle torque is representative of in-use operation, operate the engine at warm idle with the manufacturer-declared idle torque. Set the operator demand to minimum, use the dynamometer to target the declared idle torque, and allow the engine to govern the speed. Measure this speed and use it as the warm idle speed for cycle generation in § 1065.512. We recommend recording at least 30 values of speed and using the mean of those values. If you identify multiple warm idle torques under paragraph (f)(4)(i) of this section, measure the warm idle speed at each torque. You may map the idle governor at multiple load levels and use this map to determine the measured warm idle speed at the declared idle torque(s).</P>
                            <P>(c) * * *</P>
                            <P>(2) Map the amount of negative torque required to motor the engine by repeating paragraph (b) of this section with minimum operator demand. You may start the negative torque map at either the minimum or maximum speed from paragraph (b) of this section.</P>
                            <STARS/>
                            <P>(4) For engines with an electric hybrid system, you may create a negative torque map that would include the full negative torque of the electric hybrid system, so operator demand will be at a minimum when the reference duty cycle specifies negative torque values.</P>
                            <P>(d) * * *</P>
                            <P>(5) Perform one of the following:</P>
                            <P>
                                (i) For constant-speed engines subject only to steady-state testing, you may perform an engine map by using a series of discrete torques. Select at least five evenly spaced torque setpoints from no-
                                <PRTPAGE P="57449"/>
                                load to 80% of the manufacturer-declared test torque or to a torque derived from your published maximum power level if the declared test torque is unavailable. Starting at the 80% torque point, select setpoints in 2.5% intervals, stopping at the endpoint torque. The endpoint torque is defined as the first discrete mapped torque value greater than the torque at maximum observed power where the engine outputs 90% of the maximum observed power; or the torque when engine stall has been determined using good engineering judgment (
                                <E T="03">i.e.</E>
                                 sudden deceleration of engine speed while adding torque). You may continue mapping at higher torque setpoints. At each setpoint, allow torque and speed to stabilize. Record the mean feedback speed and torque at each setpoint. From this series of mean feedback speed and torque values, use linear interpolation to determine intermediate values. Use this series of mean feedback speeds and torques to generate the power map as described in paragraph (e) of this section.
                            </P>
                            <P>(ii) For any constant-speed engine, you may perform an engine map with a continuous torque sweep by continuing to record the mean feedback speed and torque at 1 Hz or more frequently. Use the dynamometer to increase torque. Increase the reference torque at a constant rate from no-load to the endpoint torque as defined in paragraph (d)(5)(i) of this section. You may continue mapping at higher torque setpoints. Unless the standard-setting part specifies otherwise, target a torque sweep rate equal to the manufacturer-declared test torque (or a torque derived from your published power level if the declared test torque is not known) divided by 180 s. Stop recording after you complete the sweep. Verify that the average torque sweep rate over the entire map is within ±7% of the target torque sweep rate. Use linear interpolation to determine intermediate values from this series of mean feedback speed and torque values. Use this series of mean feedback speeds and torques to generate the power map as described in paragraph (e) of this section.</P>
                            <P>
                                (iii) For electric power generation applications in which normal engine operation is limited to a specific speed range, map the engine with two points as described in this paragraph (d)(5)(iii). After stabilizing at the no-load governed speed in paragraph (d)(4) of this section, record the mean feedback speed and torque. Continue to operate the engine with the governor or simulated governor controlling engine speed using operator demand, and control the dynamometer to target a speed of 97.5% of the recorded mean no-load governed speed. If the in-use performance class of the electric power generation application is known, you may use those values in place of 97.5% (
                                <E T="03">e.g.,</E>
                                 for ISO 8528-5 G3 Performance Class, the steady-state frequency band is less than or equal to 0.5%, so use 99.75% instead of 97.5%). Allow speed and torque to stabilize. Record the mean feedback speed and torque. Record the target speed. The absolute value of the speed error (the mean feedback speed minus the target speed) must be no greater than 20% of the difference between the recorded mean no-load governed speed and the target speed. From this series of two mean feedback speed and torque values, use linear interpolation to determine intermediate values. Use this series of two mean feedback speeds and torques to generate a power map as described in paragraph (e) of this section. Note that the measured maximum test torque determined in § 1065.610(b)(1), will be the mean feedback torque recorded on the second point.
                            </P>
                            <STARS/>
                            <P>(f) * * *</P>
                            <P>
                                (3) 
                                <E T="03">Optional declared speeds.</E>
                                 You may use declared speeds instead of measured speeds as follows:
                            </P>
                            <P>(i) You may use a declared value for maximum test speed for variable-speed engines if it is within (97.5 to 102.5) % of the corresponding measured value. You may use a higher declared speed if the length of the “vector” at the declared speed is within 2% of the length of the “vector” at the measured value. The term vector refers to the square root of the sum of normalized engine speed squared and the normalized full-load power (at that speed) squared, consistent with the calculations in § 1065.610.</P>
                            <P>(ii) You may use a declared value for intermediate, “A”, “B”, or “C” speeds for steady-state tests if the declared value is within (97.5 to 102.5)% of the corresponding measured value.</P>
                            <P>(iii) For electronically governed engines, you may use a declared warm high-idle speed for calculating the alternate maximum test speed as specified in § 1065.610.</P>
                            <STARS/>
                            <P>
                                (5) 
                                <E T="03">Optional declared torques.</E>
                                 (i) For variable-speed engines you may declare a maximum torque over the engine operating range. You may use the declared value for measuring warm high-idle speed as specified in this section.
                            </P>
                            <P>(ii) For constant-speed engines you may declare a maximum test torque. You may use the declared value for cycle generation if it is within (95 to 100) % of the measured value.</P>
                            <P>
                                (g) 
                                <E T="03">Mapping variable-speed engines with an electric hybrid system.</E>
                                 Map variable-speed engines that include electric hybrid systems as described in this paragraph (g). You may ask to apply these provisions to other types of hybrid engines, consistent with good engineering judgment. However, do not use this procedure for engines used in hybrid vehicles where the hybrid system is certified as part of the vehicle rather than the engine. Follow the steps for mapping a variable-speed engine as given in paragraph (b)(5) of this section except as noted in this paragraph (g). You must generate one engine map with the hybrid system inactive as described in paragraph (g)(1) of this section, and a separate map with the hybrid system active as described in paragraph (g)(2) of this section. See the standard-setting part to determine how to use these maps. The map with the system inactive is typically used to generate steady-state duty cycles, but may also be used to generate transient cycles, such as those that do not involve engine motoring. This hybrid-inactive map is also used for generating the hybrid-active map. The hybrid-active map is typically used to generate transient duty cycles that involve engine motoring.
                            </P>
                            <P>(1) Prepare the engine for mapping by either deactivating the hybrid system or by operating the engine as specified in paragraph (b)(4) of this section and remaining at this condition until the rechargeable energy storage system (RESS) is depleted. Once the hybrid has been disabled or the RESS is depleted, perform an engine map as specified in paragraph (b)(5) of this section. If the RESS was depleted instead of deactivated, ensure that instantaneous power from the RESS remains less than 2% of the instantaneous measured power from the engine (or engine-hybrid system) at all engine speeds.</P>
                            <P>(2) The purpose of the mapping procedure in this paragraph (g) is to determine the maximum torque available at each speed, such as what might occur during transient operation with a fully charged RESS. Use one of the following methods to generate a hybrid-active map:</P>
                            <P>
                                (i) Perform an engine map by using a series of continuous sweeps to cover the engine's full range of operating speeds. Prepare the engine for hybrid-active mapping by ensuring that the RESS state of charge is representative of normal operation. Perform the sweep as specified in paragraph (b)(5)(ii) of this section, but stop the sweep to charge the RESS when the power measured from the RESS drops below the expected 
                                <PRTPAGE P="57450"/>
                                maximum power from the RESS by more than 2% of total system power (including engine and RESS power). Unless good engineering judgment indicates otherwise, assume that the expected maximum power from the RESS is equal to the measured RESS power at the start of the sweep segment. For example, if the 3-second rolling average of total engine-RESS power is 200 kW and the power from the RESS at the beginning of the sweep segment is 50 kW, once the power from the RESS reaches 46 kW, stop the sweep to charge the RESS. Note that this assumption is not valid where the hybrid motor is torque-limited. Calculate total system power as a 3-second rolling average of instantaneous total system power. After each charging event, stabilize the engine for 15 seconds at the speed at which you ended the previous segment with operator demand set to maximum before continuing the sweep from that speed. Repeat the cycle of charging, mapping, and recharging until you have completed the engine map. You may shut down the system or include other operation between segments to be consistent with the intent of this paragraph (g)(2)(i). For example, for systems in which continuous charging and discharging can overheat batteries to an extent that affects performance, you may operate the engine at zero power from the RESS for enough time after the system is recharged to allow the batteries to cool. Use good engineering judgment to smooth the torque curve to eliminate discontinuities between map intervals.
                            </P>
                            <P>(ii) Perform an engine map by using discrete speeds. Select map setpoints at intervals defined by the ranges of engine speed being mapped. From 95% of warm idle speed to 90% of the expected maximum test speed, select setpoints that result in a minimum of 13 equally spaced speed setpoints. From 90% to 110% of expected maximum test speed, select setpoints in equally spaced intervals that are nominally 2% of expected maximum test speed. Above 110% of expected maximum test speed, select setpoints based on the same speed intervals used for mapping from 95% warm idle speed to 90% maximum test speed. You may stop mapping at the highest speed above maximum power at which 50% of maximum power occurs. We refer to the speed at 50% power as the check point speed as described in paragraph (b)(5)(iii) of this section. Stabilize engine speed at each setpoint, targeting a torque value at 70% of peak torque at that speed without hybrid-assist. Make sure the engine is fully warmed up and the RESS state of charge is within the normal operating range. Snap the operator demand to maximum, operate the engine there for at least 10 seconds, and record the 3-second rolling average feedback speed and torque at 1 Hz or higher. Record the peak 3-second average torque and 3-second average speed at that point. Use linear interpolation to determine intermediate speeds and torques. Follow § 1065.610(a) to calculate the maximum test speed. Verify that the measured maximum test speed falls in the range from 92 to 108% of the estimated maximum test speed. If the measured maximum test speed does not fall in this range, rerun the map using the measured value of maximum test speed.</P>
                            <P>
                                (h) 
                                <E T="03">Other mapping procedures.</E>
                                 You may use other mapping procedures if you believe the procedures specified in this section are unsafe or unrepresentative for your engine. Any alternate techniques you use must satisfy the intent of the specified mapping procedures, which is to determine the maximum available torque at all engine speeds that occur during a duty cycle. Identify any deviations from this section's mapping procedures when you submit data to us.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>68. Section 1065.514 is amended by revising paragraph (f)(3) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.514</SECTNO>
                            <SUBJECT>Cycle-validation criteria for operation over specified duty cycles.</SUBJECT>
                            <STARS/>
                            <P>(f) * * *</P>
                            <P>(3) For discrete-mode steady-state testing, apply cycle-validation criteria by treating the sampling periods from the series of test modes as a continuous sampling period, analogous to ramped-modal testing and apply statistical criteria as described in paragraph (f)(1) or (f)(2) of this section. Note that if the gaseous and particulate test intervals are different periods of time, separate validations are required for the gaseous and particulate test intervals. Table 2 follows:</P>
                            <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,r50,r50,r50">
                                <TTITLE>Table 2 of § 1065.514—Default Statistical Criteria for Validating Duty Cycles</TTITLE>
                                <BOXHD>
                                    <CHED H="1">Parameter</CHED>
                                    <CHED H="1">Speed</CHED>
                                    <CHED H="1">Torque</CHED>
                                    <CHED H="1">Power</CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">
                                        Slope, 
                                        <E T="03">a</E>
                                        <E T="52">1</E>
                                    </ENT>
                                    <ENT>
                                        0.950 ≤ 
                                        <E T="03">a</E>
                                        <E T="52">1</E>
                                         ≤ 1.030
                                    </ENT>
                                    <ENT>
                                        0.830 ≤ 
                                        <E T="03">a</E>
                                        <E T="52">1</E>
                                         ≤ 1.030
                                    </ENT>
                                    <ENT>
                                        0.830 ≤ 
                                        <E T="03">a</E>
                                        <E T="52">1</E>
                                         ≤ 1.030.
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        Absolute value of intercept, |
                                        <E T="03">a</E>
                                        <E T="52">0</E>
                                        |
                                    </ENT>
                                    <ENT>≤ 10% of warm idle</ENT>
                                    <ENT>≤ 2% of maximum mapped torque</ENT>
                                    <ENT>≤ 2% of maximum mapped power.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        Standard error of estimate, 
                                        <E T="03">SEE</E>
                                    </ENT>
                                    <ENT>≤ 5% of maximum test speed</ENT>
                                    <ENT>≤ 10% of maximum mapped torque</ENT>
                                    <ENT>≤ 10% of maximum mapped power.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        Coefficient of determination, 
                                        <E T="03">r</E>
                                        <E T="51">2</E>
                                    </ENT>
                                    <ENT>≥ 0.970</ENT>
                                    <ENT>≥ 0.850</ENT>
                                    <ENT>≥ 0.910.</ENT>
                                </ROW>
                            </GPOTABLE>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>69. Section 1065.520 is amended by revising paragraph (g) introductory text, (g)(5)(i), (g)(7), and (g)(8) and adding paragraph (g)(9) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.520</SECTNO>
                            <SUBJECT>Pre-test verification procedures and pre-test data collection.</SUBJECT>
                            <STARS/>
                            <P>
                                (g) Verify the amount of nonmethane hydrocarbon contamination in the exhaust and background HC sampling systems within 8 hours before the start of the first test interval of each duty-cycle sequence for laboratory tests. You may verify the contamination of a background HC sampling system by reading the last bag fill and purge using zero gas. For any NMHC measurement system that involves separately measuring methane and subtracting it from a THC measurement or for any CH
                                <E T="52">4</E>
                                 measurement system that uses an NMC, verify the amount of THC contamination using only the THC analyzer response. There is no need to operate any separate methane analyzer for this verification; however, you may measure and correct for THC contamination in the CH
                                <E T="52">4</E>
                                 sample train for the cases where NMHC is determined by subtracting CH
                                <E T="52">4</E>
                                 from THC or, where CH
                                <E T="52">4</E>
                                 is determined, using an NMC as configured in § 1065.365(d), (e), and (f); and using the calculations in § 1065.660(b)(2). Perform this verification as follows:
                            </P>
                            <STARS/>
                            <P>(5) * * *</P>
                            <P>(i) For continuous sampling, record the mean THC concentration as overflow zero gas flows.</P>
                            <STARS/>
                            <P>(7) You may correct the measured initial THC concentration for drift as follows:</P>
                            <P>
                                (i) For batch and continuous HC analyzers, after determining the initial THC concentration, flow zero gas to the analyzer zero or sample port. When the 
                                <PRTPAGE P="57451"/>
                                analyzer reading is stable, record the mean analyzer value.
                            </P>
                            <P>(ii) Flow span gas to the analyzer span or sample port. When the analyzer reading is stable, record the mean analyzer value.</P>
                            <P>(iii) Use mean analyzer values from paragraphs (g)(2), (g)(3), (g)(7)(i), and (g)(7)(ii) of this section to correct the initial THC concentration recorded in paragraph (g)(6) of this section for drift, as described in § 1065.550.</P>
                            <P>
                                (8) If any of the x
                                <E T="52">THC[THC-FID]init</E>
                                 values exceed the greatest of the following values, determine the source of the contamination and take corrective action, such as purging the system during an additional preconditioning cycle or replacing contaminated portions:
                            </P>
                            <P>(i) 2% of the flow-weighted mean wet, net concentration expected at the HC (THC or NMHC) standard.</P>
                            <P>(ii) 2% of the flow-weighted mean wet, net concentration of HC (THC or NMHC) measured during testing.</P>
                            <P>(iii) 2 μmol/mol.</P>
                            <P>(9) If corrective action does not resolve the deficiency, you may request to use the contaminated system as an alternate procedure under § 1065.10.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>70. Section 1065.525 is amended by removing paragraph (c)(4) and revising paragraph (a) to read as follows.</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.525</SECTNO>
                            <SUBJECT>Engine starting, restarting, and shutdown.</SUBJECT>
                            <P>(a) For test intervals that require emission sampling during engine starting, start the engine using one of the following methods:</P>
                            <P>(1) Start the engine as recommended in the owners manual using a production starter motor or air-start system and either an adequately charged battery, a suitable power supply, or a suitable compressed air source.</P>
                            <P>(2) Use the dynamometer to start the engine. To do this, motor the engine within ± 25% of its typical in-use cranking speed. Stop cranking within 1 second of starting the engine.</P>
                            <P>(3) In the case of hybrid engines, activate the system such that the engine will start when its control algorithms determine that the engine should provide power instead of or in addition to power from the RESS. Unless we specify otherwise, engine starting throughout this part generally refers to this step of activating the system on hybrid engines, whether or not that causes the engine to start running.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>71. Section 1065.530 is amended by revising paragraph (b)(13) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.530</SECTNO>
                            <SUBJECT>Emission test sequence.</SUBJECT>
                            <STARS/>
                            <P>(b) * * *</P>
                            <P>(13) Drain any accumulated condensate from the intake air system before starting a duty cycle, as described in § 1065.125(e)(1). If engine and aftertreatment preconditioning cycles are run before the duty cycle, treat the preconditioning cycles and any associated soak period as part of the duty cycle for the purpose of opening drains and draining condensate. Note that you must close any intake air condensate drains that are not representative of those normally open during in-use operation.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>72. Section 1065.546 is amended by revising paragraph (a) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.546</SECTNO>
                            <SUBJECT>Validation of minimum dilution ratio for PM batch sampling, and drift correction.</SUBJECT>
                            <STARS/>
                            <P>(a) Determine minimum dilution ratio based on molar flow data. This involves determination of at least two of the following three quantities: Raw exhaust flow (or previously diluted flow), dilution air flow, and dilute exhaust flow. You may determine the raw exhaust flow rate based on the measured intake air or fuel flow rate and the raw exhaust chemical balance terms as given in § 1065.655(e). You may determine the raw exhaust flow rate based on the measured intake air and dilute exhaust molar flow rates and the dilute exhaust chemical balance terms as given in § 1065.655(f). You may alternatively estimate the molar raw exhaust flow rate based on intake air, fuel rate measurements, and fuel properties, consistent with good engineering judgment.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>73. Section 1065.550 is amended by revising the section heading and paragraph (b) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.550</SECTNO>
                            <SUBJECT>Gas analyzer range validation and drift validation.</SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Drift validation and drift correction.</E>
                                 Gas analyzer drift validation is required for all gaseous exhaust constituents for which an emission standard applies. It is also required for CO
                                <E T="52">2</E>
                                 even if there is no CO
                                <E T="52">2</E>
                                 emission standard. It is not required for other gaseous exhaust constituents for which only a reporting requirement applies (such as CH
                                <E T="52">4</E>
                                 and N
                                <E T="52">2</E>
                                O).
                            </P>
                            <P>(1) Validate drift using one of the following methods:</P>
                            <P>
                                (i) For regulated exhaust constituents determined from the mass of a single component, perform drift validation based on the regulated constituent. For example, when NO
                                <E T="52">X</E>
                                 mass is determined with a dry sample measured with a CLD and the removed water is corrected based on measured CO
                                <E T="52">2</E>
                                , CO, THC, and NO
                                <E T="52">X</E>
                                 concentrations, you must validate the calculated NO
                                <E T="52">X</E>
                                 value.
                            </P>
                            <P>
                                (ii) For regulated exhaust constituents determined from the masses of multiple subcomponents, perform the drift validation based on either the regulated constituent or all the mass subcomponents. For example, when NO
                                <E T="52">X</E>
                                 is measured with separate NO and NO
                                <E T="52">2</E>
                                 analyzers, you must validate either the NO
                                <E T="52">X</E>
                                 value or both the NO and NO
                                <E T="52">2</E>
                                 values.
                            </P>
                            <P>
                                (iii) For regulated exhaust constituents determined from the concentrations of multiple gaseous emission subcomponents prior to performing mass calculations, perform drift validation on the regulated constituent. You may not validate the concentration subcomponents (
                                <E T="03">e.g.,</E>
                                 THC and CH
                                <E T="52">4</E>
                                 for NMHC) separately. For example, for NMHC measurements, perform drift validation on NMHC; do not validate THC and CH
                                <E T="52">4</E>
                                 separately.
                            </P>
                            <P>
                                (2) Drift validation requires two sets of emission calculations. For each set of calculations, include all the constituents in the drift validation. Calculate one set using the data before drift correction and calculate the other set after correcting all the data for drift according to § 1065.672. Note that for purposes of drift validation, you must leave unaltered any negative emission results over a given test interval (
                                <E T="03">i.e.,</E>
                                 do not set them to zero). These unaltered results are used when validating either test interval results or composite brake-specific emissions over the entire duty cycle for drift. For each constituent to be validated, both sets of calculations must include the following:
                            </P>
                            <P>(i) Calculated mass (or mass rate) emission values over each test interval.</P>
                            <P>(ii) If you are validating each test interval based on brake-specific values, calculate brake-specific emission values over each test interval.</P>
                            <P>(iii) If you are validating over the entire duty cycle, calculate composite brake-specific emission values.</P>
                            <P>(3) The duty cycle is validated for drift if you satisfy the following criteria:</P>
                            <P>(i) For each regulated gaseous exhaust constituent, you must satisfy one of the following:</P>
                            <P>
                                (A) For each test interval of the duty cycle, the difference between the uncorrected and the corrected brake-specific emission values of the regulated constituent must be within ± 4% of the uncorrected value or the applicable emissions standard, whichever is 
                                <PRTPAGE P="57452"/>
                                greater. Alternatively, the difference between the uncorrected and the corrected emission mass (or mass rate) values of the regulated constituent must be within ± 4% of the uncorrected value or the composite work (or power) multiplied by the applicable emissions standard, whichever is greater. For purposes of validating each test interval, you may use either the reference or actual composite work (or power).
                            </P>
                            <P>(B) For each test interval of the duty cycle and for each subcomponent of the regulated constituent, the difference between the uncorrected and the corrected brake-specific emission values must be within ± 4% of the uncorrected value. Alternatively, the difference between the uncorrected and the corrected emissions mass (or mass rate) values must be within ± 4% of the uncorrected value.</P>
                            <P>(C) For the entire duty cycle, the difference between the uncorrected and the corrected composite brake-specific emission values of the regulated constituent must be within ± 4% of the uncorrected value or applicable emission standard, whichever is greater.</P>
                            <P>(D) For the entire duty cycle and for each subcomponent of the regulated constituent, the difference between the uncorrected and the corrected composite brake-specific emission values must be within ± 4% of the uncorrected value.</P>
                            <P>
                                (ii) Where no emission standard applies for CO
                                <E T="52">2</E>
                                , you must satisfy one of the following:
                            </P>
                            <P>
                                (A) For each test interval of the duty cycle, the difference between the uncorrected and the corrected brake-specific CO
                                <E T="52">2</E>
                                 values must be within ± 4% of the uncorrected value; or the difference between the uncorrected and the corrected CO
                                <E T="52">2</E>
                                 mass (or mass rate) values must be within ± 4% of the uncorrected value.
                            </P>
                            <P>
                                (B) For the entire duty cycle, the difference between the uncorrected and the corrected composite brake-specific CO
                                <E T="52">2</E>
                                 values must be within ± 4% of the uncorrected value.
                            </P>
                            <P>(4) If the test is not validated for drift as described in paragraph (b)(1) of this section, you may consider the test results for the duty cycle to be valid only if, using good engineering judgment, the observed drift does not affect your ability to demonstrate compliance with the applicable emission standards. For example, if the drift-corrected value is less than the standard by at least two times the absolute difference between the uncorrected and corrected values, you may consider the data to be valid for demonstrating compliance with the applicable standard.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <SUBPART>
                            <HD SOURCE="HED">Subpart G—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>74. Section 1065.602 is amended by revising paragraph (f)(3) introductory text, (h), and (l)(1) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.602 </SECTNO>
                            <SUBJECT>Statistics.</SUBJECT>
                            <STARS/>
                            <P>(f) * * *</P>
                            <P>
                                (3) Use Table 1 of this section to compare 
                                <E T="03">t</E>
                                 to the 
                                <E T="03">t</E>
                                <E T="52">crit</E>
                                 values tabulated versus the number of degrees of freedom. If 
                                <E T="03">t</E>
                                 is less than 
                                <E T="03">t</E>
                                <E T="52">crit</E>
                                , then 
                                <E T="03">t</E>
                                 passes the 
                                <E T="03">t</E>
                                -test. The Microsoft Excel software has a TINV function that returns equivalent results and may be used in place of Table 1, which follows:
                            </P>
                            <STARS/>
                            <P>
                                (h) 
                                <E T="03">Slope.</E>
                                 Calculate a least-squares regression slope,
                                <E T="03"> a</E>
                                <E T="52">1y</E>
                                , as follows:
                            </P>
                            <GPH SPAN="3" DEEP="87">
                                <GID>ER15SE11.021</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">
                                    <E T="03">Example:</E>
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">N</E>
                                     = 6000
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">y</E>
                                    <E T="52">1</E>
                                     = 2045.8
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">y</E>
                                    <AC T="8"/>
                                     = 1050.1
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">y</E>
                                    <E T="52">ref 1</E>
                                     = 2045.0
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">y</E>
                                    <AC T="8"/>
                                    <E T="52">ref</E>
                                     = 1055.3
                                </FP>
                                <GPH SPAN="3" DEEP="33">
                                    <GID>ER15SE11.022</GID>
                                </GPH>
                                <FP SOURCE="FP-2">
                                    <E T="03">a</E>
                                    <E T="52">1y</E>
                                     = 1.0110
                                </FP>
                            </EXTRACT>
                            <STARS/>
                            <P>(l) * * *</P>
                            <P>
                                (1) To estimate the flow-weighted mean raw exhaust NO
                                <E T="52">X</E>
                                 concentration from a turbocharged heavy-duty compression-ignition engine at a NO
                                <E T="52">X</E>
                                 standard of 2.5 g/(kW·hr), you may do the following:
                            </P>
                            <P>
                                (i) Based on your engine design, approximate a map of maximum torque versus speed and use it with the applicable normalized duty cycle in the standard-setting part to generate a reference duty cycle as described in § 1065.610. Calculate the total reference work, 
                                <E T="03">W</E>
                                <E T="52">ref</E>
                                , as described in § 1065.650. Divide the reference work by the duty cycle's time interval, Δ
                                <E T="03">t</E>
                                <E T="52">dutycycle</E>
                                , to determine mean reference power, 
                                <E T="03">P</E>
                                <E T="52">ref</E>
                                .
                            </P>
                            <P>
                                (ii) Based on your engine design, estimate maximum power, 
                                <E T="03">P</E>
                                <E T="52">max</E>
                                , the design speed at maximum power, 
                                <E T="03">f</E>
                                <E T="52">nmax</E>
                                , the design maximum intake manifold boost pressure, 
                                <E T="03">p</E>
                                <E T="52">inmax</E>
                                , and temperature, 
                                <E T="03">T</E>
                                <E T="52">inmax</E>
                                . Also, estimate a mean fraction of power that is lost due to friction and pumping, 
                                <E T="03">P</E>
                                <AC T="8"/>
                                <E T="52">frict</E>
                                . Use this information along with the engine displacement volume, 
                                <E T="03">V</E>
                                <E T="52">disp</E>
                                , an approximate volumetric efficiency, η
                                <E T="52">V</E>
                                , and the number of engine strokes per power stroke (2-stroke or 4-stroke), 
                                <E T="03">N</E>
                                <E T="52">stroke</E>
                                , to estimate the maximum raw exhaust molar flow rate, 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">ehmax</E>
                                .
                            </P>
                            <P>(iii) Use your estimated values as described in the following example calculation:</P>
                            <GPH SPAN="3" DEEP="166">
                                <PRTPAGE P="57453"/>
                                <GID>ER15SE11.023</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-1">
                                    <E T="03">Example:</E>
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">e</E>
                                    <E T="52">NOx</E>
                                     = 2.5 g/(kW·hr)
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">W</E>
                                    <E T="52">ref</E>
                                     = 11.883 kW·hr
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">M</E>
                                    <E T="52">NOx</E>
                                     = 46.0055 g/mol = 46.0055·10
                                    <E T="51">−</E>
                                    <SU>6</SU>
                                     g/μmol
                                </FP>
                                <FP SOURCE="FP-2">
                                    Δ
                                    <E T="03">t</E>
                                    <E T="52">dutycycle</E>
                                     = 20 min = 1200 s
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">P</E>
                                    <AC T="8"/>
                                    <E T="52">ref</E>
                                     = 35.65 kW
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">P</E>
                                    <AC T="8"/>
                                    <E T="52">frict</E>
                                     = 15%
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">P</E>
                                    <E T="52">max</E>
                                     = 125 kW
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">p</E>
                                    <E T="52">max</E>
                                     = 300 kPa = 300,000 Pa
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">V</E>
                                    <E T="52">disp</E>
                                     = 3.0 l = 0.0030 m
                                    <SU>3</SU>
                                    /r
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">f</E>
                                    <E T="52">nmax</E>
                                     = 2,800 r/min = 46.67 r/s
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">N</E>
                                    <E T="52">stroke</E>
                                     = 4
                                </FP>
                                <FP SOURCE="FP-2">
                                    η
                                    <E T="52">V</E>
                                     = 0.9
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">R</E>
                                     = 8.314472 J/(mol·K)
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">T</E>
                                    <E T="52">max</E>
                                     = 348.15 K
                                </FP>
                                <GPH SPAN="3" DEEP="39">
                                    <GID>ER15SE11.024</GID>
                                </GPH>
                                <FP SOURCE="FP-2">
                                    <E T="03">n</E>
                                    <AC T="b"/>
                                    <E T="52">exhmax</E>
                                     = 6.53 mol/s
                                </FP>
                                <GPH SPAN="3" DEEP="46">
                                    <GID>ER15SE11.025</GID>
                                </GPH>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <AC T="8"/>
                                    <E T="52">exp</E>
                                     = 189.4 µmol/mol
                                </FP>
                                <STARS/>
                            </EXTRACT>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>75. Section 1065.610 is amended by revising paragraphs (a), (b)(1), and (c) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.610 </SECTNO>
                            <SUBJECT>Duty cycle generation.</SUBJECT>
                            <STARS/>
                            <P>
                                (a) 
                                <E T="03">Maximum test speed, f</E>
                                <E T="52">ntest</E>
                                . This section generally applies to duty cycles for variable-speed engines. For constant-speed engines subject to duty cycles that specify normalized speed commands, use the no-load governed speed as the measured 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                . This is the highest engine speed where an engine outputs zero torque. For variable-speed engines, determine the measured 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                 from the power-versus-speed map, generated according to § 1065.510, as follows:
                            </P>
                            <P>
                                (1) Based on the map, determine maximum power, 
                                <E T="03">P</E>
                                <E T="52">max</E>
                                , and the speed at which maximum power occurred, 
                                <E T="03">f</E>
                                <E T="52">nPmax</E>
                                . If maximum power occurs at multiple speeds, take 
                                <E T="03">f</E>
                                <E T="52">nPmax</E>
                                 as the lowest of these speeds. Divide every recorded power by 
                                <E T="03">P</E>
                                <E T="52">max</E>
                                 and divide every recorded speed by 
                                <E T="03">f</E>
                                <E T="52">nPmax</E>
                                . The result is a normalized power-versus-speed map. Your measured 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                 is the speed at which the sum of the squares of normalized speed and power is maximum. Note that if multiple maximum values are found, 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                 should be taken as the lowest speed of all points with the same maximum sum of squares. Determine 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                 as follows:
                            </P>
                            <GPH SPAN="3" DEEP="43">
                                <GID>ER15SE11.026</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <P>
                                    <E T="03">f</E>
                                    <E T="52">ntest</E>
                                     = maximum test speed.
                                </P>
                                <P>i = an indexing variable that represents one recorded value of an engine map.</P>
                                <P>
                                    <E T="03">f</E>
                                    <E T="52">nnormi</E>
                                     = an engine speed normalized by dividing it by 
                                    <E T="03">f</E>
                                    <E T="52">nPmax.</E>
                                </P>
                                <P>
                                    <E T="03">P</E>
                                    <E T="52">normi</E>
                                     = an engine power normalized by dividing it by 
                                    <E T="03">P</E>
                                    <E T="52">max.</E>
                                </P>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm1</E>
                                 = 1.002, 
                                <E T="03">P</E>
                                <E T="52">norm1</E>
                                 = 0.978, 
                                <E T="03">f</E>
                                <E T="52">n1</E>
                                 = 2359.71)
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm2</E>
                                 = 1.004, 
                                <E T="03">P</E>
                                <E T="52">norm2</E>
                                 = 0.977, 
                                <E T="03">f</E>
                                <E T="52">n2</E>
                                 = 2364.42)
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm3</E>
                                 = 1.006, 
                                <E T="03">P</E>
                                <E T="52">norm3</E>
                                 = 0.974, 
                                <E T="03">f</E>
                                <E T="52">n3</E>
                                 = 2369.13)
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm1</E>
                                <SU>2</SU>
                                 + 
                                <E T="03">P</E>
                                <E T="52">norm1</E>
                                <SU>2</SU>
                                ) = (1.002
                                <SU>2</SU>
                                 + 0.978
                                <SU>2</SU>
                                ) = 1.960
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm2</E>
                                <SU>2</SU>
                                 + 
                                <E T="03">P</E>
                                <E T="52">norm2</E>
                                <SU>2</SU>
                                ) = (1.004
                                <SU>2</SU>
                                 + 0.977
                                <SU>2</SU>
                                ) = 1.963
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm3</E>
                                <SU>2</SU>
                                 + 
                                <E T="03">P</E>
                                <E T="52">norm3</E>
                                <SU>2</SU>
                                ) = (1.006
                                <SU>2</SU>
                                 + 0.974
                                <SU>2</SU>
                                ) = 1.961
                            </FP>
                            <FP SOURCE="FP-2">
                                maximum = 1.963 at
                                <E T="52">-</E>
                                i = 2
                            </FP>
                            <P>
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                 = 2,364.42 r/min
                                <PRTPAGE P="57454"/>
                            </P>
                            <P>
                                (2) For engines with a high-speed governor that will be subject to a reference duty cycle that specifies normalized speeds greater than 100%, calculate an alternate maximum test speed, 
                                <E T="03">f</E>
                                <E T="52">ntest,alt</E>
                                , as specified in this paragraph (a)(2). If 
                                <E T="03">f</E>
                                <E T="52">ntest,alt</E>
                                 is less than the measured maximum test speed, 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                , determined in paragraph (a)(1) of this section, replace 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                 with 
                                <E T="03">f</E>
                                <E T="52">ntest,alt</E>
                                . In this case, f
                                <E T="52">ntest,alt</E>
                                 becomes the “maximum test speed” for that engine. Note that § 1065.510 allows you to apply an optional declared maximum test speed to the final measured maximum test speed determined as an outcome of the comparison between 
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                , and 
                                <E T="03">f</E>
                                <E T="52">ntest,alt</E>
                                 in this paragraph (a)(2). Determine 
                                <E T="03">f</E>
                                <E T="52">ntest,alt</E>
                                 as follows:
                            </P>
                            <GPH SPAN="3" DEEP="39">
                                <GID>ER15SE11.027</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">f</E>
                                    <E T="52">ntest,alt</E>
                                     = alternate maximum test speed
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">f</E>
                                    <E T="52">nhi,idle</E>
                                     = warm high-idle speed
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">f</E>
                                    <E T="52">nidle</E>
                                     = warm idle speed
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">% speed</E>
                                    <E T="52">max</E>
                                     = maximum normalized speed from duty cycle
                                </FP>
                            </EXTRACT>
                            <P>Example:</P>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nhi,idle</E>
                                 = 2,200 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nidle</E>
                                 = 800 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">% speed</E>
                                <E T="52">max</E>
                                 = 105% (Nonroad CI Transient Cycle)
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">ntest,alt</E>
                                 = (2,200−800)/105% + 800
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">ntest,alt</E>
                                 = 2,133 r/min
                            </FP>
                            <P>(3) For variable-speed engines, transform normalized speeds to reference speeds according to paragraph (c) of this section by using the measured maximum test speed determined according to paragraphs (a)(1) and (2) of this section—or use your declared maximum test speed, as allowed in § 1065.510.</P>
                            <P>(4) For constant-speed engines, transform normalized speeds to reference speeds according to paragraph (c) of this section by using the measured no-load governed speed—or use your declared maximum test speed, as allowed in § 1065.510.</P>
                            <P>(b) * * *</P>
                            <P>
                                (1) Based on the map, determine maximum power, 
                                <E T="03">P</E>
                                <E T="52">max</E>
                                , and the speed at which maximum power occurs, 
                                <E T="03">f</E>
                                <E T="52">nPmax</E>
                                . If maximum power occurs at multiple speeds, take 
                                <E T="03">f</E>
                                <E T="52">nPmax</E>
                                 as the lowest of these speeds. Divide every recorded power by 
                                <E T="03">P</E>
                                <E T="52">max</E>
                                 and divide every recorded speed by 
                                <E T="03">f</E>
                                <E T="52">nPmax</E>
                                . The result is a normalized power-versus-speed map. Your measured 
                                <E T="03">T</E>
                                <E T="52">test</E>
                                 is the torque at which the sum of the squares of normalized speed and power is maximum. Note that that if multiple maximum values are found, 
                                <E T="03">T</E>
                                <E T="52">test</E>
                                 should be taken as the highest torque of all points with the same maximum sum of squares. Determine 
                                <E T="03">T</E>
                                <E T="52">test</E>
                                 as follows:
                            </P>
                            <GPH SPAN="3" DEEP="39">
                                <GID>ER15SE11.028</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <P>
                                    <E T="03">T</E>
                                    <E T="52">test</E>
                                     = maximum test torque.
                                </P>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm1</E>
                                 = 1.002, 
                                <E T="03">P</E>
                                <E T="52">norm1</E>
                                 = 0.978, 
                                <E T="03">T</E>
                                <E T="52">1</E>
                                 = 722.62 N·m)
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm2</E>
                                 = 1.004, 
                                <E T="03">P</E>
                                <E T="52">norm2</E>
                                 = 0.977, 
                                <E T="03">T</E>
                                <E T="52">2</E>
                                 = 720.44 N·m)
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm3</E>
                                 = 1.006, 
                                <E T="03">P</E>
                                <E T="52">norm3</E>
                                 = 0.974, 
                                <E T="03">T</E>
                                <E T="52">3</E>
                                 = 716.80 N·m)
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm1</E>
                                <SU>2</SU>
                                 + 
                                <E T="03">P</E>
                                <E T="52">norm1</E>
                                <SU>2</SU>
                                ) = (1.002
                                <SU>2</SU>
                                 + 0.978
                                <SU>2</SU>
                                ) = 1.960
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm1</E>
                                <SU>2</SU>
                                 + 
                                <E T="03">P</E>
                                <E T="52">norm1</E>
                                <SU>2</SU>
                                ) = (1.004
                                <SU>2</SU>
                                 + 0.977
                                <SU>2</SU>
                                ) = 1.963
                            </FP>
                            <FP SOURCE="FP-2">
                                (
                                <E T="03">f</E>
                                <E T="52">nnorm1</E>
                                <SU>2</SU>
                                 + 
                                <E T="03">P</E>
                                <E T="52">norm1</E>
                                <SU>2</SU>
                                ) = (1.006
                                <SU>2</SU>
                                 + 0.974
                                <SU>2</SU>
                                ) = 1.961
                            </FP>
                            <FP SOURCE="FP-2">maximum = 1.963 at_i = 2</FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">test</E>
                                _ = 720.44 N·m
                            </FP>
                            <STARS/>
                            <P>
                                (c) 
                                <E T="03">Generating reference speed values from normalized duty cycle speeds.</E>
                                 Transform normalized speed values to reference values as follows:
                            </P>
                            <P>
                                (1) 
                                <E T="03">% speed.</E>
                                 If your normalized duty cycle specifies % speed values, use your warm idle speed and your maximum test speed to transform the duty cycle, as follows:
                            </P>
                            <GPH SPAN="3" DEEP="39">
                                <GID>ER15SE11.029</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">% speed</E>
                                 = 85%
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">ntest</E>
                                 = 2,364 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nidle</E>
                                 = 650 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nref</E>
                                 = 85% · (2,364 − 650) + 650
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nref</E>
                                 = 2,107 r/min
                            </FP>
                            <P>
                                (2) 
                                <E T="03">A, B, and C speeds.</E>
                                 If your normalized duty cycle specifies speeds as A, B, or C values, use your power-versus-speed curve to determine the lowest speed below maximum power at which 50% of maximum power occurs. Denote this value as 
                                <E T="03">n</E>
                                <E T="52">lo</E>
                                . Take 
                                <E T="03">n</E>
                                <E T="52">lo</E>
                                 to be warm idle speed if all power points at speeds below the maximum power speed are higher than 50% of maximum power. Also determine the highest speed above maximum power at which 70% of maximum power occurs. Denote this value as 
                                <E T="03">n</E>
                                <E T="52">hi</E>
                                . If all power points at speeds above the maximum power speed are higher than 70% of maximum power, take 
                                <E T="03">n</E>
                                <E T="52">hi</E>
                                 to be the declared maximum safe engine speed or the declared maximum representative engine speed, whichever is lower. Use 
                                <E T="03">n</E>
                                <E T="52">hi</E>
                                 and 
                                <E T="03">n</E>
                                <E T="52">lo</E>
                                 to calculate reference values for A, B, or C speeds as follows:
                            </P>
                            <GPH SPAN="3" DEEP="149">
                                <PRTPAGE P="57455"/>
                                <GID>ER15SE11.030</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <E T="52">lo</E>
                                 = 1005 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <E T="52">hi</E>
                                 = 2385 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nrefA</E>
                                 = 0.25 · (2385 − 1005) + 1005
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nrefB</E>
                                 = 0.50 · (2385 − 1005) + 1005
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nrefC</E>
                                 = 0.75 · (2385 − 1005) + 1005
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nrefA</E>
                                 = 1350 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nrefB</E>
                                 = 1695 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <E T="52">nrefC</E>
                                 = 2040 r/min
                            </FP>
                            <P>
                                (3) 
                                <E T="03">Intermediate speed.</E>
                                 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:
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>76. Section 1065.640 is amended by revising paragraphs (b)(1), (b)(2), (b)(5), (e)(3), (e)(4), and (e)(7) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.640 </SECTNO>
                            <SUBJECT>Flow meter calibration calculations.</SUBJECT>
                            <STARS/>
                            <P>(b) * * *</P>
                            <P>
                                (1) PDP volume pumped per revolution, 
                                <E T="03">V</E>
                                <E T="54">rev</E>
                                 (m
                                <SU>3</SU>
                                /r):
                            </P>
                            <GPH SPAN="3" DEEP="56">
                                <GID>ER15SE11.031</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="i"/>
                                &amp;
                                <E T="52">ref</E>
                                 = 25.096 mol/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">R</E>
                                 = 8.314472 J/(mol · K)
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                 = 299.5 K
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                 = 98290 Pa
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">
                                    f
                                    <AC T="8"/>
                                </E>
                                <E T="52">nPDP</E>
                                 = 1205.1 r/min = 20.085 r/s
                            </FP>
                            <GPH SPAN="1" DEEP="25">
                                <GID>ER15SE11.032</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">V</E>
                                <E T="54">rev</E>
                                 = 0.03166 m
                                <SU>3</SU>
                                /r
                            </FP>
                            <P>
                                (2) PDP slip correction factor, 
                                <E T="03">K</E>
                                <E T="54">s</E>
                                 (s/r):
                            </P>
                            <GPH SPAN="3" DEEP="59">
                                <GID>ER15SE11.033</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <AC T="8"/>
                                <E T="52">nPDP</E>
                                 = 1205.1 r/min = 20.085 r/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <AC T="8"/>
                                <E T="52">out</E>
                                 = 100.103 kPa
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <AC T="8"/>
                                <E T="52">in</E>
                                 = 98.290 kPa
                            </FP>
                            <GPH SPAN="1" DEEP="29">
                                <GID>ER15SE11.034</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">K</E>
                                <E T="54">s</E>
                                 = 0.006700 s/r
                            </FP>
                            <STARS/>
                            <P>(5) The following example illustrates these calculations:</P>
                            <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s25,8,8">
                                <TTITLE>Table 1 of § 1065.640—Example of PDP Calibration Data</TTITLE>
                                <BOXHD>
                                    <CHED H="1">
                                        <E T="03">f</E>
                                        <AC T="8"/>
                                        <E T="52">nPDP</E>
                                         (r/min)
                                    </CHED>
                                    <CHED H="1">
                                        <E T="03">a</E>
                                        <E T="52">1</E>
                                         (m
                                        <SU>3</SU>
                                        /min)
                                    </CHED>
                                    <CHED H="1">
                                        <E T="03">a</E>
                                        <E T="52">0</E>
                                         (m
                                        <SU>3</SU>
                                        /r)
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">755.0</ENT>
                                    <ENT>50.43</ENT>
                                    <ENT>0.056</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">987.6</ENT>
                                    <ENT>49.86</ENT>
                                    <ENT>−0.013</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">1254.5</ENT>
                                    <ENT>48.54</ENT>
                                    <ENT>0.028</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">1401.3</ENT>
                                    <ENT>47.30</ENT>
                                    <ENT>−0.061</ENT>
                                </ROW>
                            </GPOTABLE>
                            <STARS/>
                            <P>(e) * * *</P>
                            <P>
                                (3) If the standard deviation of all the 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 values is less than or equal to 0.3% of the mean 
                                <E T="03">C</E>
                                <E T="52">d,</E>
                                 use the mean 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 in Eq 1065.642-6, and use the CFV only up to the highest 
                                <E T="03">r</E>
                                 measured during calibration using the following equation:
                            </P>
                            <GPH SPAN="3" DEEP="58">
                                <PRTPAGE P="57456"/>
                                <GID>ER15SE11.035</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <P>
                                    Δ
                                    <E T="03">p</E>
                                    _
                                    <E T="52">CFV</E>
                                     = Differential static pressure; venturi inlet minus venturi outlet.
                                </P>
                            </EXTRACT>
                            <P>
                                (4) If the standard deviation of all the 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 values exceeds 0.3% of the mean 
                                <E T="03">C</E>
                                <E T="52">d,</E>
                                 omit the 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 values corresponding to the data point collected at the highest 
                                <E T="03">r</E>
                                 measured during calibration.
                            </P>
                            <STARS/>
                            <P>
                                (7) If the standard deviation of the remaining 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 values is less than or equal to 0.3% of the mean of the remaining 
                                <E T="03">C</E>
                                <E T="52">d,</E>
                                 use that mean 
                                <E T="03">C</E>
                                <E T="52">d</E>
                                 in Eq 1065.642-6, and use the CFV values only up to the highest 
                                <E T="03">r</E>
                                 associated with the remaining 
                                <E T="03">C</E>
                                <E T="52">d.</E>
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>77. Section 1065.642 is amended by revising paragraph (a) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.642 </SECTNO>
                            <SUBJECT>SSV, CFV, and PDP molar flow rate calculations.</SUBJECT>
                            <STARS/>
                            <P>
                                (a) 
                                <E T="03">PDP molar flow rate.</E>
                                 Based upon the speed at which you operate the PDP for a test interval, select the corresponding slope, 
                                <E T="03">a</E>
                                <E T="52">1,</E>
                                 and intercept, 
                                <E T="03">a</E>
                                <E T="52">0,</E>
                                 as calculated in § 1065.640, to calculate molar flow rate, 
                                <E T="03">n</E>
                                <AC T="b"/>
                                 as follows:
                            </P>
                            <GPH SPAN="3" DEEP="54">
                                <GID>ER15SE11.036</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <GPH SPAN="3" DEEP="60">
                                    <GID>ER15SE11.037</GID>
                                </GPH>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">a</E>
                                <E T="52">1</E>
                                 = 50.43 (m
                                <SU>3</SU>
                                /min) = 0.8405 (m
                                <SU>3</SU>
                                /s)
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <AC T="8"/>
                                <E T="52">nPDP</E>
                                 = 755.0 r/min = 12.58 r/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">p</E>
                                <E T="52">out</E>
                                 = 99950 Pa
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">p</E>
                                <E T="52">in</E>
                                 = 98575 Pa
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">a</E>
                                <E T="52">0</E>
                                 = 0.056 (m
                                <SU>3</SU>
                                /r)
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">R</E>
                                 = 8.314472 J/(mol·K)
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">in</E>
                                 = 323.5 K
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">C</E>
                                <E T="52">p</E>
                                 = 1000 (J/m
                                <SU>3</SU>
                                )/kPa
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">C</E>
                                <E T="52">t</E>
                                 = 60 s/min
                            </FP>
                            <GPH SPAN="3" DEEP="29">
                                <GID>ER15SE11.038</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">V</E>
                                <E T="52">rev</E>
                                 = 0.06383 m
                                <SU>3</SU>
                                /r
                            </FP>
                            <GPH SPAN="1" DEEP="25">
                                <GID>ER15SE11.039</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="i"/>
                                 = 29.428 mol/s
                            </FP>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>78. Section 1065.645 is amended by revising the introductory text and paragraph (a) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.645 </SECTNO>
                            <SUBJECT>Amount of water in an ideal gas.</SUBJECT>
                            <P>This section describes how to determine the amount of water in an ideal gas, which you need for various performance verifications and emission calculations. Use the equation for the vapor pressure of water in paragraph (a) of this section or another appropriate equation and, depending on whether you measure dewpoint or relative humidity, perform one of the calculations in paragraph (b) or (c) of this section. The equations for the vapor pressure of water as presented in this section are derived from equations in “Saturation Pressure of Water on the New Kelvin Temperature Scale” (Goff, J.A., Transactions American Society of Heating and Air-Conditioning Engineers, Vol. 63, No. 1607, pages 347-354). Note that the equations were originally published to derive vapor pressure in units of atmospheres and have been modified to derive results in units of kPa by converting the last term in each equation.</P>
                            <P>
                                (a) 
                                <E T="03">Vapor pressure of water.</E>
                                 Calculate the vapor pressure of water for a given saturation temperature condition, 
                                <E T="03">T</E>
                                <E T="52">sat,</E>
                                 as follows, or use good engineering judgment to use a different relationship of the vapor pressure of water to a given saturation temperature condition:
                            </P>
                            <FP SOURCE="FP-2">(1) For humidity measurements made at ambient temperatures from (0 to 100) °C, or for humidity measurements made over super-cooled water at ambient temperatures from (−50 to 0) °C, use the following equation:</FP>
                            <GPH SPAN="3" DEEP="92">
                                <PRTPAGE P="57457"/>
                                <GID>ER15SE11.040</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">p</E>
                                    <E T="52">H20</E>
                                     = vapor pressure of water at saturation temperature condition, kPa.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">T</E>
                                    <E T="52">sat</E>
                                     = saturation temperature of water at measured conditions, K.
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">sat</E>
                                 = 9.5 °C
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">sat</E>
                                 = 9.5 + 273.15 = 282.65 K
                            </FP>
                            <GPH SPAN="3" DEEP="63">
                                <GID>ER15SE11.041</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">
                                    log
                                    <E T="52">10</E>
                                    (
                                    <E T="03">p</E>
                                    <E T="52">H20</E>
                                    ) = 0.074297
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">p</E>
                                    <E T="52">H20</E>
                                     = 10
                                    <SU>0.074297</SU>
                                     = 1.186581 kPa
                                </FP>
                            </EXTRACT>
                            <P>(2) For humidity measurements over ice at ambient temperatures from (-100 to 0) °C, use the following equation:</P>
                            <GPH SPAN="3" DEEP="93">
                                <GID>ER15SE11.042</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">ice</E>
                                 = −15.4 °C
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">ice</E>
                                 = -15.4 + 273.15 = 257.75 K
                            </FP>
                            <GPH SPAN="3" DEEP="64">
                                <GID>ER15SE11.043</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                log
                                <E T="52">10</E>
                                (
                                <E T="03">p</E>
                                <E T="52">H20</E>
                                ) = −0.798207
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">p</E>
                                <E T="52">H20</E>
                                 = 10 
                                <E T="51">−0.79821</E>
                                 = 0.159145 kPa
                            </FP>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>79. Section 1065.650 is amended as follows:</AMDPAR>
                        <AMDPAR>a. By revising paragraphs (c) introductory text, (c)(1), and (c)(4).</AMDPAR>
                        <AMDPAR>b. By adding paragraph (c)(5).</AMDPAR>
                        <AMDPAR>c. By revising paragraphs (d)(7), (e)(4), and (f)(4).</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.650 </SECTNO>
                            <SUBJECT>Emission calculations.</SUBJECT>
                            <STARS/>
                            <P>
                                (c) 
                                <E T="03">Total mass of emissions over a test interval.</E>
                                 To calculate the total mass of an emission, multiply a concentration by its respective flow. For all systems, make preliminary calculations as described in paragraph (c)(1) of this section to correct concentrations. Next, use the method in paragraphs (c)(2) through (4) of this section that is appropriate for your system. Finally, if necessary, calculate the mass of NMHC as described in paragraph (c)(5) of this section for all systems. Calculate the total mass of emissions as follows:
                            </P>
                            <P>
                                (1) 
                                <E T="03">Concentration corrections.</E>
                                 Perform the following sequence of preliminary calculations on recorded concentrations:
                            </P>
                            <P>
                                (i) Correct all gaseous emission analyzer concentration readings, including continuous readings, sample bag readings, and dilution air background readings, for drift as described in § 1065.672. Note that you must omit this step where brake-specific emissions are calculated without the drift correction for performing the drift validation according to § 1065.550(b). When applying the initial THC and CH
                                <E T="52">4</E>
                                 contamination readings according to § 1065.520(g), use the same values for both sets of calculations. You may also use as-measured values in the initial set of calculations and corrected values in the drift-corrected set of calculations as described in § 1065.520(g)(7).
                                <PRTPAGE P="57458"/>
                            </P>
                            <P>
                                (ii) Correct all THC and CH
                                <E T="52">4</E>
                                 concentrations, including continuous readings, sample bags readings, and dilution air background readings, for initial contamination, as described in § 1065.660(a).
                            </P>
                            <P>(iii) Correct all concentrations measured on a “dry” basis to a “wet” basis, including dilution air background concentrations, as described in § 1065.659.</P>
                            <P>
                                (iv) Calculate all NMHC and CH
                                <E T="52">4</E>
                                 concentrations, including dilution air background concentrations, as described in § 1065.660.
                            </P>
                            <P>(v) For emission testing with an oxygenated fuel, calculate any HC concentrations, including dilution air background concentrations, as described in § 1065.665. See subpart I of this part for testing with oxygenated fuels.</P>
                            <P>
                                (vi) Correct all the NO
                                <E T="52">X</E>
                                 concentrations, including dilution air background concentrations, for intake-air humidity as described in § 1065.670.
                            </P>
                            <STARS/>
                            <P>
                                (4) 
                                <E T="03">Additional provisions for diluted exhaust sampling; continuous or batch.</E>
                                 The following additional provisions apply for sampling emissions from diluted exhaust:
                            </P>
                            <P>
                                (i) For sampling with a constant dilution ratio, 
                                <E T="03">DR,</E>
                                 of diluted exhaust versus exhaust flow (
                                <E T="03">e.g.,</E>
                                 secondary dilution for PM sampling), calculate 
                                <E T="03">m</E>
                                 using the following equation:
                            </P>
                            <GPH SPAN="1" DEEP="38">
                                <GID>ER15SE11.044</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <E T="52">PMdil</E>
                                 = 6.853 g
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">DR</E>
                                 = 6:1
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <E T="52">PM</E>
                                 = 6.853 · 6
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <E T="52">PM</E>
                                 = 41.118 g
                            </FP>
                            <P>(ii) For continuous or batch sampling, you may measure background emissions in the dilution air. You may then subtract the measured background emissions, as described in § 1065.667.</P>
                            <P>
                                (5) 
                                <E T="03">Mass of NMHC.</E>
                                 Compare the corrected mass of NMHC to corrected mass of THC. If the corrected mass of NMHC is greater than 0.98 times the corrected mass of THC, take the corrected mass of NMHC to be 0.98 times the corrected mass of THC. If you omit the NMHC calculations as described in § 1065.660(b)(1), take the corrected mass of NMHC to be 0.98 times the corrected mass of THC.
                            </P>
                            <P>(d) * * *</P>
                            <P>(7) Integrate the resulting values for power over the test interval. Calculate total work as follows:</P>
                            <GPH SPAN="1" DEEP="55">
                                <GID>ER15SE11.045</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">W</E>
                                     = total work from the primary output shaft.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">P</E>
                                    <E T="52">i</E>
                                     = instantaneous power from the primary output shaft over an interval 
                                    <E T="03">i.</E>
                                </FP>
                            </EXTRACT>
                            <GPH SPAN="1" DEEP="39">
                                <GID>ER15SE11.046</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">N</E>
                                 = 9000
                            </FP>
                            <FP SOURCE="FP-2">
                                ƒ
                                <E T="52">n1</E>
                                 = 1800.2 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                ƒ
                                <E T="52">n2</E>
                                 = 1805.8 r/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">1</E>
                                 = 177.23 N·m
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <E T="52">2</E>
                                 = 175.00 N·m
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">C</E>
                                <E T="52">rev</E>
                                 = 2·
                                <E T="03">π</E>
                                 rad/r
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">C</E>
                                <E T="52">t1</E>
                                 = 60 s/min
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">C</E>
                                <E T="52">p</E>
                                 = 1000 (N·m·rad/s)/kW
                            </FP>
                            <FP SOURCE="FP-2">
                                ƒ
                                <E T="52">record</E>
                                 = 5 Hz
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">C</E>
                                <E T="52">t2</E>
                                 = 3600 s/hr
                            </FP>
                            <GPH SPAN="1" DEEP="26">
                                <GID>ER15SE11.047</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <E T="52">1</E>
                                 = 33.41 kW
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <E T="52">2</E>
                                 = 33.09 kW
                            </FP>
                            <FP SOURCE="FP-2">Using Eq. 1065.650-5,</FP>
                            <FP SOURCE="FP-2">
                                Δ
                                <E T="03">t</E>
                                 = 1/5 = 0.2 s
                            </FP>
                            <GPH SPAN="1" DEEP="25">
                                <GID>ER15SE11.048</GID>
                            </GPH>
                            <P>
                                <E T="03">W</E>
                                 = 16.875 kW · hr
                            </P>
                            <STARS/>
                            <P>(e) * * *</P>
                            <P>(4) The following example shows how to calculate mass of emissions using mean mass rate and mean power:</P>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">CO</E>
                                 = 28.0101 g/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <AC T="8"/>
                                <E T="52">CO</E>
                                 = 12.00 mmol/mol = 0.01200 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="i"/>
                                 = 1.530 mol/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">f</E>
                                <AC T="8"/>
                                <E T="52">n</E>
                                 = 3584.5 r/min = 375.37 rad/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">T</E>
                                <AC T="8"/>
                                 = 121.50 N · m
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <AC T="i"/>
                                 = 28.0101 · 0.01200 · 1.530
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <AC T="i"/>
                                 = 0.514 g/s = 1850.4 g/hr
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <AC T="8"/>
                                 = 121.5·375.37
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <AC T="8"/>
                                 = 45607 W
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">P</E>
                                <AC T="8"/>
                                 = 45.607 kW
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">e</E>
                                <E T="52">CO</E>
                                 = 1850.4/45.61
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">e</E>
                                <E T="52">CO</E>
                                 = 40.57 g/(kW·hr)
                            </FP>
                            <P>(f) * * *</P>
                            <P>(4) Example. The following example shows how to calculate mass of emissions using proportional values:</P>
                            <FP SOURCE="FP-2">
                                <E T="03">N</E>
                                 = 3000
                            </FP>
                            <FP SOURCE="FP-2">
                                ƒ
                                <E T="52">record</E>
                                 = 5 Hz
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">e</E>
                                <E T="52">fuel</E>
                                 = 285 g/(kW·hr)
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">w</E>
                                <E T="52">fuel</E>
                                 = 0.869 g/g
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">c</E>
                                 = 12.0107 g/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="j"/>
                                <E T="54">1</E>
                                 = 3.922 mol/s = 14119.2 mol/hr
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">Ccombdry1</E>
                                 = 91.634 mmol/mol = 0.091634 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">H2Oexh1</E>
                                 = 27.21 mmol/mol = 0.02721 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">Using Eq. 1065.650-5,</FP>
                            <FP SOURCE="FP-2">
                                Δ
                                <E T="03">t</E>
                                 = 0.2 s
                            </FP>
                            <GPH SPAN="3" DEEP="49">
                                <GID>ER15SE11.049</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">W</E>
                                <AC T="8"/>
                                 = 5.09 (kW·hr)
                            </FP>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>80. Section 1065.655 is amended by revising paragraphs (b), (c)(5), (d), and (e)(3) and adding paragraph (f) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.655 </SECTNO>
                            <SUBJECT>Chemical balances of fuel, intake air, and exhaust.</SUBJECT>
                            <STARS/>
                            <P>
                                (b) 
                                <E T="03">Procedures that require chemical balances.</E>
                                 We require chemical balances when you determine the following:
                            </P>
                            <P>
                                (1) A value proportional to total work, 
                                <E T="03">W</E>
                                <AC T="8"/>
                                 when you choose to determine brake-specific emissions as described in § 1065.650(f).
                            </P>
                            <P>
                                (2) The amount of water in a raw or diluted exhaust flow, 
                                <E T="03">x</E>
                                <E T="52">H2Oexh</E>
                                , when you do not measure the amount of water to correct for the amount of water removed by a sampling system. Correct for removed water according to § 1065.659.
                            </P>
                            <P>(3) The calculated dilution air flow when you do not measure dilution air flow to correct for background emissions as described in § 1065.667(c) and (d).</P>
                            <P>(c) * * *</P>
                            <P>
                                (5) The following example is a solution for 
                                <E T="03">x</E>
                                <E T="52">dil/exh,x</E>
                                , 
                                <E T="03">x</E>
                                <E T="52">H2Oexh</E>
                                , and 
                                <E T="03">x</E>
                                <E T="52">Ccombdry</E>
                                 using the equations in paragraph (c)(4) of this section:
                            </P>
                            <GPH SPAN="3" DEEP="40">
                                <PRTPAGE P="57459"/>
                                <GID>ER15SE11.050</GID>
                            </GPH>
                            <GPH SPAN="3" DEEP="579">
                                <GID>ER15SE11.051</GID>
                            </GPH>
                            <GPH SPAN="3" DEEP="477">
                                <PRTPAGE P="57460"/>
                                <GID>ER15SE11.052</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">α</E>
                                 = 1.8
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">β</E>
                                 = 0.05
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">γ</E>
                                 =
                                <E T="03"/>
                                 0.0003
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">δ</E>
                                 = 0.0001
                            </FP>
                            <P>
                                (d) 
                                <E T="03">Carbon mass fraction.</E>
                                 Determine carbon mass fraction of fuel, 
                                <E T="03">w</E>
                                <E T="52">c,</E>
                                 using one of the following methods:
                            </P>
                            <P>
                                (1) You may calculate 
                                <E T="03">w</E>
                                <E T="52">c</E>
                                 as described in this paragraph (d)(1) based on measured fuel properties. To do so, you must determine values for 
                                <E T="03">α</E>
                                 and 
                                <E T="03">β</E>
                                 in all cases, but you may set γ and δ to zero if the default value listed in Table 1 of this section is zero. Calculate 
                                <E T="03">w</E>
                                <E T="52">c</E>
                                 using the following equation:
                            </P>
                            <GPH SPAN="3" DEEP="58">
                                <GID>ER15SE11.053</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">w</E>
                                    <E T="52">c</E>
                                     = carbon mass fraction of fuel.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">M</E>
                                    <E T="52">C</E>
                                     = molar mass of carbon.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">α</E>
                                     = atomic hydrogen-to-carbon ratio of the mixture of fuel(s) being combusted, weighted by molar consumption.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">M</E>
                                    <E T="52">H</E>
                                     = molar mass of hydrogen.
                                    <PRTPAGE P="57461"/>
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">β</E>
                                     = atomic oxygen-to-carbon ratio of the mixture of fuel(s) being combusted, weighted by molar consumption.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">M</E>
                                    <E T="52">O</E>
                                     = molar mass of oxygen.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">γ</E>
                                     = atomic sulfur-to-carbon ratio of the mixture of fuel(s) being combusted, weighted by molar consumption.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">M</E>
                                    <E T="52">S</E>
                                     = molar mass of sulfur.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">δ</E>
                                     = atomic nitrogen-to-carbon ratio of the mixture of fuel(s) being combusted, weighted by molar consumption.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">M</E>
                                    <E T="52">N</E>
                                     = molar mass of nitrogen.
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">α</E>
                                 = 1.8
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">β</E>
                                 = 0.05
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">γ</E>
                                 =
                                <E T="03"/>
                                 0.0003
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">δ</E>
                                 = 0.0001
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">C</E>
                                 = 12.0107
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">H</E>
                                 = 1.01
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">O</E>
                                 = 15.9994
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">S</E>
                                 = 32.065
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">N</E>
                                 = 14.0067
                            </FP>
                            <GPH SPAN="3" DEEP="25">
                                <GID>ER15SE11.054</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">w</E>
                                <E T="52">c</E>
                                 = 0.8205
                            </FP>
                            <P>
                                (2) You may use the default values in the following table to determine 
                                <E T="03">w</E>
                                <E T="52">c</E>
                                 for a given fuel:
                            </P>
                            <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s60,xl60,10">
                                <TTITLE>
                                    Table 1 of § 1065.655—Default Values of 
                                    <E T="03">α, β, γ, δ,</E>
                                     and 
                                    <E T="03">w</E>
                                    <E T="52">c,</E>
                                     for Various Fuels
                                </TTITLE>
                                <BOXHD>
                                    <CHED H="1">Fuel</CHED>
                                    <CHED H="1">
                                        Atomic hydrogen, oxygen, sulfur, and nitrogen-to-carbon ratios 
                                        <LI>
                                            CH
                                            <E T="52">α</E>
                                            O
                                            <E T="52">β</E>
                                            S
                                            <E T="52">γ</E>
                                            N
                                            <E T="52">δ</E>
                                        </LI>
                                    </CHED>
                                    <CHED H="1">
                                        Carbon mass fraction, 
                                        <E T="03">w</E>
                                        <E T="52">c</E>
                                         g/g
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">Gasoline</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">1.85</E>
                                        O
                                        <E T="52">0</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.866</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">E10 Gasoline</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">1.92</E>
                                        O
                                        <E T="52">0.03</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.833</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">E15 Gasoline</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">1.95</E>
                                        O
                                        <E T="52">0.05</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.817</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">E85 Gasoline</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">2.73</E>
                                        O
                                        <E T="52">0.38</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.576</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">#1 Diesel</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">1.93</E>
                                        O
                                        <E T="52">0</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.861</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">#2 Diesel</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">1.80</E>
                                        O
                                        <E T="52">0</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.869</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Liquefied Petroleum Gas</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">2.64</E>
                                        O
                                        <E T="52">0</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.819</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Natural gas</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">3.78</E>
                                         O
                                        <E T="52">0.016</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.747</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">E100 Ethanol</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">3</E>
                                        O
                                        <E T="52">0.5</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.521</ENT>
                                </ROW>
                                <ROW RUL="s">
                                    <ENT I="01">M100 Methanol</ENT>
                                    <ENT>
                                        CH
                                        <E T="52">4</E>
                                        O
                                        <E T="52">1</E>
                                        S
                                        <E T="52">0</E>
                                        N
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>0.375</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Residual fuel blends</ENT>
                                    <ENT A="01">Must be determined by measured fuel properties as described in paragraph (d)(1) of this section.</ENT>
                                </ROW>
                            </GPOTABLE>
                            <P>(e) * * *</P>
                            <P>
                                (3) 
                                <E T="03">Fuel mass flow rate calculation.</E>
                                 Based on 
                                <E T="03">m</E>
                                <AC T="b"/>
                                <E T="52">fuel</E>
                                , calculate 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">exh</E>
                                 as follows:
                            </P>
                            <GPH SPAN="3" DEEP="64">
                                <GID>ER15SE11.055</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">n</E>
                                    <AC T="b"/>
                                    <E T="52">exh</E>
                                     = raw exhaust molar flow rate from which you measured emissions.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">m</E>
                                    <AC T="b"/>
                                    <E T="52">fuel</E>
                                     = fuel flow rate including humidity in intake air.
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <AC T="b"/>
                                <E T="52">fuel</E>
                                 = 7.559 g/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">w</E>
                                <E T="52">c</E>
                                 = 0.869 g/g
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">C</E>
                                 = 12.0107 g/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">Ccombdry</E>
                                 = 99.87 mmol/mol = 0.09987 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">H20exhdry</E>
                                 = 107.64 mmol/mol = 0.10764 mol/mol
                            </FP>
                            <GPH SPAN="1" DEEP="28">
                                <GID>ER15SE11.056</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">exh</E>
                                 = 6.066 mol/s
                            </FP>
                            <P>
                                (f) 
                                <E T="03">Calculated raw exhaust molar flow rate from measured intake air molar flow rate, dilute exhaust molar flow rate, and dilute chemical balance.</E>
                                 You may calculate the raw exhaust molar flow rate, 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">exh</E>
                                , based on the measured intake air molar flow rate, 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">int</E>
                                , the measured dilute exhaust molar flow rate, 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">dexh</E>
                                , and the values calculated using the chemical balance in paragraph (c) of this section. Note that the chemical balance must be based on dilute exhaust gas concentrations. For continuous-flow calculations, solve for the chemical balance in paragraph (c) of this section at the same frequency that you update and record 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">int</E>
                                 and 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">dexh</E>
                                . This calculated 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">exh</E>
                                 may be used for the PM dilution ratio verification in § 1065.546; the calculation of dilution air molar flow rate in the background correction in § 1065.667; and the calculation of mass of emissions in § 1065.650(c) for species that are measured in the raw exhaust.
                            </P>
                            <P>
                                (1) 
                                <E T="03">Crankcase flow rate.</E>
                                 If engines are not subject to crankcase controls under the standard-setting part, calculate raw exhaust flow as described in paragraph (e)(1) of this section.
                            </P>
                            <P>
                                (2) 
                                <E T="03">Dilute exhaust and intake air molar flow rate calculation.</E>
                                 Calculate 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">exh</E>
                                 as follows:
                            </P>
                            <GPH SPAN="3" DEEP="46">
                                <PRTPAGE P="57462"/>
                                <GID>ER15SE11.057</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">int</E>
                                 = 7.930mol/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">raw/exhdry</E>
                                 = 0.1544 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">int/exhdry</E>
                                 = 0.1451 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">H2Oexh</E>
                                 = 32.46 mmol/mol - 0.03246 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">dexh</E>
                                 = 49.02 mol/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">exh</E>
                                 = (0.1544−0.145( · (1−0.03246) · 49.02 + 7.930 = 0.4411 + 7.930 = 8.371 mol/s
                            </FP>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>81. Section 1065.659 is amended by revising paragraphs (a), (b), and (c) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.659 </SECTNO>
                            <SUBJECT>Removed water correction.</SUBJECT>
                            <P>
                                (a) If you remove water upstream of a concentration measurement, 
                                <E T="03">x,</E>
                                 or upstream of a flow measurement, 
                                <E T="03">n,</E>
                                 correct for the removed water. Perform this correction based on the amount of water at the concentration measurement, 
                                <E T="03">x</E>
                                <E T="52">H2O[emission]meas,</E>
                                 and at the flow meter, 
                                <E T="03">x</E>
                                <E T="52">H2Oexh,</E>
                                 whose flow is used to determine the mass emission rate or total mass over a test interval. For continuous analyzers downstream of a sample dryer for transient and ramped-modal cycles, you must apply this correction on a continuous basis over the test interval, even if you use one of the options in § 1065.145(e)(2) that results in a constant value for 
                                <E T="03">x</E>
                                <E T="52">H2O[emission]meas</E>
                                 because 
                                <E T="03">x</E>
                                <E T="52">H2Oexh</E>
                                 varies over the test interval. For batch analyzers, determine the flow-weighted average based on the continuous 
                                <E T="03">x</E>
                                <E T="52">H2Oexh</E>
                                 values determined as described in paragraph (c) of this section. For batch analyzers, you may determine the flow-weighted average 
                                <E T="03">x</E>
                                <E T="52">H2Oexh</E>
                                 based on a single value of 
                                <E T="03">x</E>
                                <E T="52">H2Oexh</E>
                                 determined as described in paragraphs (c)(2) and (3) of this section, using flow-weighted average or batch concentration inputs.
                            </P>
                            <P>
                                (b) Determine the amount of water remaining downstream of a sample dryer and at the concentration measurement using one of the methods described in § 1065.145(e)(2). If you use a sample dryer upstream of an analyzer and if the calculated amount of water remaining downstream of the sample dryer and at the concentration measurement, 
                                <E T="03">x</E>
                                <E T="52">H2O[emission]meas,</E>
                                 is higher than the amount of water at the flow meter, 
                                <E T="03">x</E>
                                <E T="52">H2Oexh,</E>
                                 set 
                                <E T="03">x</E>
                                <E T="52">H2O[emission]meas</E>
                                 equal to 
                                <E T="03">x</E>
                                <E T="52">H2Oexh.</E>
                                 If you use a sample dryer upstream of storage media, you must be able to demonstrate that the sample dryer is removing water continuously (
                                <E T="03">i.e., x</E>
                                <E T="52">H2Oexh</E>
                                 is higher than 
                                <E T="03">x</E>
                                <E T="52">H2O[emission]meas</E>
                                 throughout the test interval).
                            </P>
                            <P>
                                (c) For a concentration measurement where you did not remove water, you may set 
                                <E T="03">x</E>
                                <E T="52">H2O[emission]meas</E>
                                 equal to
                                <E T="03"> x</E>
                                <E T="52">H2Oexh.</E>
                                 You may determine the amount of water at the flow meter, 
                                <E T="03">x</E>
                                <E T="52">H2Oexh,</E>
                                 using any of the following methods:
                            </P>
                            <P>(1) Measure the dewpoint and absolute pressure and calculate the amount of water as described in § 1065.645.</P>
                            <P>(2) If the measurement comes from raw exhaust, you may determine the amount of water based on intake-air humidity, plus a chemical balance of fuel, intake air, and exhaust as described in § 1065.655.</P>
                            <P>(3) If the measurement comes from diluted exhaust, you may determine the amount of water based on intake-air humidity, dilution air humidity, and a chemical balance of fuel, intake air, and exhaust as described in § 1065.655.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>82. Section 1065.660 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.660 </SECTNO>
                            <SUBJECT>
                                THC, NMHC, and CH
                                <E T="52">4</E>
                                 determination.
                            </SUBJECT>
                            <P>
                                (a) 
                                <E T="03">THC determination and initial THC/CH</E>
                                <E T="52">4</E>
                                  
                                <E T="03">contamination corrections.</E>
                                 (1) If we require you to determine THC emissions, calculate 
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 using the initial THC contamination concentration 
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]init</E>
                                 from § 1065.520 as follows:
                            </P>
                            <GPH SPAN="3" DEEP="36">
                                <GID>ER15SE11.058</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THCuncor</E>
                                 = 150.3 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THCinit</E>
                                 = 1.1 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THCcor</E>
                                 = 150.3—1.1
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THCcor</E>
                                 = 149.2 μmol/mol
                            </FP>
                            <P>
                                (2) For the NMHC determination described in paragraph (b) of this section, correct 
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]</E>
                                 for initial THC contamination using Equation 1065.660-1. You may correct
                                <E T="03"> x</E>
                                <E T="52">THC[NMC-FID]</E>
                                 for initial contamination of the CH
                                <E T="52">4</E>
                                 sample train using Equation 1065.660-1, substituting in CH
                                <E T="52">4</E>
                                 concentrations for THC.
                            </P>
                            <P>
                                (3) For the CH
                                <E T="52">4</E>
                                 determination described in paragraph (c) of this section, you may correct
                                <E T="03"> x</E>
                                <E T="52">THC[NMC-FID]</E>
                                 for initial THC contamination of the CH
                                <E T="52">4</E>
                                 sample train using Equation 1065.660-1, substituting in CH
                                <E T="52">4</E>
                                 concentrations for THC.
                            </P>
                            <P>
                                (b) 
                                <E T="03">NMHC determination.</E>
                                 Use one of the following to determine NMHC concentration, 
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                :
                            </P>
                            <P>
                                (1) If you do not measure CH
                                <E T="52">4</E>
                                , you may omit the calculation of NMHC concentrations and calculate the mass of NMHC as described in § 1065.650(c)(5).
                            </P>
                            <P>
                                (2) For nonmethane cutters, calculate 
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                 using the nonmethane cutter's penetration fraction (
                                <E T="03">PF</E>
                                ) of CH
                                <E T="52">4</E>
                                 and the response factor penetration fraction (
                                <E T="03">RFPF</E>
                                ) of C
                                <E T="52">2</E>
                                H
                                <E T="52">6</E>
                                 from § 1065.365, the response factor (
                                <E T="03">RF</E>
                                ) of the THC FID to CH
                                <E T="52">4</E>
                                 from § 1065.360, the initial THC contamination and dry-to-wet corrected THC concentration 
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 as determined in paragraph (a) of this section, and the dry-to-wet corrected CH
                                <E T="52">4</E>
                                 concentration 
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 optionally corrected for initial THC contamination as determined in paragraph (a) of this section.
                            </P>
                            <P>(i) Use the following equation for penetration fractions determined using an NMC configuration as outlined in § 1065.365(d):</P>
                            <GPH SPAN="3" DEEP="57">
                                <PRTPAGE P="57463"/>
                                <GID>ER15SE11.059</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NMHC</E>
                                     = concentration of NMHC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[THC-FID]cor</E>
                                     = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID during sampling while bypassing the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[NMC-FID]cor</E>
                                     = concentration of THC, initial THC contamination (optional) and dry-to-wet corrected, as measured by the NMC FID during sampling through the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RF</E>
                                    <E T="52">CH4[THC-FID]</E>
                                     = response factor of THC FID to CH
                                    <E T="52">4,</E>
                                     according to § 1065.360(d).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RFPF</E>
                                    <E T="52">C2H6[NMC-FID]</E>
                                     = nonmethane cutter combined ethane response factor and penetration fraction, according to § 1065.365(d).
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 = 150.3 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 = 20.5 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RFPF</E>
                                <E T="52">C2H6[NMC-FID]</E>
                                 = 0.019
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 = 1.05
                            </FP>
                            <GPH SPAN="3" DEEP="25">
                                <GID>ER15SE11.060</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                 = 131.4 μmol/mol
                            </FP>
                            <P>(ii) For penetration fractions determined using an NMC configuration as outlined in section § 1065.365(e), use the following equation:</P>
                            <GPH SPAN="3" DEEP="59">
                                <GID>ER15SE11.061</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NMHC</E>
                                     = concentration of NMHC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[THC-FID]cor</E>
                                     = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID during sampling while bypassing the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">PF</E>
                                    <E T="52">CH4[NMC-FID]</E>
                                     = nonmethane cutter CH
                                    <E T="52">4</E>
                                     penetration fraction, according to § 1065.365(e).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[NMC-FID]cor</E>
                                     = concentration of THC, initial THC contamination (optional) and dry-to-wet corrected, as measured by the THC FID during sampling through the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">PF</E>
                                    <E T="52">C2H6[NMC-FID]</E>
                                     = nonmethane cutter ethane penetration fraction, according to § 1065.365(e).
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 = 150.3 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">PF</E>
                                <E T="52">CH4[NMC-FID]</E>
                                 = 0.990
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 = 20.5 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">PF</E>
                                <E T="52">C2H6[NMC-FID]</E>
                                 = 0.020
                            </FP>
                            <GPH SPAN="1" DEEP="25">
                                <GID>ER15SE11.062</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                 = 132.3 μmol/mol
                            </FP>
                            <P>(iii) For penetration fractions determined using an NMC configuration as outlined in section § 1065.365(f), use the following equation:</P>
                            <GPH SPAN="3" DEEP="59">
                                <GID>ER15SE11.063</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NMHC</E>
                                     = concentration of NMHC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[THC-FID]cor</E>
                                     = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID during sampling while bypassing the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">PF</E>
                                    <E T="52">CH4[NMC-FID]</E>
                                     = nonmethane cutter CH
                                    <E T="52">4</E>
                                     penetration fraction, according to § 1065.365(f).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[NMC-FID]cor</E>
                                     = concentration of THC, initial THC contamination (optional) and dry-to-wet corrected, as measured by the THC FID during sampling through the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RFPF</E>
                                    <E T="52">C2H6[NMC-FID]</E>
                                     = nonmethane cutter CH
                                    <E T="52">4</E>
                                     combined ethane response factor and penetration fraction, according to § 1065.365(f).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RF</E>
                                    <E T="52">CH4[THC-FID]</E>
                                     = response factor of THC FID to CH
                                    <E T="52">4,</E>
                                     according to § 1065.360(d).
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 = 150.3 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">PF</E>
                                <E T="52">CH4[NMC-FID]</E>
                                 = 0.990
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 = 20.5 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RFPF</E>
                                <E T="52">C2H6[NMC-FID]</E>
                                 = 0.019
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 = 0.980
                            </FP>
                            <GPH SPAN="1" DEEP="25">
                                <GID>ER15SE11.067</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                 = 132.5 μmol/mol
                            </FP>
                            <P>
                                (3) For a GC-FID, calculate 
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                 using the THC analyzer's response factor (
                                <E T="03">RF</E>
                                ) for CH
                                <E T="52">4,</E>
                                 from § 1065.360, and the initial THC contamination and dry-to-wet corrected THC concentration 
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 as determined in paragraph (a) of this section as follows:
                            </P>
                            <GPH SPAN="3" DEEP="43">
                                <PRTPAGE P="57464"/>
                                <GID>ER15SE11.068</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NMHC</E>
                                     = concentration of NMHC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[THC-FID]cor</E>
                                     = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">CH4</E>
                                    = concentration of CH
                                    <E T="52">4,</E>
                                     dry-to-wet corrected, as measured by the GC-FID.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RF</E>
                                    <E T="52">CH4[THC-FID]</E>
                                     = response factor of THC-FID to CH
                                    <E T="52">4</E>
                                    .
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID[cor</E>
                                 = 145.6 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 = 0.970
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">CH4</E>
                                 = 18.9 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                 = 145.6−0.970 · 18.9
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NMHC</E>
                                 = 127.3 μmol/mol
                            </FP>
                            <P>
                                (c) 
                                <E T="03">CH</E>
                                <E T="52">4</E>
                                  
                                <E T="03">determination.</E>
                                 Use one of the following methods to determine CH
                                <E T="52">4</E>
                                 concentration, 
                                <E T="03">x</E>
                                <E T="52">CH4</E>
                                :
                            </P>
                            <P>
                                (1) For nonmethane cutters, calculate 
                                <E T="03">x</E>
                                <E T="52">CH4</E>
                                 using the nonmethane cutter's penetration fraction (
                                <E T="03">PF</E>
                                ) of CH
                                <E T="52">4</E>
                                 and the response factor penetration fraction (
                                <E T="03">RFPF</E>
                                ) of C
                                <E T="52">2</E>
                                H
                                <E T="52">6</E>
                                 from § 1065.365, the response factor (
                                <E T="03">RF</E>
                                ) of the THC FID to CH
                                <E T="52">4</E>
                                 from § 1065.360, the initial THC contamination and dry-to-wet corrected THC concentration 
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 as determined in paragraph (a) of this section, and the dry-to-wet corrected CH
                                <E T="52">4</E>
                                 concentration 
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 optionally corrected for initial THC contamination as determined in paragraph (a) of this section.
                            </P>
                            <P>(i) Use the following equation for penetration fractions determined using an NMC configuration as outlined in § 1065.365(d):</P>
                            <GPH SPAN="3" DEEP="73">
                                <GID>ER15SE11.069</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">CH4</E>
                                     = concentration of CH
                                    <E T="52">4.</E>
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[NMC-FID]cor</E>
                                     = concentration of THC, initial THC contamination (optional) and dry-to-wet corrected, as measured by the NMC FID during sampling through the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[THC-FID]cor</E>
                                     = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID during sampling while bypassing the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RFPF</E>
                                    <E T="52">C2H6[NMC-FID]</E>
                                     = the combined ethane response factor and penetration fraction of the nonmethane cutter, according to § 1065.365(d).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RF</E>
                                    <E T="52">CH4[THC-FID]</E>
                                     = response factor of THC FID to CH
                                    <E T="52">4,</E>
                                     according to § 1065.360(d).
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 = 10.4 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 = 150.3 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RFPF</E>
                                <E T="52">C2H6[NMC-FID]</E>
                                 = 0.019
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 = 1.05
                            </FP>
                            <GPH SPAN="1" DEEP="25">
                                <GID>ER15SE11.070</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">CH4</E>
                                 = 7.69 μmol/mol
                            </FP>
                            <P>(ii) For penetration fractions determined using an NMC configuration as outlined in § 1065.365(e), use the following equation:</P>
                            <GPH SPAN="3" DEEP="60">
                                <GID>ER15SE11.071</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">CH4</E>
                                     = concentration of CH
                                    <E T="52">4.</E>
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[NMC-FID]cor</E>
                                     = concentration of THC, initial THC contamination (optional) and dry-to-wet corrected, as measured by the NMC FID during sampling through the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[THC-FID]cor</E>
                                     = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID during sampling while bypassing the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">PF</E>
                                    <E T="52">C2H6[NMC-FID]</E>
                                     = nonmethane cutter ethane penetration fraction, according to § 1065.365(e).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RF</E>
                                    <E T="52">CH4[THC-FID]</E>
                                     = response factor of THC FID to CH
                                    <E T="52">4,</E>
                                     according to § 1065.360(d).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">PF</E>
                                    <E T="52">CH4[NMC-FID]</E>
                                     = nonmethane cutter CH
                                    <E T="52">4</E>
                                     penetration fraction, according to § 1065.365(e).
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example</E>
                                :
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 = 10.4 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 = 150.3 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">PF</E>
                                <E T="52">C2H6[NMC-FID]</E>
                                 = 0.020
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 = 1.05
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">PF</E>
                                <E T="52">CH4[NMC-FID]</E>
                                 = 0.990
                            </FP>
                            <GPH SPAN="1" DEEP="28">
                                <GID>ER15SE11.072</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">CH4</E>
                                 = 7.25 μmol/mol
                            </FP>
                            <P>(iii) For penetration fractions determined using an NMC configuration as outlined in § 1065.365(f), use the following equation:</P>
                            <GPH SPAN="3" DEEP="59">
                                <PRTPAGE P="57465"/>
                                <GID>ER15SE11.073</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">CH4</E>
                                     = concentration of CH
                                    <E T="52">4.</E>
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[NMC-FID]cor</E>
                                     = concentration of THC, initial THC contamination (optional) and dry-to-wet corrected, as measured by the NMC FID during sampling through the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">THC[THC-FID]cor</E>
                                     = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID during sampling while bypassing the NMC.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RFPF</E>
                                    <E T="52">C2H6[NMC-FID]</E>
                                     = the combined ethane response factor and penetration fraction of the nonmethane cutter, according to § 1065.365(f).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">PF</E>
                                    <E T="52">CH4[NMC-FID]</E>
                                     = nonmethane cutter CH
                                    <E T="52">4</E>
                                     penetration fraction, according to § 1065.365(f).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">RF</E>
                                    <E T="52">CH4[THC-FID]</E>
                                     = response factor of THC FID to CH
                                    <E T="52">4,</E>
                                     according to § 1065.360(d).
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example</E>
                                :
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[NMC-FID]cor</E>
                                 = 10.4 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">THC[THC-FID]cor</E>
                                 = 150.3 μmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RFPF</E>
                                <E T="52">C2H6[NMC-FID]</E>
                                 = 0.019
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">PF</E>
                                <E T="52">CH4[NMC-FID]</E>
                                 = 0.990
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">RF</E>
                                <E T="52">CH4[THC-FID]</E>
                                 = 1.05
                            </FP>
                            <GPH SPAN="1" DEEP="25">
                                <GID>ER15SE11.074</GID>
                            </GPH>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">CH4</E>
                                 = 7.78 μmol/mol
                            </FP>
                            <P>
                                (2) For a GC-FID, 
                                <E T="03">x</E>
                                <E T="52">CH4</E>
                                 is the actual dry-to-wet corrected CH
                                <E T="52">4</E>
                                 concentration as measured by the analyzer.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>83. Section 1065.667 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.667 </SECTNO>
                            <SUBJECT>Dilution air background emission correction.</SUBJECT>
                            <P>
                                (a) To determine the mass of background emissions to subtract from a diluted exhaust sample, first determine the total flow of dilution air, 
                                <E T="03">n</E>
                                <E T="52">dil,</E>
                                 over the test interval. This may be a measured quantity or a calculated quantity. Multiply the total flow of dilution air by the mean mole fraction (
                                <E T="03">i.e.,</E>
                                 concentration) of a background emission. This may be a time-weighted mean or a flow-weighted mean (
                                <E T="03">e.g.,</E>
                                 a proportionally sampled background). Finally, multiply by the molar mass, 
                                <E T="03">M,</E>
                                 of the associated gaseous emission constituent. The product of 
                                <E T="03">n</E>
                                <E T="52">dil</E>
                                 and the mean molar concentration of a background emission and its molar mass, 
                                <E T="03">M,</E>
                                 is the total background emission mass, 
                                <E T="03">m.</E>
                                 In the case of PM, where the mean PM concentration is already in units of mass per mole of sample, 
                                <E T="03">M</E>
                                <AC T="8"/>
                                <E T="52">PM</E>
                                , multiply it by the total amount of dilution air flow, and the result is the total background mass of PM, 
                                <E T="03">m</E>
                                <E T="52">PM.</E>
                                 Subtract total background mass from total mass to correct for background emissions.
                            </P>
                            <P>(b) You may determine the total flow of dilution air by a direct flow measurement.</P>
                            <P>(c) You may determine the total flow of dilution air by subtracting the calculated raw exhaust molar flow as described in § 1065.655(f) from the measured dilute exhaust flow. This may be done by totaling continuous calculations or by using batch results.</P>
                            <P>
                                (d) You may determine the total flow of dilution air from the measured dilute exhaust flow and a chemical balance of the fuel, intake air, and dilute exhaust as described in § 1065.655. For this option, the molar flow of dilution air is calculated by multiplying the dilute exhaust flow by the mole fraction of dilution gas to dilute exhaust, 
                                <E T="03">x</E>
                                <E T="52">dil/exh</E>
                                , from the dilute chemical balance. This may be done by totaling continuous calculations or by using batch results. For example, to use batch results, the total flow of dilution air is calculated by multiplying the total flow of diluted exhaust, 
                                <E T="03">n</E>
                                <E T="52">dexh,</E>
                                 by the flow-weighted mean mole fraction of dilution air in diluted exhaust, 
                                <E T="03">
                                    x
                                    <AC T="8"/>
                                </E>
                                <E T="52">dil/exh</E>
                                . Calculate 
                                <E T="03">
                                    x
                                    <AC T="8"/>
                                </E>
                                <E T="52">dil/exh</E>
                                 using flow-weighted mean concentrations of emissions in the chemical balance, as described in § 1065.655. The chemical balance in § 1065.655 assumes that your engine operates stoichiometrically, even if it is a lean-burn engine, such as a compression-ignition engine. Note that for lean-burn engines this assumption could result in an error in emission calculations. This error could occur because the chemical balance in § 1065.655 treats excess air passing through a lean-burn engine as if it was dilution air. If an emission concentration expected at the standard is about 100 times its dilution air background concentration, this error is negligible. However, if an emission concentration expected at the standard is similar to its background concentration, this error could be significant. If this error might affect your ability to show that your engines comply with applicable standards, we recommend that you either determine the total flow of dilution air using one of the more accurate methods in paragraph (b) or (c) of this section, or remove background emissions from dilution air by HEPA filtration, chemical adsorption, or catalytic scrubbing. You might also consider using a partial-flow dilution technique such as a bag mini-diluter, which uses purified air as the dilution air.
                            </P>
                            <P>
                                (e) The following is an example of using the flow-weighted mean fraction of dilution air in diluted exhaust, 
                                <E T="03">x</E>
                                <AC T="8"/>
                                <E T="52">dil/exh</E>
                                , and the total mass of background emissions calculated using the total flow of diluted exhaust, 
                                <E T="03">n</E>
                                <E T="52">dexh,</E>
                                 as described in § 1065.650(c):
                            </P>
                            <GPH SPAN="1" DEEP="109">
                                <GID>ER15SE11.075</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">NOx</E>
                                 = 46.0055 g/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <AC T="8"/>
                                <E T="52">bkgnd</E>
                                 = 0.05 µmol/mol = 0.05⋅10
                                <E T="51">-6</E>
                                 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">n</E>
                                <E T="52">dexh</E>
                                 = 23280.5 mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <AC T="8"/>
                                <E T="52">dil/exh</E>
                                 = 0.843 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                m
                                <E T="52">bkgndNOxdexh</E>
                                 = 46.0055⋅0.05⋅10
                                <E T="51">−</E>
                                <SU>6</SU>
                                ⋅23280.5
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <E T="52">bkgndNOxdexh</E>
                                 = 0.0536 g
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <E T="52">bkgndNOx</E>
                                 = 0.843 ⋅ 0.0536
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">m</E>
                                <E T="52">bkgndNOx</E>
                                 = 0.0452 g
                            </FP>
                            <P>
                                (f) The following is an example of using the fraction of dilution air in diluted exhaust, 
                                <E T="03">x</E>
                                <E T="52">dil/exh,</E>
                                 and the mass rate of background emissions calculated using the flow rate of diluted exhaust, 
                                <E T="03">n</E>
                                <AC T="b"/>
                                <E T="52">dexh</E>
                                , as described in § 1065.650(c):
                            </P>
                            <GPH SPAN="1" DEEP="110">
                                <GID>ER15SE11.076</GID>
                            </GPH>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">M</E>
                                <E T="52">NOx</E>
                                 = 46.0055 g/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">bkgnd</E>
                                 = 0.05 µmol/mol = 0.05⋅10
                                <E T="51">−</E>
                                <SU>6</SU>
                                 mol/mol
                                <PRTPAGE P="57466"/>
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">
                                    n
                                    <AC T="b"/>
                                </E>
                                <E T="52">dexh</E>
                                 = 23280.5 mol/s
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">dil/exh</E>
                                 = 0.843 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">
                                    m
                                    <AC T="b"/>
                                </E>
                                <E T="52">bkgndNOxdexh</E>
                                 = 46.0055⋅0.05⋅10
                                <E T="51">−</E>
                                <SU>6</SU>
                                ⋅23280.5
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">
                                    m
                                    <AC T="b"/>
                                </E>
                                <E T="52">bkgndNOxdexh</E>
                                 = 0.0536 g/hr
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">
                                    m
                                    <AC T="b"/>
                                </E>
                                <E T="52">bkgndNOx</E>
                                 = 0.843 ⋅ 0.0536
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">
                                    m
                                    <AC T="b"/>
                                </E>
                                <E T="52">bkgndNOx</E>
                                 = 0.0452 g/hr
                            </FP>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>84. Section 1065.670 is amended by revising the introductory text to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.670 </SECTNO>
                            <SUBJECT>
                                NO
                                <E T="52">X</E>
                                 intake-air humidity and temperature corrections.
                            </SUBJECT>
                            <P>
                                See the standard-setting part to determine if you may correct NO
                                <E T="52">X</E>
                                 emissions for the effects of intake-air humidity or temperature. Use the NO
                                <E T="52">X</E>
                                 intake-air humidity and temperature corrections specified in the standard-setting part instead of the NO
                                <E T="52">X</E>
                                 intake-air humidity correction specified in this part 1065. If the standard-setting part does not prohibit correcting NO
                                <E T="52">X</E>
                                 emissions for intake-air humidity according to this part 1065, correct NO
                                <E T="52">X</E>
                                 concentrations for intake-air humidity as described in this section. See § 1065.650(c)(1) for the proper sequence for applying the NO
                                <E T="52">X</E>
                                 intake-air humidity and temperature corrections. You may use a time-weighted mean combustion air humidity to calculate this correction if your combustion air humidity remains within a tolerance of ±0.0025 mol/mol of the mean value over the test interval. For intake-air humidity correction, use one of the following approaches:
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>85. Section 1065.675 is amended by revising paragraph (d) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.675 </SECTNO>
                            <SUBJECT>CLD quench verification calculations.</SUBJECT>
                            <STARS/>
                            <P>(d) Calculate quench as follows:</P>
                            <GPH SPAN="3" DEEP="91">
                                <GID>ER15SE11.077</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">quench</E>
                                     = amount of CLD quench.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NOdry</E>
                                     = concentration of NO upstream of a bubbler, according to § 1065.370(e)(4).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NOwet</E>
                                     = measured concentration of NO downstream of a bubbler, according to § 1065.370(e)(9).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">H2Oexp</E>
                                     = maximum expected mole fraction of water during emission testing, according to paragraph (b) of this section.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">H2Omeas</E>
                                     = measured mole fraction of water during the quench verification, according to § 1065.370(e)(7)
                                    <E T="03">.</E>
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NOmeas</E>
                                     = measured concentration of NO when NO span gas is blended with CO
                                    <E T="52">2</E>
                                     span gas, according to § 1065.370(d)(10).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NOact</E>
                                     = actual concentration of NO when NO span gas is blended with CO
                                    <E T="52">2</E>
                                     span gas, according to § 1065.370(d)(11) and calculated according to Equation 1065.675-2.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">CO2exp</E>
                                     = maximum expected concentration of CO
                                    <E T="52">2</E>
                                     during emission testing, according to paragraph (c) of this section.
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">CO2act</E>
                                     = actual concentration of CO
                                    <E T="52">2</E>
                                     when NO span gas is blended with CO
                                    <E T="52">2</E>
                                     span gas, according to § 1065.370(d)(9).
                                </FP>
                            </EXTRACT>
                            <GPH SPAN="3" DEEP="65">
                                <GID>ER15SE11.078</GID>
                            </GPH>
                            <EXTRACT>
                                <FP SOURCE="FP-2">Where:</FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">NOspan</E>
                                     = the NO span gas concentration input to the gas divider, according to § 1065.370(d)(5).
                                </FP>
                                <FP SOURCE="FP-2">
                                    <E T="03">x</E>
                                    <E T="52">CO2span</E>
                                     = the CO
                                    <E T="52">2</E>
                                     span gas concentration input to the gas divider, according to § 1065.370(d)(4).
                                </FP>
                            </EXTRACT>
                            <P>
                                <E T="03">Example:</E>
                            </P>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NOdry</E>
                                 = 1800.0 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NOwet</E>
                                 = 1739.6 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">H2Oexp</E>
                                 = 0.030 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">H2Omeas</E>
                                 = 0.030 mol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NOmeas</E>
                                 = 1515.2 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">NOspan</E>
                                 = 3001.6 µmol/mol
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">CO2exp</E>
                                 = 3.2%
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">CO2span</E>
                                 = 6.1%
                            </FP>
                            <FP SOURCE="FP-2">
                                <E T="03">x</E>
                                <E T="52">CO2act</E>
                                 = 2.98%
                            </FP>
                            <GPH SPAN="3" DEEP="106">
                                <GID>ER15SE11.079</GID>
                            </GPH>
                            <PRTPAGE P="57467"/>
                            <FP SOURCE="FP-2">
                                <E T="03">quench</E>
                                 = (−0.0036655−0. 014020171)⋅100% = −1.7685671%
                            </FP>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart H—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="" PART="">
                        <AMDPAR>86. Section 1065.750 is amended by revising paragraphs (a)(3) introductory text and (a)(4) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.750 </SECTNO>
                            <SUBJECT>Analytical gases.</SUBJECT>
                            <STARS/>
                            <P>(a) * * *</P>
                            <P>(3) Use the following gas mixtures, with gases traceable within ±1% of the NIST-accepted value or other gas standards we approve:</P>
                            <STARS/>
                            <P>(4) You may use gases for species other than those listed in paragraph (a)(3) of this section (such as methanol in air, which you may use to determine response factors), as long as they are traceable to within ±3% of the NIST-accepted value or other similar standards we approve, and meet the stability requirements of paragraph (b) of this section.</P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="" PART="">
                        <AMDPAR>87. Section 1065.790 is amended by revising paragraph (a) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.790 </SECTNO>
                            <SUBJECT>Mass standards.</SUBJECT>
                            <P>
                                (a) 
                                <E T="03">PM balance calibration weights.</E>
                                 Use PM balance calibration weights that are certified as NIST-traceable within 0.1% uncertainty. Calibration weights may be certified by any calibration lab that maintains NIST-traceability. Make sure your highest calibration weight has no greater than ten times the mass of an unused PM-sample medium.
                            </P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart J—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>88. Section 1065.915 is amended by revising Table 1 in paragraph (a) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.915 </SECTNO>
                            <SUBJECT>PEMS instruments.</SUBJECT>
                            <P>(a) * * *</P>
                            <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,r50,r50,r50,r50,r50,r50">
                                <TTITLE>Table 1 of § 1065.915—Recommended Minimum PEMS Measurement Instrument Performance</TTITLE>
                                <BOXHD>
                                    <CHED H="1">Measurement</CHED>
                                    <CHED H="1">
                                        Measured
                                        <LI>quantity </LI>
                                        <LI>symbol</LI>
                                    </CHED>
                                    <CHED H="1">
                                        Rise time,
                                        <E T="03"> t</E>
                                        <E T="52">10-90,</E>
                                         and
                                        <LI>
                                            fall time, 
                                            <E T="03">t</E>
                                            <E T="52">90-10</E>
                                        </LI>
                                    </CHED>
                                    <CHED H="1">
                                        Recording update 
                                        <LI>frequency</LI>
                                    </CHED>
                                    <CHED H="1">
                                        Accuracy 
                                        <SU>1</SU>
                                    </CHED>
                                    <CHED H="1">
                                        Repeatability 
                                        <SU>1</SU>
                                    </CHED>
                                    <CHED H="1">
                                        Noise 
                                        <SU>1</SU>
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">Engine speed transducer</ENT>
                                    <ENT>
                                        <E T="03">f</E>
                                        <E T="52">n</E>
                                    </ENT>
                                    <ENT>1 s</ENT>
                                    <ENT>1 Hz means</ENT>
                                    <ENT>5% of pt. or 1% of max</ENT>
                                    <ENT>2% of pt. or 1% of max</ENT>
                                    <ENT>0.5% of max.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01" O="xl">Engine torque estimator, BSFC (This is a signal from an engine's ECM)</ENT>
                                    <ENT>
                                        <E T="03">T</E>
                                         or BSFC
                                    </ENT>
                                    <ENT>1 s</ENT>
                                    <ENT>1 Hz means</ENT>
                                    <ENT>8% of pt. or 5% of max</ENT>
                                    <ENT>2% of pt. or 1% of max</ENT>
                                    <ENT>1% of max.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01" O="xl">General pressure transducer (not a part of another instrument)</ENT>
                                    <ENT>
                                        <E T="03">p</E>
                                    </ENT>
                                    <ENT>5 s</ENT>
                                    <ENT>1 Hz</ENT>
                                    <ENT>5% of pt. or 5% of max</ENT>
                                    <ENT>2% of pt. or 0.5% of max</ENT>
                                    <ENT>1% of max.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01" O="xl">Atmospheric pressure meter</ENT>
                                    <ENT>
                                        <E T="03">p</E>
                                        <E T="52">atmos</E>
                                    </ENT>
                                    <ENT>50 s</ENT>
                                    <ENT>0.1 Hz</ENT>
                                    <ENT>250 Pa</ENT>
                                    <ENT>200 Pa</ENT>
                                    <ENT>100 Pa.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01" O="xl">General temperature sensor (not a part of another instrument)</ENT>
                                    <ENT>
                                        <E T="03">T</E>
                                    </ENT>
                                    <ENT>5 s</ENT>
                                    <ENT>1 Hz</ENT>
                                    <ENT>1% of pt. K or 5 K</ENT>
                                    <ENT>0.5% of pt. K or 2 K</ENT>
                                    <ENT>0.5% of max 0.5 K.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">General dewpoint sensor</ENT>
                                    <ENT>
                                        <E T="03">T</E>
                                        <E T="52">dew</E>
                                    </ENT>
                                    <ENT>50 s</ENT>
                                    <ENT>0.1 Hz</ENT>
                                    <ENT>3 K</ENT>
                                    <ENT>1 K</ENT>
                                    <ENT>1 K.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Exhaust flow meter</ENT>
                                    <ENT>
                                        <E T="03">n</E>
                                    </ENT>
                                    <ENT>1 s</ENT>
                                    <ENT>1 Hz means</ENT>
                                    <ENT>5% of pt. or 3% of max</ENT>
                                    <ENT>2% of pt</ENT>
                                    <ENT>2% of max.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01" O="xl">Dilution air, inlet air, exhaust, and sample flow meters</ENT>
                                    <ENT>
                                        <E T="03">n</E>
                                    </ENT>
                                    <ENT>1 s</ENT>
                                    <ENT>1 Hz means</ENT>
                                    <ENT>2.5% of pt. or 1.5% of max</ENT>
                                    <ENT>1.25% of pt. or 0.75% of max</ENT>
                                    <ENT>1% of max.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Continuous gas analyzer</ENT>
                                    <ENT>
                                        <E T="03">x</E>
                                    </ENT>
                                    <ENT>5 s</ENT>
                                    <ENT>1 Hz</ENT>
                                    <ENT>4% of pt. or 4% of meas</ENT>
                                    <ENT>2% of pt. or 2% of meas</ENT>
                                    <ENT>1% of max.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Gravimetric PM balance</ENT>
                                    <ENT>
                                        <E T="03">m</E>
                                        <E T="52">PM</E>
                                    </ENT>
                                    <ENT>N/A</ENT>
                                    <ENT>N/A</ENT>
                                    <ENT>See § 1065.790</ENT>
                                    <ENT>0.5 μg</ENT>
                                    <ENT>N/A.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">Inertial PM balance</ENT>
                                    <ENT>
                                        <E T="03">m</E>
                                        <E T="52">PM</E>
                                    </ENT>
                                    <ENT>N/A</ENT>
                                    <ENT>N/A</ENT>
                                    <ENT>4% of pt. or 4% of meas</ENT>
                                    <ENT>2% of pt. or 2% of meas</ENT>
                                    <ENT>1% of max.</ENT>
                                </ROW>
                                <TNOTE>
                                    <SU>1</SU>
                                     Accuracy, repeatability, and noise are all determined with the same collected data, as described in § 1065.305, and based on absolute values. “pt.” refers to the overall flow-weighted mean value expected at the standard; “max.” refers to the peak value expected at the standard over any test interval, not the maximum of the instrument's range; “meas” refers to the actual flow-weighted mean measured over any test interval.
                                </TNOTE>
                            </GPOTABLE>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>89. Section 1065.925 is amended by revising paragraphs (h)(1), (h)(2), and (h)(3) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.925 </SECTNO>
                            <SUBJECT>PEMS preparation for field testing.</SUBJECT>
                            <STARS/>
                            <P>(h) * * *</P>
                            <P>(1) Select the HC analyzer range for measuring the maximum concentration expected at the HC standard.</P>
                            <P>(2) Zero the HC analyzers using a zero gas or ambient air introduced at the analyzer port. When zeroing a FID, use the FID's burner air that would be used for in-use measurements (generally either ambient air or a portable source of burner air).</P>
                            <P>(3) Span the HC analyzer using span gas introduced at the analyzer port.</P>
                            <STARS/>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart K—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>90. Section 1065.1001 is amended by revising the introductory text and the definitions for “Idle speed”, “Percent (%)”, and “Round” and adding definitions for “Electric power generation application”, “High-idle speed”, and “High-speed governor” in alphabetical order to read as follows:</AMDPAR>
                        <SECTION>
                            <PRTPAGE P="57468"/>
                            <SECTNO>§ 1065.1001 </SECTNO>
                            <SUBJECT>Definitions.</SUBJECT>
                            <STARS/>
                            <P>
                                <E T="03">Electric power generation application</E>
                                 means an application whose purpose is to generate a precise frequency of electricity, which is characterized by an engine that controls engine speed very precisely. This would generally not apply to welders or portable home generators.
                            </P>
                            <STARS/>
                            <P>
                                <E T="03">High-idle speed</E>
                                 means the engine speed at which an engine governor function controls engine speed with operator demand at maximum and with zero load applied. “Warm high-idle speed” is the high-idle speed of a warmed-up engine.
                            </P>
                            <P>
                                <E T="03">High-speed governor</E>
                                 means any device, system, or element of design that modulates the engine output torque for the purpose of limiting the maximum engine speed.
                            </P>
                            <STARS/>
                            <P>
                                <E T="03">Idle speed</E>
                                 means the engine speed at which an engine governor function controls engine speed with operator demand at minimum and with minimum load applied (greater than or equal to zero). For engines without a governor function that controls idle speed, idle speed means the manufacturer-declared value for lowest engine speed possible with minimum load. This definition does not apply for operation designated as “high-idle speed.” “Warm idle speed” is the idle speed of a warmed-up engine.
                            </P>
                            <STARS/>
                            <P>
                                <E T="03">Percent</E>
                                 (%) means a representation of exactly 0.01. Numbers expressed as percentages in this part (such as a tolerance of ±2%) have infinite precision, so 2% and 2.000000000% have the same meaning. This means that where we specify some percentage of a total value, the calculated value has the same number of significant digits as the total value. For example, 2% of a span value where the span value is 101.3302 is 2.026604.
                            </P>
                            <STARS/>
                            <P>
                                <E T="03">Round</E>
                                 means to apply the rounding convention specified in § 1065.20(e), unless otherwise specified.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>91. Section 1065.1005 is amended by revising the introductory text and paragraphs (a), (e), (f)(2), and (g) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.1005 </SECTNO>
                            <SUBJECT>Symbols, abbreviations, acronyms, and units of measure.</SUBJECT>
                            <P>The procedures in this part generally follow the International System of Units (SI), as detailed in NIST Special Publication 811, which we incorporate by reference in § 1065.1010. See § 1065.20 for specific provisions related to these conventions. This section summarizes the way we use symbols, units of measure, and other abbreviations.</P>
                            <P>
                                (a) 
                                <E T="03">Symbols for quantities.</E>
                                 This part uses the following symbols and units of measure for various quantities:
                            </P>
                            <GPOTABLE COLS="5" OPTS="L2,p7,7/8,i1" CDEF="xs40,r40,r40,xls100,xls130">
                                <TTITLE> </TTITLE>
                                <BOXHD>
                                    <CHED H="1">Symbol</CHED>
                                    <CHED H="1">Quantity</CHED>
                                    <CHED H="1">Unit</CHED>
                                    <CHED H="1">Unit symbol</CHED>
                                    <CHED H="1">Units in terms of SI base units</CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">α</ENT>
                                    <ENT>atomic hydrogen to carbon ratio</ENT>
                                    <ENT>mole per mole</ENT>
                                    <ENT>mol/mol</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">A</E>
                                    </ENT>
                                    <ENT>area</ENT>
                                    <ENT>square meter</ENT>
                                    <ENT>
                                        m 
                                        <SU>2</SU>
                                    </ENT>
                                    <ENT>
                                        m 
                                        <SU>2</SU>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">A</E>
                                        <E T="52">0</E>
                                    </ENT>
                                    <ENT>intercept of least squares regression</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">A</E>
                                        <E T="52">1</E>
                                    </ENT>
                                    <ENT>slope of least squares regression</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">β</E>
                                    </ENT>
                                    <ENT>ratio of diameters</ENT>
                                    <ENT>meter per meter</ENT>
                                    <ENT>m/m</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">β</E>
                                    </ENT>
                                    <ENT>atomic oxygen to carbon ratio</ENT>
                                    <ENT>mole per mole</ENT>
                                    <ENT>mol/mol</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">C</E>
                                        <E T="51">#</E>
                                    </ENT>
                                    <ENT>number of carbon atoms in a molecule</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">d</E>
                                    </ENT>
                                    <ENT>Diameter</ENT>
                                    <ENT>meter</ENT>
                                    <ENT>m</ENT>
                                    <ENT>m</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">DR</E>
                                    </ENT>
                                    <ENT>dilution ratio</ENT>
                                    <ENT>mole per mol</ENT>
                                    <ENT>mol/mol</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">ε</E>
                                    </ENT>
                                    <ENT>error between a quantity and its reference</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">e</E>
                                    </ENT>
                                    <ENT>brake-specific emission or fuel consumption</ENT>
                                    <ENT>gram per kilowatt hour</ENT>
                                    <ENT>g/(kW·hr)</ENT>
                                    <ENT>
                                        g·3.6
                                        <E T="51">-1</E>
                                        ·10
                                        <SU>6</SU>
                                        ·m
                                        <E T="51">-2</E>
                                        ·kg·s
                                        <SU>2</SU>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">F</E>
                                    </ENT>
                                    <ENT>F-test statistic</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">f</E>
                                    </ENT>
                                    <ENT>frequency</ENT>
                                    <ENT>hertz</ENT>
                                    <ENT>Hz</ENT>
                                    <ENT>
                                        s
                                        <E T="51">-1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">f</E>
                                        <E T="52">n</E>
                                    </ENT>
                                    <ENT>angular speed (shaft)</ENT>
                                    <ENT>revolutions per minute</ENT>
                                    <ENT>r/min</ENT>
                                    <ENT>
                                        2·π·60
                                        <E T="51">-1</E>
                                        · m·m
                                        <E T="51">-1</E>
                                        <E T="53">x</E>
                                        ·s
                                        <E T="51">-1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">γ</E>
                                    </ENT>
                                    <ENT>ratio of specific heats</ENT>
                                    <ENT>(joule per kilogram kelvin) per (joule per kilogram kelvin)</ENT>
                                    <ENT>(J/(kg·K))/(J/(kg·K))</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">K</E>
                                    </ENT>
                                    <ENT>correction factor</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">l</E>
                                    </ENT>
                                    <ENT>length</ENT>
                                    <ENT>meter</ENT>
                                    <ENT>m</ENT>
                                    <ENT>m</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">μ</E>
                                    </ENT>
                                    <ENT>viscosity, dynamic</ENT>
                                    <ENT>pascal second</ENT>
                                    <ENT>Pa·s</ENT>
                                    <ENT>
                                        m
                                        <E T="51">-1</E>
                                        ·kg·s
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                    </ENT>
                                    <ENT>
                                        molar mass
                                        <SU>1</SU>
                                    </ENT>
                                    <ENT>gram per mole</ENT>
                                    <ENT>g/mol</ENT>
                                    <ENT>
                                        10
                                        <E T="51">-3</E>
                                        ·kg·mol
                                        <E T="51">-1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">m</E>
                                    </ENT>
                                    <ENT>mass</ENT>
                                    <ENT>kilogram</ENT>
                                    <ENT>kg</ENT>
                                    <ENT>kg</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        m
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>mass rate</ENT>
                                    <ENT>kilogram per second</ENT>
                                    <ENT>kg/s</ENT>
                                    <ENT>
                                        kg·s
                                        <E T="51">-1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">ν</E>
                                    </ENT>
                                    <ENT>viscosity, kinematic</ENT>
                                    <ENT>meter squared per second</ENT>
                                    <ENT>
                                        m
                                        <E T="51">-2</E>
                                        /s
                                    </ENT>
                                    <ENT>
                                        m
                                        <E T="51">-2</E>
                                        ·s
                                        <E T="51">-1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">N</E>
                                    </ENT>
                                    <ENT>total number in series</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">n</E>
                                    </ENT>
                                    <ENT>amount of substance</ENT>
                                    <ENT>mole</ENT>
                                    <ENT>mol</ENT>
                                    <ENT>mol</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        η
                                        <AC T="b"/>
                                    </ENT>
                                    <ENT>amount of substance rate</ENT>
                                    <ENT>mole per second</ENT>
                                    <ENT>mol/s</ENT>
                                    <ENT>
                                        mol·s
                                        <E T="51">-1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">P</E>
                                    </ENT>
                                    <ENT>power</ENT>
                                    <ENT>kilowatt</ENT>
                                    <ENT>kW</ENT>
                                    <ENT>
                                        10
                                        <SU>3</SU>
                                        ·m
                                        <SU>2</SU>
                                        ·kg·s
                                        <E T="51">-3</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">PF</E>
                                    </ENT>
                                    <ENT>penetration fraction</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">p</E>
                                    </ENT>
                                    <ENT>pressure</ENT>
                                    <ENT>pascal</ENT>
                                    <ENT>Pa</ENT>
                                    <ENT>
                                        m
                                        <E T="51">-1</E>
                                        ·kg·s
                                        <E T="51">-2</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">ρ</E>
                                    </ENT>
                                    <ENT>mass density</ENT>
                                    <ENT>kilogram per cubic meter</ENT>
                                    <ENT>
                                        kg/m
                                        <SU>3</SU>
                                    </ENT>
                                    <ENT>
                                        kg·m
                                        <E T="51">-3</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">r</E>
                                    </ENT>
                                    <ENT>ratio of pressures</ENT>
                                    <ENT>pascal per pascal</ENT>
                                    <ENT>Pa/Pa</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">R</E>
                                        <E T="53">2</E>
                                    </ENT>
                                    <ENT>coefficient of determination</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">Ra</E>
                                    </ENT>
                                    <ENT>average surface roughness</ENT>
                                    <ENT>micrometer</ENT>
                                    <ENT>μm</ENT>
                                    <ENT>
                                        10-
                                        <E T="51">-6</E>
                                         m
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">Re</E>
                                        <E T="53">#</E>
                                    </ENT>
                                    <ENT>Reynolds number</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">RF</E>
                                    </ENT>
                                    <ENT>response factor</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">RH</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">relative humidity</E>
                                    </ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">σ</E>
                                    </ENT>
                                    <ENT>non−biased standard deviation</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">S</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">Sutherland constant</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">kelvin</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">K</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">K</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">SEE</E>
                                    </ENT>
                                    <ENT>standard estimate of error</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">T</E>
                                    </ENT>
                                    <ENT>absolute temperature</ENT>
                                    <ENT>kelvin</ENT>
                                    <ENT>K</ENT>
                                    <ENT>K</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">T</E>
                                    </ENT>
                                    <ENT>Celsius temperature</ENT>
                                    <ENT>degree Celsius</ENT>
                                    <ENT>°C</ENT>
                                    <ENT>K−273.15</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">T</E>
                                    </ENT>
                                    <ENT>torque (moment of force)</ENT>
                                    <ENT>newton meter</ENT>
                                    <ENT>N·m</ENT>
                                    <ENT>
                                        m
                                        <E T="51">-2</E>
                                        ·kg·s
                                        <E T="51">-2</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">t</E>
                                    </ENT>
                                    <ENT>time</ENT>
                                    <ENT>second</ENT>
                                    <ENT>s</ENT>
                                    <ENT>s</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">Δt</E>
                                    </ENT>
                                    <ENT>time interval, period, 1/frequency</ENT>
                                    <ENT>second</ENT>
                                    <ENT>s</ENT>
                                    <ENT>s</ENT>
                                </ROW>
                                <ROW>
                                    <PRTPAGE P="57469"/>
                                    <ENT I="01">
                                        <E T="03">V</E>
                                    </ENT>
                                    <ENT>volume</ENT>
                                    <ENT>cubic meter</ENT>
                                    <ENT>
                                        m
                                        <SU>3</SU>
                                    </ENT>
                                    <ENT>
                                        m
                                        <SU>3</SU>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">
                                            V
                                            <AC T="b"/>
                                        </E>
                                    </ENT>
                                    <ENT>volume rate</ENT>
                                    <ENT>cubic meter per second</ENT>
                                    <ENT>
                                        m
                                        <SU>3</SU>
                                        /s
                                    </ENT>
                                    <ENT>
                                        m
                                        <SU>3</SU>
                                        ·s
                                        <E T="51">-1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">W</E>
                                    </ENT>
                                    <ENT>work</ENT>
                                    <ENT>kilowatt hour</ENT>
                                    <ENT>kW·hr</ENT>
                                    <ENT>
                                        3.6·10
                                        <E T="51">-6</E>
                                        ·m
                                        <SU>2</SU>
                                        ·kg·s
                                        <E T="51">-2</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">w</E>
                                        <E T="52">c</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">carbon mass fraction</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">gram per gram</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">g/g</E>
                                    </ENT>
                                    <ENT>
                                        <E T="03">1</E>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">x</E>
                                    </ENT>
                                    <ENT>
                                        amount of substance mole fraction 
                                        <SU>2</SU>
                                    </ENT>
                                    <ENT>mole per mole</ENT>
                                    <ENT>mol/mol</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">x</E>
                                        <AC T="8"/>
                                    </ENT>
                                    <ENT>flow-weighted mean concentration</ENT>
                                    <ENT>mole per mole</ENT>
                                    <ENT>mol/mol</ENT>
                                    <ENT>1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">y</E>
                                    </ENT>
                                    <ENT>generic variable</ENT>
                                    <ENT/>
                                    <ENT/>
                                    <ENT/>
                                </ROW>
                                <TNOTE>
                                    <SU>1</SU>
                                     See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NO
                                    <E T="52">X</E>
                                     and HC, the regulations specify effective molar masses based on assumed speciation rather than actual speciation.
                                </TNOTE>
                                <TNOTE>
                                    <SU>2</SU>
                                     Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C
                                    <E T="52">1</E>
                                     equivalent basis.
                                </TNOTE>
                            </GPOTABLE>
                            <STARS/>
                            <P>
                                (e) 
                                <E T="03">Subscripts.</E>
                                 This part uses the following subscripts to define a quantity:
                            </P>
                            <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s50,r75">
                                <TTITLE> </TTITLE>
                                <BOXHD>
                                    <CHED H="1">Subscript</CHED>
                                    <CHED H="1">Quantity</CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">abs</ENT>
                                    <ENT>absolute quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">act</ENT>
                                    <ENT>actual condition.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">air</ENT>
                                    <ENT>air, dry.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">atmos</ENT>
                                    <ENT>atmospheric.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">cal</ENT>
                                    <ENT>calibration quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">CFV</ENT>
                                    <ENT>critical flow venturi.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">cor</ENT>
                                    <ENT>corrected quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">dil</ENT>
                                    <ENT>dilution air.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">dexh</ENT>
                                    <ENT>diluted exhaust.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">exh</ENT>
                                    <ENT>raw exhaust.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">exp</ENT>
                                    <ENT>expected quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">hi,idle</ENT>
                                    <ENT>condition at high−idle.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">i</ENT>
                                    <ENT>an individual of a series.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">idle</ENT>
                                    <ENT>condition at idle.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">in</ENT>
                                    <ENT>quantity in.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">init</ENT>
                                    <ENT>initial quantity, typically before an emission test.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">j</ENT>
                                    <ENT>an individual of a series.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">max</ENT>
                                    <ENT>
                                        the maximum (
                                        <E T="03">i.e.,</E>
                                         peak) value expected at the standard over a test interval; not the maximum of an instrument range.
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">meas</ENT>
                                    <ENT>measured quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">out</ENT>
                                    <ENT>quantity out.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">part</ENT>
                                    <ENT>partial quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">PDP</ENT>
                                    <ENT>positive−displacement pump.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">ref</ENT>
                                    <ENT>reference quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">rev</ENT>
                                    <ENT>revolution.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">sat</ENT>
                                    <ENT>saturated condition.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">slip</ENT>
                                    <ENT>PDP slip.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">span</ENT>
                                    <ENT>span quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">SSV</ENT>
                                    <ENT>subsonic venturi.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">std</ENT>
                                    <ENT>standard condition.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">test</ENT>
                                    <ENT>test quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">test,alt</ENT>
                                    <ENT>alternate test quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">uncor</ENT>
                                    <ENT>uncorrected quantity.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">zero</ENT>
                                    <ENT>zero quantity.</ENT>
                                </ROW>
                            </GPOTABLE>
                            <P> (f) * * * </P>
                            <P>(2) This part uses the following molar masses or effective molar masses of chemical species: </P>
                            <GPOTABLE COLS="3" OPTS="L2,tp0,i1" CDEF="s50,r75,10">
                                <TTITLE>  </TTITLE>
                                <BOXHD>
                                    <CHED H="1">Symbol </CHED>
                                    <CHED H="1">Quantity </CHED>
                                    <CHED H="1">
                                        g/mol
                                        <LI>
                                            (10
                                            <E T="51">−3.</E>
                                            kg
                                            <E T="51">.</E>
                                            mol
                                            <E T="51">−1</E>
                                            ) 
                                        </LI>
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">air</E>
                                    </ENT>
                                    <ENT>
                                        molar mass of dry air 
                                        <SU>1</SU>
                                    </ENT>
                                    <ENT>28.96559 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">Ar</E>
                                    </ENT>
                                    <ENT>molar mass of argon </ENT>
                                    <ENT>39.948 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">C</E>
                                    </ENT>
                                    <ENT>molar mass of carbon </ENT>
                                    <ENT>12.0107 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">C3H8</E>
                                    </ENT>
                                    <ENT>molar mass of propane </ENT>
                                    <ENT>44.09562 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">CH4</E>
                                    </ENT>
                                    <ENT>molar mass of methane </ENT>
                                    <ENT>16.043 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">CO</E>
                                    </ENT>
                                    <ENT>molar mass of carbon monoxide </ENT>
                                    <ENT>28.0101 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">CO2</E>
                                    </ENT>
                                    <ENT>molar mass of carbon dioxide </ENT>
                                    <ENT>44.0095 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">H</E>
                                    </ENT>
                                    <ENT>molar mass of atomic hydrogen </ENT>
                                    <ENT>1.00794 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">H2</E>
                                    </ENT>
                                    <ENT>molar mass of molecular hydrogen </ENT>
                                    <ENT>2.01588 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">H2O</E>
                                    </ENT>
                                    <ENT>molar mass of water </ENT>
                                    <ENT>18.01528 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">He</E>
                                    </ENT>
                                    <ENT>molar mass of helium </ENT>
                                    <ENT>4.002602 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">N</E>
                                    </ENT>
                                    <ENT>molar mass of atomic nitrogen </ENT>
                                    <ENT>14.0067 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">N2</E>
                                    </ENT>
                                    <ENT>molar mass of molecular nitrogen </ENT>
                                    <ENT>28.0134 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">NMHC</E>
                                    </ENT>
                                    <ENT>
                                        effective molar mass of nonmethane hydrocarbon 
                                        <SU>2</SU>
                                    </ENT>
                                    <ENT>13.875389 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">NMHCE</E>
                                    </ENT>
                                    <ENT>
                                        effective molar mass of nonmethane equivalent hydrocarbon 
                                        <SU>2</SU>
                                    </ENT>
                                    <ENT>13.875389 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">NOx</E>
                                    </ENT>
                                    <ENT>
                                        effective molar mass of oxides of nitrogen 
                                        <SU>3</SU>
                                    </ENT>
                                    <ENT>46.0055 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">N2O</E>
                                    </ENT>
                                    <ENT>molar mass of nitrous oxide </ENT>
                                    <ENT>44.0128 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">O</E>
                                    </ENT>
                                    <ENT>molar mass of atomic oxygen </ENT>
                                    <ENT>15.9994 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">O2</E>
                                    </ENT>
                                    <ENT>molar mass of molecular oxygen </ENT>
                                    <ENT>31.9988 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">S</E>
                                    </ENT>
                                    <ENT>molar mass of sulfur </ENT>
                                    <ENT>32.065 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">THC</E>
                                    </ENT>
                                    <ENT>
                                        effective molar mass of total hydrocarbon 
                                        <SU>2</SU>
                                    </ENT>
                                    <ENT>13.875389 </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">
                                        <E T="03">M</E>
                                        <E T="52">THCE</E>
                                    </ENT>
                                    <ENT>
                                        effective molar mass of total hydrocarbon equivalent 
                                        <SU>2</SU>
                                    </ENT>
                                    <ENT>13.875389 </ENT>
                                </ROW>
                                <TNOTE>
                                    <SU>1</SU>
                                     See paragraph (f)(1) of this section for the composition of dry air. 
                                </TNOTE>
                                <TNOTE>
                                    <SU>2</SU>
                                     The effective molar masses of THC, THCE, NMHC, and NMHCE are defined by an atomic hydrogen-to-carbon ratio, α, of 1.85. 
                                </TNOTE>
                                <TNOTE>
                                    <SU>3</SU>
                                     The effective molar mass of NO
                                    <E T="52">X</E>
                                     is defined by the molar mass of nitrogen dioxide, NO
                                    <E T="52">2</E>
                                    . 
                                </TNOTE>
                            </GPOTABLE>
                            <STARS/>
                            <P>
                                (g) 
                                <E T="03">Other acronyms and abbreviations.</E>
                                 This part uses the following additional abbreviations and acronyms:
                            </P>
                            <FP SOURCE="FP-1">ASTM American Society for Testing and Materials </FP>
                            <FP SOURCE="FP-1">BMD bag mini-diluter </FP>
                            <FP SOURCE="FP-1">BSFC brake-specific fuel consumption </FP>
                            <FP SOURCE="FP-1">CARB California Air Resources Board </FP>
                            <FP SOURCE="FP-1">CFR Code of Federal Regulations </FP>
                            <FP SOURCE="FP-1">CFV critical-flow venturi </FP>
                            <FP SOURCE="FP-1">CI compression-ignition </FP>
                            <FP SOURCE="FP-1">CITT Curb Idle Transmission Torque </FP>
                            <FP SOURCE="FP-1">CLD chemiluminescent detector </FP>
                            <FP SOURCE="FP-1">CVS constant-volume sampler </FP>
                            <FP SOURCE="FP-1">DF deterioration factor </FP>
                            <FP SOURCE="FP-1">ECM electronic control module </FP>
                            <FP SOURCE="FP-1">EFC electronic flow control </FP>
                            <FP SOURCE="FP-1">EGR exhaust gas recirculation </FP>
                            <FP SOURCE="FP-1">EPA Environmental Protection Agency </FP>
                            <FP SOURCE="FP-1">FEL Family Emission Limit </FP>
                            <FP SOURCE="FP-1">FID flame-ionization detector </FP>
                            <FP SOURCE="FP-1">
                                GC gas chromatograph 
                                <PRTPAGE P="57470"/>
                            </FP>
                            <FP SOURCE="FP-1">GC-ECD gas chromatograph with an electron-capture detector </FP>
                            <FP SOURCE="FP-1">GC-FID gas chromatograph with a flame ionization detector </FP>
                            <FP SOURCE="FP-1">IBP initial boiling point </FP>
                            <FP SOURCE="FP-1">ISO International Organization for Standardization </FP>
                            <FP SOURCE="FP-1">LPG liquefied petroleum gas </FP>
                            <FP SOURCE="FP-1">NDIR nondispersive infrared </FP>
                            <FP SOURCE="FP-1">NDUV nondispersive ultraviolet </FP>
                            <FP SOURCE="FP-1">NIST National Institute for Standards and Technology </FP>
                            <FP SOURCE="FP-1">NMC nonmethane cutter </FP>
                            <FP SOURCE="FP-1">PDP positive-displacement pump </FP>
                            <FP SOURCE="FP-1">PEMS portable emission measurement system </FP>
                            <FP SOURCE="FP-1">PFD partial-flow dilution </FP>
                            <FP SOURCE="FP-1">PMP Polymethylpentene </FP>
                            <FP SOURCE="FP-1">pt. a single point at the mean value expected at the standard. </FP>
                            <FP SOURCE="FP-1">
                                PTFE polytetrafluoroethylene (commonly known as Teflon
                                <E T="51">TM</E>
                                ) 
                            </FP>
                            <FP SOURCE="FP-1">RE rounding error </FP>
                            <FP SOURCE="FP-1">RESS rechargeable energy storage system </FP>
                            <FP SOURCE="FP-1">RMC ramped-modal cycle </FP>
                            <FP SOURCE="FP-1">RMS root-mean square </FP>
                            <FP SOURCE="FP-1">RTD resistive temperature detector </FP>
                            <FP SOURCE="FP-1">SSV subsonic venturi </FP>
                            <FP SOURCE="FP-1">SI spark-ignition </FP>
                            <FP SOURCE="FP-1">UCL upper confidence limit </FP>
                            <FP SOURCE="FP-1">UFM ultrasonic flow meter </FP>
                            <FP SOURCE="FP-1">U.S.C. United States Code </FP>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1065">
                        <AMDPAR>92. Section 1065.1010 is amended by revising the introductory text and paragraph (c) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1065.1010 </SECTNO>
                            <SUBJECT>Reference materials.</SUBJECT>
                            <P>
                                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 
                                <E T="04">Federal Register</E>
                                 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 
                                <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E>
                            </P>
                            <STARS/>
                            <P>
                                (c) 
                                <E T="03">NIST material.</E>
                                 Table 3 of this section lists material from the National Institute of Standards and Technology that we have incorporated by reference. The first column lists the number and name of the material. The second column lists the section of this part where we reference it. Anyone may purchase copies of these materials from the Government Printing Office, Washington, DC 20402 or download them free from the Internet at 
                                <E T="03">http://www.nist.gov.</E>
                                 Table 3 follows:
                            </P>
                            <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,r50">
                                <TTITLE>Table 3 of § 1065.1010—NIST Materials</TTITLE>
                                <BOXHD>
                                    <CHED H="1">Document number and name</CHED>
                                    <CHED H="1">
                                        Part 1065 
                                        <LI>reference</LI>
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">NIST Special Publication 811, 2008 Edition, Guide for the Use of the International System of Units (SI), March 2008</ENT>
                                    <ENT>1065.20(a) and (e), 1065.1005.</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">NIST Technical Note 1297, 1994 Edition, Guidelines for Evaluating and Expressing the Uncertainty of NIST Measurement Results, Barry N. Taylor and Chris E. Kuyatt</ENT>
                                    <ENT>1065.1001.</ENT>
                                </ROW>
                            </GPOTABLE>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1066">
                        <AMDPAR>93. A new part 1066 is added to subchapter U to read as follows:</AMDPAR>
                        <PART>
                            <HD SOURCE="HED">PART 1066—VEHICLE-TESTING PROCEDURES</HD>
                            <CONTENTS>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart A—Applicability and General Provisions</HD>
                                    <SECHD>Sec.</SECHD>
                                    <SECTNO>1066.1 </SECTNO>
                                    <SUBJECT>Applicability.</SUBJECT>
                                    <SECTNO>1066.2 </SECTNO>
                                    <SUBJECT>Submitting information to EPA under this part.</SUBJECT>
                                    <SECTNO>1066.5 </SECTNO>
                                    <SUBJECT>Overview of this part 1066 and its relationship to the standard-setting part.</SUBJECT>
                                    <SECTNO>1066.10 </SECTNO>
                                    <SUBJECT>Other procedures.</SUBJECT>
                                    <SECTNO>1066.15 </SECTNO>
                                    <SUBJECT>Overview of test procedures.</SUBJECT>
                                    <SECTNO>1066.20 </SECTNO>
                                    <SUBJECT>Units of measure and overview of calculations.</SUBJECT>
                                    <SECTNO>1066.25 </SECTNO>
                                    <SUBJECT>Recordkeeping.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart B—Equipment, Fuel, and Gas Specifications</HD>
                                    <SECTNO>1066.101 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart C—Dynamometer Specifications</HD>
                                    <SECTNO>1066.201 </SECTNO>
                                    <SUBJECT>Dynamometer overview.</SUBJECT>
                                    <SECTNO>1066.210 </SECTNO>
                                    <SUBJECT>Dynamometers.</SUBJECT>
                                    <SECTNO>1066.215 </SECTNO>
                                    <SUBJECT>Summary of verification and calibration procedures for chassis dynamometers.</SUBJECT>
                                    <SECTNO>1066.220 </SECTNO>
                                    <SUBJECT>Linearity verification.</SUBJECT>
                                    <SECTNO>1066.225 </SECTNO>
                                    <SUBJECT>Roll runout and diameter verification procedure.</SUBJECT>
                                    <SECTNO>1066.230 </SECTNO>
                                    <SUBJECT>Time verification procedure.</SUBJECT>
                                    <SECTNO>1066.235 </SECTNO>
                                    <SUBJECT>Speed verification procedure.</SUBJECT>
                                    <SECTNO>1066.240 </SECTNO>
                                    <SUBJECT>Torque transducer verification and calibration.</SUBJECT>
                                    <SECTNO>1066.245 </SECTNO>
                                    <SUBJECT>Response time verification.</SUBJECT>
                                    <SECTNO>1066.250 </SECTNO>
                                    <SUBJECT>Base inertia verification.</SUBJECT>
                                    <SECTNO>1066.255 </SECTNO>
                                    <SUBJECT>Parasitic loss verification.</SUBJECT>
                                    <SECTNO>1066.260 </SECTNO>
                                    <SUBJECT>Parasitic friction compensation evaluation.</SUBJECT>
                                    <SECTNO>1066.265 </SECTNO>
                                    <SUBJECT>Acceleration and deceleration verification.</SUBJECT>
                                    <SECTNO>1066.270 </SECTNO>
                                    <SUBJECT>Unloaded coastdown verification.</SUBJECT>
                                    <SECTNO>1066.280 </SECTNO>
                                    <SUBJECT>Driver's aid.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart D—Coastdown</HD>
                                    <SECTNO>1066.301 </SECTNO>
                                    <SUBJECT>Overview of coastdown procedures.</SUBJECT>
                                    <SECTNO>1066.310 </SECTNO>
                                    <SUBJECT>Coastdown procedures for heavy-duty vehicles.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart E—Vehicle Preparation and Running a Test</HD>
                                    <SECTNO>1066.401 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                    <SECTNO>1066.407 </SECTNO>
                                    <SUBJECT>Vehicle preparation and preconditioning.</SUBJECT>
                                    <SECTNO>1066.410 </SECTNO>
                                    <SUBJECT>Dynamometer test procedure.</SUBJECT>
                                    <SECTNO>1066.420 </SECTNO>
                                    <SUBJECT>Pre-test verification procedures and pre-test data collection.</SUBJECT>
                                    <SECTNO>1066.425 </SECTNO>
                                    <SUBJECT>Engine starting and restarting.</SUBJECT>
                                    <SECTNO>1066.430 </SECTNO>
                                    <SUBJECT>Performing emission tests</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart F—Hybrids</HD>
                                    <SECTNO>1066.501 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart G—Calculations</HD>
                                    <SECTNO>1066.601 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                    <SECTNO>1066.610 </SECTNO>
                                    <SUBJECT>Mass-based and molar-based exhaust emission calculations.</SUBJECT>
                                </SUBPART>
                                <SUBPART>
                                    <HD SOURCE="HED">Subpart H—Definitions and Other Reference Material</HD>
                                    <SECTNO>1066.701 </SECTNO>
                                    <SUBJECT>Definitions.</SUBJECT>
                                    <SECTNO>1066.705 </SECTNO>
                                    <SUBJECT>Symbols, abbreviations, acronyms, and units of measure.</SUBJECT>
                                    <SECTNO>1066.710 </SECTNO>
                                    <SUBJECT>Reference materials.</SUBJECT>
                                </SUBPART>
                            </CONTENTS>
                            <AUTH>
                                <HD SOURCE="HED">Authority: </HD>
                                <P>42 U.S.C. 7401-7671q.</P>
                            </AUTH>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart A—Applicability and General Provisions</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.1 </SECTNO>
                                    <SUBJECT>Applicability.</SUBJECT>
                                    <P>(a) This part describes the procedures that apply to testing we require for the following vehicles:</P>
                                    <P>(1) Model year 2014 and later heavy-duty highway vehicles we regulate under 40 CFR part 1037 that are not subject to chassis testing for exhaust emissions under 40 CFR part 86.</P>
                                    <P>(2) [Reserved]</P>
                                    <P>(b) The procedures of this part may apply to other types of vehicles, as described in this part and in the standard-setting part.</P>
                                    <P>(c) The term “you” means anyone performing testing under this part other than EPA.</P>
                                    <P>(1) This part is addressed primarily to manufacturers of vehicles, but it applies equally to anyone who does testing under this part for such manufacturers.</P>
                                    <P>(2) This part applies to any manufacturer or supplier of test equipment, instruments, supplies, or any other goods or services related to the procedures, requirements, recommendations, or options in this part.</P>
                                    <P>
                                        (d) Paragraph (a) of this section identifies the parts of the CFR that define emission standards and other requirements for particular types of 
                                        <PRTPAGE P="57471"/>
                                        vehicles. In this part, we refer to each of these other parts generically as the ”standard-setting part.” For example, 40 CFR part 1037 is the standard-setting part for heavy-duty highway vehicles.
                                    </P>
                                    <P>(e) Unless we specify otherwise, the terms “procedures” and “test procedures” in this part include all aspects of vehicle testing, including the equipment specifications, calibrations, calculations, and other protocols and procedural specifications needed to measure emissions.</P>
                                    <P>
                                        (f) For additional information regarding these test procedures, visit our Web site at 
                                        <E T="03">http://www.epa.gov,</E>
                                         and in particular 
                                        <E T="03">http://www.epa.gov/nvfel/testing/regulations.htm</E>
                                        .
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.2 </SECTNO>
                                    <SUBJECT>Submitting information to EPA under this part.</SUBJECT>
                                    <P>(a) You are responsible for statements and information in your applications for certification, requests for approved procedures, selective enforcement audits, laboratory audits, production-line test reports, field test reports, or any other statements you make to us related to this part 1066. If you provide statements or information to someone for submission to EPA, you are responsible for these statements and information as if you had submitted them to EPA yourself.</P>
                                    <P>(b) In the standard-setting part and in 40 CFR 1068.101, we describe your obligation to report truthful and complete information and the consequences of failing to meet this obligation. See also 18 U.S.C. 1001 and 42 U.S.C. 7413(c)(2). This obligation applies whether you submit this information directly to EPA or through someone else.</P>
                                    <P>(c) We may void any certificates or approvals associated with a submission of information if we find that you intentionally submitted false, incomplete, or misleading information. For example, if we find that you intentionally submitted incomplete information to mislead EPA when requesting approval to use alternate test procedures, we may void the certificates for all engine families certified based on emission data collected using the alternate procedures. This would also apply if you ignore data from incomplete tests or from repeat tests with higher emission results.</P>
                                    <P>(d) We may require an authorized representative of your company to approve and sign the submission, and to certify that all the information submitted is accurate and complete. This includes everyone who submits information, including manufacturers and others.</P>
                                    <P>(e) See 40 CFR 1068.10 for provisions related to confidential information. Note however that under 40 CFR 2.301, emission data is generally not eligible for confidential treatment.</P>
                                    <P>(f) Nothing in this part should be interpreted to limit our ability under Clean Air Act section 208 (42 U.S.C. 7542) to verify that vehicles conform to the regulations.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.5 </SECTNO>
                                    <SUBJECT>Overview of this part 1066 and its relationship to the standard-setting part.</SUBJECT>
                                    <P>(a) This part specifies procedures that can apply generally to testing various categories of vehicles. See the standard-setting part for directions in applying specific provisions in this part for a particular type of vehicle. Before using this part's procedures, read the standard-setting part to answer at least the following questions:</P>
                                    <P>(1) What drive schedules must I use for testing?</P>
                                    <P>(2) Should I warm up the test vehicle before measuring emissions, or do I need to measure cold-start emissions during a warm-up segment of the duty cycle?</P>
                                    <P>
                                        (3) Which exhaust constituents do I need to measure? Measure all exhaust constituents that are subject to emission standards, any other exhaust constituents needed for calculating emission rates, and any additional exhaust constituents as specified in the standard-setting part. We may approve your request to omit measurement of N
                                        <E T="52">2</E>
                                        O and CH
                                        <E T="52">4</E>
                                         for a vehicle, provided it is not subject to an N
                                        <E T="52">2</E>
                                        O or CH
                                        <E T="52">4</E>
                                         emission standard and we determine that other information is available to give us a reasonable basis for estimating or approximating the vehicle's emission rates.
                                    </P>
                                    <P>(4) Do any unique specifications apply for test fuels?</P>
                                    <P>(5) What maintenance steps may I take before or between tests on an emission-data vehicle?</P>
                                    <P>(6) Do any unique requirements apply to stabilizing emission levels on a new vehicle?</P>
                                    <P>(7) Do any unique requirements apply to test limits, such as ambient temperatures or pressures?</P>
                                    <P>(8) Is field testing required or allowed, and are there different emission standards or procedures that apply to field testing?</P>
                                    <P>(9) Are there any emission standards specified at particular operating conditions or ambient conditions?</P>
                                    <P>(10) Do any unique requirements apply for durability testing?</P>
                                    <P>(b) The testing specifications in the standard-setting part may differ from the specifications in this part. In cases where it is not possible to comply with both the standard-setting part and this part, you must comply with the specifications in the standard-setting part. The standard-setting part may also allow you to deviate from the procedures of this part for other reasons.</P>
                                    <P>(c) The following table shows how this part divides testing specifications into subparts:</P>
                                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,xs200">
                                        <TTITLE>Table 1 of § 1066.5—Description of Part 1066 Subparts</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">This subpart</CHED>
                                            <CHED H="1">Describes these specifications or procedures</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">Subpart A</ENT>
                                            <ENT>Applicability and general provisions.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Subpart B</ENT>
                                            <ENT>Equipment for testing.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Subpart C</ENT>
                                            <ENT>Dynamometer specifications.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Subpart D</ENT>
                                            <ENT>Coastdowns for testing.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Subpart E</ENT>
                                            <ENT>How to prepare your vehicle and run an emission test.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Subpart F</ENT>
                                            <ENT>How to test hybrid vehicles.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Subpart G</ENT>
                                            <ENT>Test procedure calculations.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Subpart H</ENT>
                                            <ENT>Definitions and reference material.</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.10 </SECTNO>
                                    <SUBJECT>Other procedures.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Your testing.</E>
                                         The procedures in this part apply for all testing you do to show compliance with emission standards, with certain exceptions listed in this section. In some other sections in this part, we allow you to use other procedures (such as less precise or less accurate procedures) if they do not affect your ability to show that your vehicles comply with the applicable emission standards. This generally requires emission levels to be far enough below the applicable emission standards so that any errors caused by 
                                        <PRTPAGE P="57472"/>
                                        greater imprecision or inaccuracy do not affect your ability to state unconditionally that the engines meet all applicable emission standards.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Our testing.</E>
                                         These procedures generally apply for testing that we do to determine if your vehicles comply with applicable emission standards. We may perform other testing as allowed by the Act.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Exceptions.</E>
                                         We may allow or require you to use procedures other than those specified in this part for laboratory testing, field testing, or both, as described in 40 CFR 1065.10(c). All the test procedures noted as exceptions to the specified procedures are considered generically as “other procedures.” Note that the terms “special procedures” and “alternate procedures” have specific meanings; “special procedures” are those allowed by 40 CFR 1065.10(c)(2) and “alternate procedures” are those allowed by 40 CFR 1065.10(c)(7). If we require you to request approval to use other procedures under this paragraph (c), you may not use them until we approve your request.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.15 </SECTNO>
                                    <SUBJECT>Overview of test procedures.</SUBJECT>
                                    <P>This section outlines the procedures to test vehicles that are subject to emission standards.</P>
                                    <P>(a) In the standard-setting part, we set emission standards in g/mile (or g/km), for the following constituents:</P>
                                    <P>
                                        (1) Total oxides of nitrogen, NO
                                        <E T="52">X</E>
                                        .
                                    </P>
                                    <P>(2) Hydrocarbons (HC), which may be expressed in the following ways:</P>
                                    <P>(i) Total hydrocarbons, THC.</P>
                                    <P>
                                        (ii) Nonmethane hydrocarbons, NMHC, which results from subtracting methane (CH
                                        <E T="52">4</E>
                                        ) from THC.
                                    </P>
                                    <P>(iii) Total hydrocarbon-equivalent, THCE, which results from adjusting THC mathematically to be equivalent on a carbon-mass basis.</P>
                                    <P>(iv) Nonmethane hydrocarbon-equivalent, NMHCE, which results from adjusting NMHC mathematically to be equivalent on a carbon-mass basis.</P>
                                    <P>(3) Particulate mass, PM.</P>
                                    <P>(4) Carbon monoxide, CO.</P>
                                    <P>(b) Note that some vehicles may not be subject to standards for all the emission constituents identified in paragraph (a) of this section.</P>
                                    <P>(c) We generally set emission standards over test intervals and/or drive schedules, as follows:</P>
                                    <P>
                                        (1) 
                                        <E T="03">Vehicle operation.</E>
                                         Testing may involve measuring emissions and miles travelled in a laboratory-type environment or in the field. The standard-setting part specifies how test intervals are defined for field testing. Refer to the definitions of “duty cycle” and “test interval” in § 1066.701. Note that a single drive schedule may have multiple test intervals and require weighting of results from multiple test phases to calculate a composite distance-based emission value to compare to the standard.
                                    </P>
                                    <P>
                                        (2) 
                                        <E T="03">Constituent determination.</E>
                                         Determine the total mass of each constituent over a test interval by selecting from the following methods:
                                    </P>
                                    <P>
                                        (i) 
                                        <E T="03">Continuous sampling.</E>
                                         In continuous sampling, measure the constituent's concentration continuously from raw or dilute exhaust. Multiply this concentration by the continuous (raw or dilute) flow rate at the emission sampling location to determine the constituent's flow rate. Sum the constituent's flow rate continuously over the test interval. This sum is the total mass of the emitted constituent.
                                    </P>
                                    <P>
                                        (ii) 
                                        <E T="03">Batch sampling.</E>
                                         In batch sampling, continuously extract and store a sample of raw or dilute exhaust for later measurement. Extract a sample proportional to the raw or dilute exhaust flow rate, as applicable. You may extract and store a proportional sample of exhaust in an appropriate container, such as a bag, and then measure HC, CO, and NO
                                        <E T="52">X</E>
                                         concentrations in the container after the test phase. You may deposit PM from proportionally extracted exhaust onto an appropriate substrate, such as a filter. In this case, divide the PM by the amount of filtered exhaust to calculate the PM concentration. Multiply batch sampled concentrations by the total (raw or dilute) flow from which it was extracted during the test interval. This product is the total mass of the emitted constituent.
                                    </P>
                                    <P>
                                        (iii) 
                                        <E T="03">Combined sampling.</E>
                                         You may use continuous and batch sampling simultaneously during a test interval, as follows:
                                    </P>
                                    <P>(A) You may use continuous sampling for some constituents and batch sampling for others.</P>
                                    <P>(B) You may use continuous and batch sampling for a single constituent, with one being a redundant measurement, subject to the provisions of 40 CFR 1065.201.</P>
                                    <P>(d) Refer to the standard-setting part for calculations to determine g/mile emission rates.</P>
                                    <P>(e) The regulation highlights several specific cases where good engineering judgment is especially relevant. You must use good engineering judgment for all aspects of testing under this part, not only for those provisions where we specifically re-state this requirement.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.20 </SECTNO>
                                    <SUBJECT>Units of measure and overview of calculations.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">System of units.</E>
                                         The procedures in this part follows both conventional English Units and the International System of Units (SI), as detailed in NIST Special Publication 811, which we incorporate by reference in § 1066.710.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Units conversion.</E>
                                         Use good engineering judgment to convert units between measurement systems as needed. The following conventions are used throughout this document and should be used to convert units as applicable:
                                    </P>
                                    <P>(1) 1 hp = 33,000 ft·lbf/min = 550 ft·lbf/s = 0.7457 kW.</P>
                                    <P>
                                        (2) 1 lbf = 32.174 ft·lbm/s
                                        <SU>2</SU>
                                         = 4.4482 N.
                                    </P>
                                    <P>(3) 1 inch = 25.4 mm.</P>
                                    <P>
                                        (c) 
                                        <E T="03">Rounding.</E>
                                         The rounding provisions of 40 CFR 1065.20 apply for calculations in this part. This generally specifies that you round final values but not intermediate values. Use good engineering judgment to record the appropriate number of significant digits for all measurements.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Interpretation of ranges.</E>
                                         Interpret a range as a tolerance unless we explicitly identify it as an accuracy, repeatability, linearity, or noise specification. See 40 CFR 1065.1001 for the definition of tolerance. In this part, we specify two types of ranges:
                                    </P>
                                    <P>(1) Whenever we specify a range by a single value and corresponding limit values above and below that value, target any associated control point to that single value. Examples of this type of range include “±10% of maximum pressure”, or “(30 ±10) kPa”.</P>
                                    <P>(2) Whenever we specify a range by the interval between two values, you may target any associated control point to any value within that range. An example of this type of range is “(40 to 50) kPa”.</P>
                                    <P>
                                        (e) 
                                        <E T="03">Scaling of specifications with respect to an applicable standard.</E>
                                         Because this part 1066 applies to a wide range of vehicles and emission standards, some of the specifications in this part are scaled with respect to a vehicle's applicable standard or weight. This ensures that the specification will be adequate to determine compliance, but not overly burdensome by requiring unnecessarily high-precision equipment. Many of these specifications are given with respect to a “flow-weighted mean” that is expected at the standard or during testing. Flow-weighted mean is the mean of a quantity after it is weighted proportional to a corresponding flow rate. For example, if a gas concentration is measured continuously from the raw exhaust of an engine, its flow-weighted mean 
                                        <PRTPAGE P="57473"/>
                                        concentration is the sum of the products of each recorded concentration times its respective exhaust flow rate, divided by the sum of the recorded flow rates. As another example, the bag concentration from a CVS system is the same as the flow-weighted mean concentration, because the CVS system itself flow-weights the bag concentration. Refer to 40 CFR 1065.602 for information needed to estimate and calculate flow-weighted means.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.25 </SECTNO>
                                    <SUBJECT>Recordkeeping.</SUBJECT>
                                    <P>The procedures in this part include various requirements to record data or other information. Refer to the standard-setting part regarding recordkeeping requirements. If the standard-setting part does not specify recordkeeping requirements, store these records in any format and on any media and keep them readily available for one year after you send an associated application for certification, or one year after you generate the data if they do not support an application for certification. You must promptly send us organized, written records in English if we ask for them. We may review them at any time.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart B—Equipment, Fuel, and Gas Specifications</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.101 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                    <P>(a) This subpart addresses equipment related to emission testing, as well as test fuels and analytical gases. This section addresses emission sampling and analytical equipment, test fuels, and analytical gases.</P>
                                    <P>(b) The provisions of 40 CFR part 1065 specify engine-based procedures for measuring emissions. Except as specified otherwise in this part, the provisions of 40 CFR part 1065 apply for testing required by this part as follows:</P>
                                    <P>(1) The provisions of 40 CFR 1065.140 through 1065.195 specify equipment for exhaust dilution and sampling systems.</P>
                                    <P>(2) The provisions of 40 CFR part 1065, subparts C and D, specify measurement instruments and their calibrations.</P>
                                    <P>(3) The provisions of 40 CFR part 1065, subpart H, specify fuels, engine fluids, and analytical gases.</P>
                                    <P>(4) The provisions of 40 CFR part 1065, subpart J, describe how to measure emissions from vehicles operating outside of a laboratory, except that provisions related to measuring engine work do not apply.</P>
                                    <P>(c) The provisions of this subpart are intended to specify systems that can very accurately and precisely measure emissions from motor vehicles. We may waive or modify the specifications and requirements of this part for testing highway motorcycles or nonroad vehicles, consistent with good engineering judgment. For example, it may be appropriate to allow the use of a hydrokinetic dynamometer that is not able to meet all the performance specifications described in this subpart.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart C—Dynamometer Specifications</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.201 </SECTNO>
                                    <SUBJECT>Dynamometer overview.</SUBJECT>
                                    <P>This subpart addresses chassis dynamometers and related equipment.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.210 </SECTNO>
                                    <SUBJECT>Dynamometers.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">General requirements.</E>
                                         A chassis dynamometer typically uses electrically generated load forces combined with its rotational inertia to recreate the mechanical inertia and frictional forces that a vehicle exerts on road surfaces (known as “road load”). Load forces are calculated using vehicle-specific coefficients and response characteristics. The load forces are applied to the vehicle tires by rolls connected to intermediate motor/absorbers. The dynamometer uses a load cell to measure the forces the dynamometer rolls apply to the vehicle's tires.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Accuracy and precision.</E>
                                         The dynamometer's output values for road load must be NIST-traceable. We may determine traceability to a specific international standards organization to be sufficient to demonstrate NIST-traceability. The force-measurement system must be capable of indicating force readings to a resolution of ±0.05% of the maximum forces simulated by the dynamometer or ±0.9 N (±0.2 lbf), whichever is greater, during a test.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Test cycles.</E>
                                         The dynamometer must be capable of fully simulating applicable test cycles for the vehicles being tested as referenced in the corresponding standard-setting part.
                                    </P>
                                    <P>
                                        (1) For vehicles with a gross vehicle weight rating (GVWR) at or below 14,000 lbs, the dynamometer must be able to fully simulate a driving schedule with a maximum speed of 36 m/s (80 mph) and a maximum acceleration rate of 3.6 m/s
                                        <SU>2</SU>
                                         (8 mph/s) in two-wheel drive and four-wheel drive configurations.
                                    </P>
                                    <P>
                                        (2) For vehicles with GVWR above 14,000 lbs, the dynamometer must be able to fully simulate a driving schedule with a maximum speed of 29 m/s (65 mph) and a maximum acceleration rate of 1.3 m/s
                                        <SU>2</SU>
                                         (3 mph/s) in either two-wheel drive or four-wheel drive configurations.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Component requirements.</E>
                                         The dynamometer must meet the following specifications:
                                    </P>
                                    <P>(1) For vehicles with GVWR at or below 14,000 lbs, the nominal roll diameter must be 1.20 to 1.25 meters. The dynamometer must have an independent drive roll for each axle being driven by the vehicle during an emission test.</P>
                                    <P>(2) For vehicles with GVWR above 14,000 lbs, the nominal roll diameter must be at least 1.20 meters and no greater than 3.10 meters. The dynamometer must have an independent drive roll for each axle, except that two drive axles may share a single drive roll. Use good engineering judgment to ensure that the dynamometer roll diameter is large enough to provide sufficient tire-roll contact area to avoid tire overheating and power losses from tire-roll slippage.</P>
                                    <P>(3) If you measure force and speed at 10 Hz or faster, you may use good engineering judgment to convert those measurements to 1-Hz, 2-Hz, or 5-Hz values.</P>
                                    <P>(4) The load applied by the dynamometer simulates forces acting on the vehicle during normal driving according to the following equation:</P>
                                    <GPH SPAN="3" DEEP="58">
                                        <GID>ER15SE11.080</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">FR</E>
                                             = total road-load force to be applied at the surface of the roll. The total force is the sum of the individual tractive forces applied at each roll surface.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">i</E>
                                             = a counter to indicate a point in time over the driving schedule. For a dynamometer operating at 10-Hz intervals over a 600-
                                            <PRTPAGE P="57474"/>
                                            second driving schedule, the maximum value of 
                                            <E T="03">i</E>
                                             is 6,000.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">A</E>
                                             = constant value representing the vehicle's frictional load in lbf or newtons. See subpart C of this part.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">B</E>
                                             = coefficient representing load from drag and rolling resistance, which are a function of vehicle speed, in lbf/mph or N·s/m. See subpart C of this part.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                             = linear speed at the roll surfaces as measured by the dynamometer, in mph or m/s. Let 
                                            <E T="03">S</E>
                                            <E T="52">i-1</E>
                                             = 0.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">C</E>
                                             = coefficient representing aerodynamic effects, which are a function of vehicle speed squared, in lbf/mph
                                            <SU>2</SU>
                                             or N·s
                                            <SU>2</SU>
                                            /m
                                            <SU>2</SU>
                                            . See subpart C of this part.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">M</E>
                                             = mass of vehicle in lbm or kg. Determine the vehicle's mass based on the test weight, taking into account the effect of rotating axles, as specified in § 1066.310(b)(7) and dividing the weight by the acceleration due to gravity as specified in 40 CFR 1065.630, consistent with good engineering judgment.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                             = elapsed time in the driving schedule as measured by the dynamometer, in seconds. Let 
                                            <E T="03">t</E>
                                            <E T="52">i-1</E>
                                             = 0.
                                        </FP>
                                    </EXTRACT>
                                    <P>(5) The dynamometer must be designed to generally apply an actual road-load force within ±1% or ±9.8 N (±2.2 lbf) of the reference value, whichever is greater. Dynamometers that do not fully meet this specification may be used consistent with good engineering judgment. For example, slightly higher errors may be permissible during highly transient operation.</P>
                                    <P>
                                        (e) 
                                        <E T="03">Dynamometer manufacturer instructions.</E>
                                         This part specifies that you follow the dynamometer manufacturer's recommended procedures for things such as calibrations and general operation. If you perform testing with a dynamometer that you manufactured or if you otherwise do not have these recommended procedures, use good engineering judgment to establish the additional procedures and specifications we specify in this part, unless we specify otherwise. Keep records to describe these recommended procedures and how they are consistent with good engineering judgment.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.215 </SECTNO>
                                    <SUBJECT>Summary of verification and calibration procedures for chassis dynamometers.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes the overall process for verifying and calibrating the performance of chassis dynamometers.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         The following table summarizes the required and recommended calibrations and verifications described in this subpart and indicates when they must occur:
                                    </P>
                                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s100,r200">
                                        <TTITLE>Table 1 of § 1066.215—Summary of Required Dynamometer Calibrations and Verifications</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Type of calibration or verification</CHED>
                                            <CHED H="1">
                                                Minimum frequency 
                                                <SU>a</SU>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">§ 1066.220: Linearity verification</ENT>
                                            <ENT>Speed: Upon initial installation, within 370 days before testing, and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="22"> </ENT>
                                            <ENT>Torque (load): Upon initial installation, within 370 days before testing, and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.225: Roll runout and diameter</ENT>
                                            <ENT>Upon initial installation and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.230: Time</ENT>
                                            <ENT>Upon initial installation and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.235: Speed measurement</ENT>
                                            <ENT>Upon initial installation, within 370 days before testing, and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.240: Torque (load) transducer</ENT>
                                            <ENT>Upon initial installation and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.245: Response time</ENT>
                                            <ENT>Upon initial installation and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.250: Base inertia</ENT>
                                            <ENT>Upon initial installation and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.255: Parasitic loss</ENT>
                                            <ENT>Upon initial installation, within 7 days before testing, and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.260: Parasitic friction compensation evaluation</ENT>
                                            <ENT>Upon initial installation, within 7 days before testing, and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.265: Acceleration and deceleration</ENT>
                                            <ENT>Upon initial installation and after major maintenance.</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">§ 1066.270: Unloaded coastdown</ENT>
                                            <ENT>Upon initial installation, within 7 days before testing, and after major maintenance.</ENT>
                                        </ROW>
                                        <TNOTE>
                                            <SU>a</SU>
                                             Perform calibrations and verifications more frequently, according to measurement system manufacturer instructions and good engineering judgment.
                                        </TNOTE>
                                    </GPOTABLE>
                                    <P>
                                        (c) 
                                        <E T="03">Automated dynamometer verifications and calibrations.</E>
                                         In some cases, dynamometers are designed with internal diagnostic and control features to accomplish the verifications and calibrations specified in this subpart. You may use these automated functions instead of following the procedures we specify in this subpart to demonstrate compliance with applicable requirements, consistent with good engineering judgment.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Sequence of verifications and calibrations.</E>
                                         Upon initial installation and after major maintenance, perform the verifications and calibrations in the same sequence as noted in Table 1 of this section. At other times, you may need to perform specific verifications or calibration in a certain sequence, as noted in this subpart.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Corrections.</E>
                                         Unless the regulation directs otherwise, if the dynamometer fails to meet any specified calibration or verification, make any necessary adjustments or repairs such that the dynamometer meets the specification before running a test. Repairs required to meet specifications are generally considered major maintenance under this part.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.220 </SECTNO>
                                    <SUBJECT>Linearity verification.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform linearity verifications upon initial installation, within 370 days before testing, and after major maintenance. Note that these linearity verifications may replace requirements previously referred to as calibrations. The intent of linearity verification is to determine that a measurement system responds accurately and proportionally over the measurement range of interest. Linearity verification generally consists of introducing a series of at least 10 reference values (or the manufacturer's recommend number of reference values) to a measurement system. The measurement system quantifies each reference value. The measured values are then collectively compared to the reference values by using a least-squares linear regression and the linearity criteria specified in Table 1 of this section.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Performance requirements.</E>
                                         If a measurement system does not meet the applicable linearity criteria in Table 1 of this section, correct the deficiency by re-calibrating, servicing, or replacing components as needed. Repeat the linearity verification after correcting the deficiency to ensure that the measurement system meets the linearity criteria. Before you may use a measurement system that does not meet linearity criteria, you must demonstrate to us that the deficiency does not adversely affect your ability to demonstrate compliance with the applicable standards.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         Use the following linearity verification protocol, or use good engineering judgment to develop a 
                                        <PRTPAGE P="57475"/>
                                        different protocol that satisfies the intent of this section, as described in paragraph (a) of this section:
                                    </P>
                                    <P>
                                        (1) In this paragraph (c), the letter “y” denotes a generic measured quantity, the superscript over-bar denotes an arithmetic mean (such as y
                                        <AC T="8"/>
                                        ), and the subscript “
                                        <E T="52">ref</E>
                                        ” denotes the known or reference quantity being measured.
                                    </P>
                                    <P>(2) Operate a dynamometer system at the specified temperatures and pressures. This may include any specified adjustment or periodic calibration of the dynamometer system.</P>
                                    <P>(3) Set dynamometer speed and torque to zero and apply the dynamometer brake to ensure a zero-speed condition.</P>
                                    <P>(4) Span the dynamometer speed or torque signal.</P>
                                    <P>(5) After spanning, check for zero speed and torque. Use good engineering judgment to determine whether or not to rezero or re-span before continuing.</P>
                                    <P>
                                        (6) For both speed and torque, use the dynamometer manufacturer's recommendations and good engineering judgment to select reference values, 
                                        <E T="03">y</E>
                                        <E T="52">refi,</E>
                                         that cover a range of values that you expect would prevent extrapolation beyond these values during emission testing. We recommend selecting zero speed and zero torque as reference values for the linearity verification.
                                    </P>
                                    <P>(7) Use the dynamometer manufacturer's recommendations and good engineering judgment to select the order in which you will introduce the series of reference values. For example, you may select the reference values randomly to avoid correlation with previous measurements or the influence of hysteresis; you may select reference values in ascending or descending order to avoid long settling times of reference signals; or you may select values to ascend and then descend to incorporate the effects of any instrument hysteresis into the linearity verification.</P>
                                    <P>(8) Set the dynamometer to operate at a reference condition.</P>
                                    <P>(9) Allow time for the dynamometer to stabilize while it measures the reference values.</P>
                                    <P>
                                        (10) At a recording frequency of at least 1 Hz, measure speed and torque values for 30 seconds and record the arithmetic mean of the recorded values, 
                                        <E T="03">
                                            y
                                            <AC T="8"/>
                                        </E>
                                        <E T="52">i</E>
                                        . Refer to 40 CFR 1065.602 for an example of calculating an arithmetic mean.
                                    </P>
                                    <P>(11) Repeat the steps in paragraphs (c)(8) though (10) of this section until you measure speeds and torques at each of the reference conditions.</P>
                                    <P>
                                        (12) Use the arithmetic means, 
                                        <E T="03">
                                            y
                                            <AC T="8"/>
                                        </E>
                                        <E T="52">i</E>
                                        ,  and reference values, 
                                        <E T="03">y</E>
                                        <E T="52">refi,</E>
                                         to calculate least-squares linear regression parameters and statistical values to compare to the minimum performance criteria specified in Table 1 of this section. Use the calculations described in 40 CFR 1065.602. Using good engineering judgment, you may weight the results of individual data pairs (
                                        <E T="03">i.e.,</E>
                                         (
                                        <E T="03">y</E>
                                        <E T="52">refi,</E>
                                        , 
                                        <E T="03">
                                            y
                                            <AC T="8"/>
                                        </E>
                                        <E T="52">i</E>
                                        )), in the linear regression calculations.
                                    </P>
                                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,10,r70,10,r70,10">
                                        <TTITLE>Table 1 of § 1066.220—Dynamometer Measurement Systems That Require Linearity Verifications</TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Measurement system</CHED>
                                            <CHED H="1">Quantity</CHED>
                                            <CHED H="1">Linearity criteria</CHED>
                                            <CHED H="2">
                                                |
                                                <E T="03"> x</E>
                                                <E T="52">min</E>
                                                (
                                                <E T="03">a</E>
                                                <E T="52">1</E>
                                                -1)+
                                                <E T="03">a</E>
                                                <E T="52">0</E>
                                                 |
                                            </CHED>
                                            <CHED H="1">
                                                <E T="03">a</E>
                                                <E T="52">1</E>
                                            </CHED>
                                            <CHED H="1">
                                                <E T="03">SEE</E>
                                            </CHED>
                                            <CHED H="1">
                                                <E T="03">r</E>
                                                <E T="51">2</E>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">Speed</ENT>
                                            <ENT>
                                                <E T="03">S</E>
                                            </ENT>
                                            <ENT>
                                                ≤0.05% · 
                                                <E T="03">S</E>
                                                <E T="52">max</E>
                                            </ENT>
                                            <ENT>0.98-1.02</ENT>
                                            <ENT>
                                                ≤2% · 
                                                <E T="03">S</E>
                                                <E T="52">max</E>
                                            </ENT>
                                            <ENT>≥0.990</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Torque (load)</ENT>
                                            <ENT>
                                                <E T="03">T</E>
                                            </ENT>
                                            <ENT>
                                                ≤1% · 
                                                <E T="03">T</E>
                                                <E T="52">max</E>
                                            </ENT>
                                            <ENT>0.98-1.02</ENT>
                                            <ENT>
                                                ≤2% · 
                                                <E T="03">T</E>
                                                <E T="52">max</E>
                                            </ENT>
                                            <ENT>≥0.990</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.225 </SECTNO>
                                    <SUBJECT>Roll runout and diameter verification procedure.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes the verification procedure for roll runout and roll diameter. Roll runout is a measure of the variation in roll radius around the circumference of the roll.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform these verifications upon initial installation and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Roll runout procedure.</E>
                                         Verify roll runout as follows:
                                    </P>
                                    <P>(1) Perform this verification with laboratory and dynamometer temperatures stable and at equilibrium. Release the roll brake and shut off power to the dynamometer. Remove any dirt, rubber, rust, and debris from the roll surface. Mark measurement locations on the roll surface using a permanent marker. Mark the roll at a minimum of four equally spaced locations across the roll width; we recommend taking measurements every 150 mm across the roll. Secure the marker to the deck plate adjacent to the roll surface and slowly rotate the roll to mark a clear line around the roll circumference. Repeat this process for all measurement locations.</P>
                                    <P>(2) Measure roll runout using a dial indicator with a probe that allows for measuring the position of the roll surface relative to the roll centerline as it turns through a complete revolution. The dial indicator must have a magnetic base assembly or other means of being securely mounted adjacent to the roll. The dial indicator must have sufficient range to measure roll runout at all points, with a minimum accuracy and precision of ±0.025 mm. Calibrate the dial indicator according to the instrument manufacturer's instructions.</P>
                                    <P>(3) Position the dial indicator adjacent to the roll surface at the desired measurement location. Position the shaft of the dial indicator perpendicular to the roll such that the point of the dial indicator is slightly touching the surface of the roll and can move freely through a full rotation of the roll. Zero the dial indicator according to the instrument manufacturer's instructions. Avoid distortion of the runout measurement from the weight of a person standing on or near the mounted dial indicator.</P>
                                    <P>(4) Slowly turn the roll through a complete rotation and record the maximum and minimum values from the dial indicator. Calculate runout as the difference between these maximum and minimum values.</P>
                                    <P>(5) Repeat the steps in paragraphs (c)(3) and (4) of this section for all measurement locations.</P>
                                    <P>(6) The roll runout must be less than 0.25 mm at all measurement locations.</P>
                                    <P>
                                        (d) 
                                        <E T="03">Diameter procedure.</E>
                                         Verify roll diameter based on the following procedure, or an equivalent procedure based on good engineering judgment:
                                    </P>
                                    <P>(1) Prepare the laboratory and the dynamometer as specified in paragraph (c)(1) of this section.</P>
                                    <P>(2) Measure roll diameter using a Pi Tape®. Orient the Pi Tape® to the marker line at the desired measurement location with the Pi Tape® hook pointed outward. Temporarily secure the Pi Tape® to the roll near the hook end with adhesive tape. Slowly turn the roll, wrapping the Pi Tape® around the roll surface. Ensure that the Pi Tape® is flat and adjacent to the marker line around the full circumference of the roll. Attach a 2.26-kg weight to the hook of the Pi Tape® and position the roll so that the weight dangles freely. Remove the adhesive tape without disturbing the orientation or alignment of the Pi Tape®.</P>
                                    <P>
                                        (3) Overlap the gage member and the vernier scale ends of the Pi Tape® to read the diameter measurement to the nearest 0.01 mm. Follow the 
                                        <PRTPAGE P="57476"/>
                                        manufacturer's recommendation to correct the measurement to 20 °C, if applicable.
                                    </P>
                                    <P>(4) Repeat the steps in paragraphs (d)(2) and (3) of this section for all measurement locations.</P>
                                    <P>(5) The measured roll diameter must be within ±0.25 mm of the specified nominal value at all measurement locations. You may revise the nominal value to meet this specification, as long as you use the corrected nominal value for all calculations in this subpart.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.230 </SECTNO>
                                    <SUBJECT>Time verification procedure.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes how to verify the accuracy of the dynamometer's timing device.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         Perform this verification using one of the following procedures:
                                    </P>
                                    <P>
                                        (1) 
                                        <E T="03">WWV method.</E>
                                         You may use the time and frequency signal broadcast by NIST from radio station WWV as the time standard if the trigger for the dynamometer timing circuit has a frequency decoder circuit, as follows:
                                    </P>
                                    <P>(i) Dial station WWV at (303) 499-7111 and listen for the time announcement. Verify that the trigger started the dynamometer timer. Use good engineering judgment to minimize error in receiving the time and frequency signal.</P>
                                    <P>(ii) After at least 1000 seconds, re-dial station WWV and listen for the time announcement. Verify that the trigger stopped the dynamometer timer.</P>
                                    <P>
                                        (iii) Compare the measured elapsed time, 
                                        <E T="03">y</E>
                                        <E T="52">act,</E>
                                         to the corresponding time standard, 
                                        <E T="03">y</E>
                                        <E T="52">ref,</E>
                                         to determine the time error, 
                                        <E T="03">y</E>
                                        <E T="52">error,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="55">
                                        <GID>ER15SE11.081</GID>
                                    </GPH>
                                    <P>
                                        (2) 
                                        <E T="03">Ramping method.</E>
                                         You may set up an operator-defined ramp function in the signal generator to serve as the time standard as follows:
                                    </P>
                                    <P>(i) Set up the signal generator to output a marker voltage at the peak of each ramp to trigger the dynamometer timing circuit. Output the designated marker voltage to start the verification period.</P>
                                    <P>(ii) After at least 1000 seconds, output the designated marker voltage to end the verification period.</P>
                                    <P>
                                        (iii) Compare the measured elapsed time between marker signals, 
                                        <E T="03">y</E>
                                        <E T="52">act</E>
                                        , to the corresponding time standard, 
                                        <E T="03">y</E>
                                        <E T="52">ref</E>
                                        , to determine the time error, 
                                        <E T="03">y</E>
                                        <E T="52">error</E>
                                        , using Equation 1066.230-1.
                                    </P>
                                    <P>
                                        (3) 
                                        <E T="03">Dynamometer coastdown method.</E>
                                         You may use a signal generator to output a known speed ramp signal to the dynamometer controller to serve as the time standard as follows:
                                    </P>
                                    <P>(i) Generate upper and lower speed values to trigger the start and stop functions of the coastdown timer circuit. Use the signal generator to start the verification period.</P>
                                    <P>(ii) After at least 1000 seconds, use the signal generator to end the verification period.</P>
                                    <P>
                                        (iii) Compare the measured elapsed time between trigger signals, 
                                        <E T="03">y</E>
                                        <E T="52">act</E>
                                        , to the corresponding time standard, 
                                        <E T="03">y</E>
                                        <E T="52">ref</E>
                                        , to determine the time error, 
                                        <E T="03">y</E>
                                        <E T="52">error</E>
                                        , using Equation 1066.230-1.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Performance evaluation.</E>
                                         The time error determined in paragraph (c) of this section may not exceed ±0.001%.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.235 </SECTNO>
                                    <SUBJECT>Speed verification procedure.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes how to verify the accuracy and resolution of the dynamometer speed determination.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation, within 370 days before testing, and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         Use one of the following procedures to verify the accuracy and resolution of the dynamometer speed simulation:
                                    </P>
                                    <P>
                                        (1) 
                                        <E T="03">Pulse method.</E>
                                         Connect a universal frequency counter to the output of the dynamometer's speed-sensing device in parallel with the signal to the dynamometer controller. The universal frequency counter must be calibrated according to the instrument manufacturer's instructions and be capable of measuring with enough accuracy to perform the procedure as specified in this paragraph (c)(1). Make sure the instrumentation does not affect the signal to the dynamometer control circuits. Determine the speed error as follows:
                                    </P>
                                    <P>
                                        (i) Set the dynamometer to speed-control mode. Set the dynamometer speed to a value between 4.2 m/s and the maximum speed expected during testing; record the output of the frequency counter after 10 seconds. Determine the roll speed, 
                                        <E T="03">S</E>
                                        <E T="52">act</E>
                                        , using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="55">
                                        <GID>ER15SE11.082</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <P>
                                            <E T="03">f</E>
                                             = frequency of the dynamometer speed sensing device, in s
                                            <E T="51">−</E>
                                            <SU>1</SU>
                                            , accurate to at least four significant figures.
                                        </P>
                                        <FP SOURCE="FP-2">
                                            <E T="03">d</E>
                                            <E T="52">roll</E>
                                             = nominal roll diameter, in m, accurate to the nearest 0.01 mm, consistent with § 1066.225(d).
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">n</E>
                                             = the number of pulses per revolution from the dynamometer roll speed sensor.
                                        </FP>
                                        <P>
                                            <E T="03">Example:</E>
                                        </P>
                                        <FP SOURCE="FP-2">
                                            ƒ_ = 2.9231 Hz = 2.9231 s
                                            <E T="51">−1</E>
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">d</E>
                                            <E T="52">roll</E>
                                             = 904.40 mm = 0.90440 m
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">n</E>
                                             = 1 pulse/rev
                                        </FP>
                                        <GPH SPAN="1" DEEP="25">
                                            <GID>ER15SE11.083</GID>
                                        </GPH>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">act</E>
                                             = 8.3053 m/s
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (ii) Compare the calculated roll speed, 
                                        <E T="03">S</E>
                                        <E T="52">act,</E>
                                         to the corresponding speed set point, 
                                        <E T="03">S</E>
                                        <E T="52">ref,</E>
                                         to determine a value for speed error, 
                                        <E T="03">S</E>
                                        <E T="52">error,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="39">
                                        <GID>ER15SE11.084</GID>
                                    </GPH>
                                    <P>
                                        <E T="03">Example:</E>
                                    </P>
                                    <FP SOURCE="FP-2">
                                        <E T="03">S</E>
                                        <E T="52">act</E>
                                         = 8.3053 m/s
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">S</E>
                                        <E T="52">ref</E>
                                         = 8.3000 m/s
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">S</E>
                                        <E T="52">error =</E>
                                         8.3053 − 8.3000 = 0.0053 m/s
                                    </FP>
                                    <P>
                                        (2) 
                                        <E T="03">Frequency method.</E>
                                         Use the method described in this paragraph (c)(2) only if the dynamometer does not have a readily available output signal for speed sensing. Install a single piece of tape in the shape of an arrowhead on the surface of the dynamometer roll near the outer edge. Put a reference mark on the deck plate in line with the arrow. Install a stroboscope or photo tachometer on the deck plate and direct the flash toward the tape on the roll. The stroboscope or photo tachometer must be calibrated according to the instrument manufacturer's instructions and be capable of measuring with enough accuracy to perform the procedure as specified in this paragraph (c)(2). Determine the speed error as follows:
                                    </P>
                                    <P>
                                        (i) Set the dynamometer to speed control mode. Set the dynamometer speed to a value between 15 kph and the maximum speed expected during testing. Tune the stroboscope or photo tachometer until the signal matches the dynamometer roll speed. Record the frequency. Determine the roll speed, 
                                        <E T="03">y</E>
                                        <E T="52">act,</E>
                                         using Equation 1066.235-1, using the stroboscope or photo tachometer's frequency for ƒ.
                                    </P>
                                    <P>
                                        (ii) Compare the calculated roll speed, 
                                        <E T="03">y</E>
                                        <E T="52">act,</E>
                                         to the corresponding speed set point, 
                                        <E T="03">y</E>
                                        <E T="52">ref,</E>
                                         to determine a value for speed error, 
                                        <E T="03">y</E>
                                        <E T="52">error,</E>
                                         using Equation 1066.235-2.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Performance evaluation.</E>
                                         The speed error determined in paragraph (c) 
                                        <PRTPAGE P="57477"/>
                                        of this section may not exceed ±0.02 m/s.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.240 </SECTNO>
                                    <SUBJECT>Torque transducer verification and calibration.</SUBJECT>
                                    <P>Calibrate torque-measurement systems as described in 40 CFR 1065.310.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.245 </SECTNO>
                                    <SUBJECT>Response time verification.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes how to verify the dynamometer's response time.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         Use the dynamometer's automated process to verify response time. Perform this test at two different inertia settings corresponding approximately to the minimum and maximum vehicle weights you expect to test. Use good engineering judgment to select road-load coefficients representing vehicles of the appropriate weight. Determine the dynamometer's settling response time, 
                                        <E T="03">t</E>
                                        <E T="52">s,</E>
                                         based on the point at which there are no measured results more than 10% above or below the final equilibrium value, as illustrated in Figure 1 of this section. The observed settling response time must be less than 100 milliseconds for each inertia setting.
                                    </P>
                                    <GPH SPAN="3" DEEP="334">
                                        <GID>ER15SE11.085</GID>
                                    </GPH>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.250 </SECTNO>
                                    <SUBJECT>Base inertia verification.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes how to verify the dynamometer's base inertia.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         Verify the base inertia using the following procedure:
                                    </P>
                                    <P>(1) Warm up the dynamometer according to the dynamometer manufacturer's instructions. Set the dynamometer's road-load inertia to zero and motor the rolls to 5 mph. Apply a constant force to accelerate the roll at a nominal rate of 1 mph/s. Measure the elapsed time to accelerate from 10 to 40 mph, noting the corresponding speed and time points to the nearest 0.01 mph and 0.01 s. Also determine average force over the measurement interval.</P>
                                    <P>(2) Starting from a steady roll speed of 45 mph, apply a constant force to the roll to decelerate the roll at a nominal rate of 1 mph/s. Measure the elapsed time to decelerate from 40 to 10 mph, noting the corresponding speed and time points to the nearest 0.01 mph and 0.01 s. Also determine average force over the measurement interval.</P>
                                    <P>(3) Repeat the steps in paragraphs (c)(1) and (2) of this section for a total of five sets of results at the nominal acceleration rate and the nominal deceleration rate.</P>
                                    <P>(4) Use good engineering judgment to select two additional acceleration and deceleration rates that cover the middle and upper rates expected during testing. Repeat the steps in paragraphs (c)(1) through (3) of this section at each of these additional acceleration and deceleration rates.</P>
                                    <P>
                                        (5) Determine the base inertia, 
                                        <E T="03">I</E>
                                        <E T="52">b,</E>
                                         for each measurement interval using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="75">
                                        <GID>ER15SE11.086</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <PRTPAGE P="57478"/>
                                        <FP SOURCE="FP-2">
                                            <E T="03">F</E>
                                             = average dynamometer force over the measurement interval as measured by the dynamometer, in ft·lbm/s
                                            <SU>2</SU>
                                            .
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">final</E>
                                             = roll surface speed at the end of the measurement interval to the nearest 0.01 mph.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">initial</E>
                                             = roll surface speed at the start of the measurement interval to the nearest 0.01 mph.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">Δt</E>
                                             = elapsed time during the measurement interval to the nearest 0.01 s.
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        <E T="03">Example:</E>
                                    </P>
                                    <FP SOURCE="FP-2">
                                        <E T="03">F</E>
                                         = 1.500 lbf = 48.26 ft·lbm/s
                                        <SU>2</SU>
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">S</E>
                                        <E T="52">final</E>
                                         = 40.00 mph = 58.67 ft/s
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">S</E>
                                        <E T="52">initial</E>
                                         = 10.00 mph = 14.67 ft/s
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">Δt</E>
                                         = 30.00 s
                                    </FP>
                                    <GPH SPAN="1" DEEP="45">
                                        <GID>ER15SE11.087</GID>
                                    </GPH>
                                    <FP SOURCE="FP-2">
                                        <E T="03">I</E>
                                        <E T="52">b</E>
                                         = 32.90 lbm
                                    </FP>
                                    <P>(6) Determine the arithmetic mean value of base inertia from the five measurements at each acceleration and deceleration rate. Calculate these six mean values as described in 40 CFR 1065.602(b).</P>
                                    <P>
                                        (7) Calculate the base inertia error, 
                                        <E T="03">I</E>
                                        <E T="52">berror,</E>
                                         for each measured base inertia, 
                                        <E T="03">I</E>
                                        <E T="52">b,</E>
                                         by comparing it to the manufacturer's stated base inertia, 
                                        <E T="03">I</E>
                                        <E T="52">bref,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="58">
                                        <GID>ER15SE11.088</GID>
                                    </GPH>
                                    <P>
                                        <E T="03">Example:</E>
                                    </P>
                                    <FP SOURCE="FP-2">
                                        <E T="03">I</E>
                                        <E T="52">bref</E>
                                         = 32.96 lbm
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">I</E>
                                        <AC T="8"/>
                                        <E T="52">bact</E>
                                         = 33.01 lbm
                                    </FP>
                                    <GPH SPAN="1" DEEP="25">
                                        <GID>ER15SE11.089</GID>
                                    </GPH>
                                    <FP SOURCE="FP-2">
                                        <E T="03">I</E>
                                        <E T="52">berror</E>
                                         = −0.15%
                                    </FP>
                                    <P>(8) Calculate the inertia error for each mean value of base inertia from paragraph (c)(6) of this section. Use Equation 1066.265-2, substituting the mean base inertias associated with each acceleration and deceleration rate for the individual base inertias.</P>
                                    <P>
                                        (d) 
                                        <E T="03">Performance evaluation.</E>
                                         The dynamometer must meet the following specifications to be used for testing under this part:
                                    </P>
                                    <P>(1) The base inertia error determined under paragraph (c)(7) of this section may not exceed ±0.50% relative to any individual value.</P>
                                    <P>(2) The base inertia error determined under paragraph (c)(8) of this section may not exceed ±0.20% relative to any mean value.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.255 </SECTNO>
                                    <SUBJECT>Parasitic loss verification.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         Verify and correct the dynamometer's parasitic loss. This procedure determines the dynamometer's internal losses that it must overcome to simulate road load. These losses are characterized in a parasitic loss curve that the dynamometer uses to apply compensating forces to maintain the desired road-load force at the roll surface.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation, within 7 days of testing, and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         Perform this verification by following the dynamometer manufacturer's specifications to establish a parasitic loss curve, taking data at fixed speed intervals to cover the range of vehicle speeds that will occur during testing. You may zero the load cell at the selected speed if that improves your ability to determine the parasitic loss. Parasitic loss forces may never be negative. Note that the torque transducers must be zeroed and spanned prior to performing this procedure.
                                    </P>
                                    <P>
                                        (d) 
                                        <E T="03">Performance evaluation.</E>
                                         In some cases, the dynamometer automatically updates the parasitic loss curve for further testing. If this is not the case, compare the new parasitic loss curve to the original parasitic loss curve from the dynamometer manufacturer or the most recent parasitic loss curve you programmed into the dynamometer. You may reprogram the dynamometer to accept the new curve in all cases, and you must reprogram the dynamometer if any point on the new curve departs from the earlier curve by more than ±4.5 N (±1.0 lbf).
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.260 </SECTNO>
                                    <SUBJECT>Parasitic friction compensation evaluation.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes how to verify the accuracy of the dynamometer's friction compensation.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation, within 7 days before testing, and after major maintenance. Note that this procedure relies on proper verification or calibration of speed and torque, as described in §§ 1066.235 and1066.240. You must also first verify the dynamometer's parasitic loss curve as specified in § 1066.255.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         Use the following procedure to verify the accuracy of the dynamometer's friction compensation:
                                    </P>
                                    <P>(1) Warm up the dynamometer as specified by the dynamometer manufacturer.</P>
                                    <P>(2) Perform a torque verification as specified by the dynamometer manufacturer. For torque verifications relying on shunt procedures, if the results do not conform to specifications, recalibrate the dynamometer using NIST-traceable standards as appropriate until the dynamometer passes the torque verification. Do not change the dynamometer's base inertia to pass the torque verification.</P>
                                    <P>(3) Set the dynamometer inertia to the base inertia with the road-load coefficients A, B, and C set to 0. Set the dynamometer to speed-control mode with a target speed of 10 mph or a higher speed recommended by the dynamometer manufacturer. Once the speed stabilizes at the target speed, switch the dynamometer from speed control to torque control and allow the roll to coast for 60 seconds. Record the initial and final speeds and the corresponding start and stop times. If friction compensation is executed perfectly, there will be no change in speed during the measurement interval.</P>
                                    <P>
                                        (4) Calculate the friction compensation error, 
                                        <E T="03">FC</E>
                                        <E T="52">error,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="55">
                                        <GID>ER15SE11.090</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">I</E>
                                             = dynamometer inertia setting, in lbf·s
                                            <SU>2</SU>
                                            /ft.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                             = duration of the measurement interval, accurate to at least 0.01 s.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">final</E>
                                             = the roll speed corresponding to the end of the measurement interval, accurate to at least 0.1 mph.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">init</E>
                                             = the roll speed corresponding to the start of the measurement interval, accurate to at least 0.1 mph.
                                        </FP>
                                        <P>
                                            <E T="03">Example:</E>
                                        </P>
                                        <FP SOURCE="FP-2">
                                            <E T="03">I</E>
                                             = 2000 lbm = 62.16 lbf· s
                                            <SU>2</SU>
                                            /ft
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                             = 60.0 s
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">final</E>
                                             = 9.2 mph = 13.5 ft/s
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">init</E>
                                             = 10.0 mph = 14.7 ft/s
                                        </FP>
                                    </EXTRACT>
                                    <GPH SPAN="1" DEEP="25">
                                        <GID>ER15SE11.091</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">
                                            <E T="03">FC</E>
                                            <E T="52">error</E>
                                             = −16.5 ft·lbf/s = −0.031 hp
                                        </FP>
                                    </EXTRACT>
                                    <P>(5) The friction compensation error may not exceed ±0.1 hp.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.265 </SECTNO>
                                    <SUBJECT>Acceleration and deceleration verification.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         This section describes how to verify the dynamometer's ability to achieve targeted acceleration and deceleration rates. Paragraph (c) of this section describes how this verification applies when the dynamometer is programmed directly for a specific acceleration or deceleration rate. Paragraph (d) of this section describes 
                                        <PRTPAGE P="57479"/>
                                        how this verification applies when the dynamometer is programmed with a calculated force to achieve a targeted acceleration or deceleration rate.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Verification of acceleration and deceleration rates.</E>
                                         Activate the dynamometer's function generator for measuring roll revolution frequency. If the dynamometer has no such function generator, set up a properly calibrated external function generator consistent with the verification described in this paragraph (c). Use the function generator to determine actual acceleration and deceleration rates as the dynamometer traverses speeds between 10 and 40 mph at various nominal acceleration and deceleration rates. Verify the dynamometer's acceleration and deceleration rates as follows:
                                    </P>
                                    <P>
                                        (1) Set up start and stop frequencies specific to your dynamometer by identifying the roll-revolution frequency, 
                                        <E T="03">f,</E>
                                         in revolutions per second (or Hz) corresponding to 10 mph and 40 mph vehicle speeds, accurate to at least four significant figures, using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="58">
                                        <GID>ER15SE11.092</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                             = the target roll speed, in inches per second (corresponding to drive speeds of 10 mph or 40 mph).
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">n</E>
                                             = the number of pulses from the dynamometer's roll-speed sensor per roll revolution.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">d</E>
                                            <E T="52">roll</E>
                                             = roll diameter, in inches.
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (2) Program the dynamometer to accelerate the roll at a nominal rate of 1 mph/s from 10 mph to 40 mph. Measure the elapsed time to reach the target speed, to the nearest 0.01 s. Repeat this measurement for a total of five runs. Determine the actual acceleration rate for each run, 
                                        <E T="03">a</E>
                                        <E T="52">act,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="55">
                                        <GID>ER15SE11.093</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">a</E>
                                            <E T="52">act</E>
                                             = acceleration rate (decelerations have negative values).
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">final</E>
                                             = the target value for the final roll speed.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">init</E>
                                             = the setpoint value for the initial roll speed.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                             = time to accelerate from 
                                            <E T="03">S</E>
                                            <E T="52">init</E>
                                             to 
                                            <E T="03">S</E>
                                            <E T="52">final.</E>
                                        </FP>
                                        <P>
                                            <E T="03">Example:</E>
                                        </P>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">inal</E>
                                             = 40 mph
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">init</E>
                                             = 10 mph
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                             = 30.003 s
                                        </FP>
                                    </EXTRACT>
                                    <GPH SPAN="1" DEEP="25">
                                        <GID>ER15SE11.094</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">
                                            <E T="03">a</E>
                                            <E T="52">act</E>
                                             = 0.999 mph/s
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (3) Program the dynamometer to decelerate the roll at a nominal rate of 1 mph/s from 40 mph to 10 mph. Measure the elapsed time to reach the target speed, to the nearest 0.01 s. Repeat this measurement for a total of five runs. Determine the actual acceleration rate, 
                                        <E T="03">a</E>
                                        <E T="52">act,</E>
                                         using Equation 1066.265-2.
                                    </P>
                                    <P>
                                        (4) Repeat the steps in paragraphs (c)(2) and (3) of this section for additional acceleration and deceleration rates in 1 mph/s increments up to and including one increment above the maximum acceleration rate expected during testing. Average the five repeat runs to calculate a mean acceleration rate, a
                                        <AC T="8"/>
                                        <E T="52">act</E>
                                        , at each setting.
                                    </P>
                                    <P>
                                        (5) Compare each mean acceleration rate, a
                                        <AC T="8"/>
                                        <E T="52">act</E>
                                        , to the corresponding nominal acceleration rate, 
                                        <E T="03">a</E>
                                        <E T="52">ref,</E>
                                         to determine values for acceleration error, 
                                        <E T="03">a</E>
                                        <E T="52">error,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="58">
                                        <GID>ER15SE11.095</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <P>
                                            <E T="03">Example:</E>
                                        </P>
                                        <FP SOURCE="FP-2">
                                            a
                                            <AC T="8"/>
                                            <E T="52">act</E>
                                             = 0.999 mph/s
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">a</E>
                                            <E T="52">ref</E>
                                             = 1 mph/s
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">a</E>
                                            <E T="52">error</E>
                                             = −0.100%
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (d) 
                                        <E T="03">Verification of forces for controlling acceleration and deceleration.</E>
                                         Program the dynamometer with a calculated force value and determine actual acceleration and deceleration rates as the dynamometer traverses speeds between 10 and 40 mph at various nominal acceleration and deceleration rates. Verify the dynamometer's ability to achieve certain acceleration and deceleration rates with a given force as follows:
                                    </P>
                                    <P>
                                        (1) Calculate the force setting, 
                                        <E T="03">F,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="46">
                                        <GID>ER15SE11.096</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">I</E>
                                            <E T="52">b</E>
                                             = the dynamometer manufacturer's stated base inertia, in lbf·s
                                            <SU>2</SU>
                                            /ft.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">a</E>
                                             = nominal acceleration rate, in ft/s
                                            <SU>2</SU>
                                            .
                                        </FP>
                                        <P>
                                            <E T="03">Example:</E>
                                        </P>
                                        <FP SOURCE="FP-2">
                                            <E T="03">I</E>
                                            <E T="52">b</E>
                                             = 2967 lbm = 92.217 lbf·s
                                            <SU>2</SU>
                                            /ft
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">a</E>
                                             = 1 mph/s = 1.4667 ft/s
                                            <SU>2</SU>
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">F</E>
                                             = 135.25 lbf
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (2) Set the dynamometer to road-load mode and program it with a calculated force to accelerate the roll at a nominal rate of 1 mph/s from 10 mph to 40 mph. Measure the elapsed time to reach the target speed, to the nearest 0.01 s. Repeat this measurement for a total of five runs. Determine the actual acceleration rate, 
                                        <E T="03">a</E>
                                        <E T="52">act,</E>
                                         for each run using Equation 1066.265-2. Repeat this step to determine measured “negative acceleration” rates using a calculated force to decelerate the roll at a nominal rate of 1 mph/s from 40 mph to 10 mph. Average the five repeat runs to calculate a mean acceleration rate, a
                                        <AC T="8"/>
                                        <E T="52">act</E>
                                        , at each setting.
                                    </P>
                                    <P>(3) Repeat the steps in paragraph (d)(2) of this section for additional acceleration and deceleration rates as specified in paragraph (c)(4) of this section.</P>
                                    <P>
                                        (4) Compare each mean acceleration rate, a
                                        <AC T="8"/>
                                        <E T="52">act</E>
                                        , to the corresponding nominal acceleration rate, 
                                        <E T="03">a</E>
                                        <E T="52">ref,</E>
                                         to determine values for acceleration error, 
                                        <E T="03">a</E>
                                        <E T="52">error,</E>
                                         using Equation 1066.265-4.
                                    </P>
                                    <P>
                                        (e) 
                                        <E T="03">Performance evaluation.</E>
                                         The acceleration error from paragraphs (c)(5) and (d)(4) of this section may not exceed ±1.0%.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.270 </SECTNO>
                                    <SUBJECT>Unloaded coastdown verification.</SUBJECT>
                                    <P>
                                        (a) 
                                        <E T="03">Overview.</E>
                                         Use force measurements to verify the dynamometer's settings based on coastdown procedures.
                                    </P>
                                    <P>
                                        (b) 
                                        <E T="03">Scope and frequency.</E>
                                         Perform this verification upon initial installation, within 7 days of testing, and after major maintenance.
                                    </P>
                                    <P>
                                        (c) 
                                        <E T="03">Procedure.</E>
                                         This procedure verifies the dynamometer's settings derived from coastdown testing. For dynamometers that have an automated process for this procedure, perform this evaluation by setting the initial speed and final speed and the inertial and road-load coefficients as required for each test, using good engineering judgment to ensure that these values properly represent in-use operation. Use the following procedure if your dynamometer does not perform this verification with an automated process:
                                    </P>
                                    <P>(1) Warm up the dynamometer as specified by the dynamometer manufacturer.</P>
                                    <P>
                                        (2) With the dynamometer in coastdown mode, set the dynamometer inertia for the smallest vehicle weight that you expect to test and set A, B, and C road-load coefficients to values typical of those used during testing. Program the dynamometer to operate at 10 mph. Perform a coastdown two times at this speed setting. Repeat these 
                                        <PRTPAGE P="57480"/>
                                        coastdown steps in 10 mph increments up to and including one increment above the maximum speed expected during testing. You may stop the verification before reaching 0 mph, with any appropriate adjustments in calculating the results.
                                    </P>
                                    <P>(3) Repeat the steps in paragraph (c)(2) of this section with the dynamometer inertia set for the largest vehicle weight that you expect to test.</P>
                                    <P>
                                        (4) Determine the average coastdown force, 
                                        <E T="03">F,</E>
                                         for each speed and inertia setting using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="55">
                                        <GID>ER15SE11.097</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">F</E>
                                             = the average force measured during the coastdown for each speed and inertia setting, expressed in lbf·s
                                            <SU>2</SU>
                                            /ft and rounded to four significant figures.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">I</E>
                                             = the dynamometer's inertia setting, in lbf·s
                                            <SU>2</SU>
                                            /ft.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">S</E>
                                            <E T="52">si</E>
                                             = the speed setting at the start of the coastdown, expressed in ft/s and rounded to four significant figures.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">t</E>
                                             = coastdown time for each speed and inertia setting, accurate to at least 0.01 s.
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        <E T="03">Example:</E>
                                    </P>
                                    <FP SOURCE="FP-2">
                                        <E T="03">I</E>
                                         = 2000 lbm = 65.17 lbf·s
                                        <SU>2</SU>
                                        /ft
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">S</E>
                                        <E T="52">si</E>
                                         = 10 mph = 14.66 ft/s
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">t</E>
                                         = 5.00 s
                                    </FP>
                                    <GPH SPAN="1" DEEP="25">
                                        <GID>ER15SE11.098</GID>
                                    </GPH>
                                    <FP SOURCE="FP-2">
                                        <E T="03">F</E>
                                         = 191 lbf
                                    </FP>
                                    <P>
                                        (5) Calculate the target value of coastdown force, 
                                        <E T="03">F</E>
                                        <E T="52">ref,</E>
                                         based on the applicable dynamometer parameters for each speed and inertia setting.
                                    </P>
                                    <P>
                                        (6) Compare the mean value of the coastdown force measured for each speed and inertia setting, F
                                        <AC T="8"/>
                                        <E T="52">act</E>
                                        , to the corresponding 
                                        <E T="03">F</E>
                                        <E T="52">ref</E>
                                         to determine values for coastdown force error, 
                                        <E T="03">F</E>
                                        <E T="52">error,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="60">
                                        <GID>ER15SE11.099</GID>
                                    </GPH>
                                    <FP SOURCE="FP-2">
                                        <E T="03">Example:</E>
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        <E T="03">F</E>
                                        <E T="52">ref</E>
                                         = 192 lbf
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        F
                                        <AC T="8"/>
                                        <E T="52">act</E>
                                         = 191 lbf
                                    </FP>
                                    <GPH SPAN="1" DEEP="35">
                                        <GID>ER15SE11.100</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">
                                            <E T="03">F</E>
                                            <E T="52">error</E>
                                             = −0.5%
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (7) The maximum allowable error, 
                                        <E T="03">F</E>
                                        <E T="52">errormax,</E>
                                         for all speed and inertia settings is calculated from the following formula, except that 
                                        <E T="03">F</E>
                                        <E T="52">errormax</E>
                                         for vehicles with GVWR above 14,000 lbs may be up to ±1.0%:
                                    </P>
                                    <P>
                                        <E T="03">F</E>
                                        <E T="52">errormax</E>
                                         (%) = (2.2 lbf/
                                        <E T="03">F</E>
                                        <E T="52">ref</E>
                                        )·100
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.280 </SECTNO>
                                    <SUBJECT>Driver's aid.</SUBJECT>
                                    <P>Use good engineering judgment to provide a driver's aid that facilitates compliance with the requirements of § 1066.430.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart D—Coastdown</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.301 </SECTNO>
                                    <SUBJECT>Overview of coastdown procedures.</SUBJECT>
                                    <P>(a) The coastdown procedures described in this subpart are used to determine the load coefficients (A, B, and C) for the simulated road-load equation in § 1066.210(d)(3).</P>
                                    <P>(b) The general procedure for performing coastdown tests and calculating load coefficients is described in SAE J1263 and SAE J2263 (incorporated by reference in § 1066.710). This subpart specifies certain deviations from those procedures for certain applications.</P>
                                    <P>(c) Use good engineering judgment for all aspects of coastdown testing. For example, minimize the effects of grade by performing coastdown testing on reasonably level surfaces and determining coefficients based on average values from vehicle operation in opposite directions over the course.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.310 </SECTNO>
                                    <SUBJECT>Coastdown procedures for heavy-duty vehicles.</SUBJECT>
                                    <P>This section describes coastdown procedures that are unique to heavy-duty motor vehicles. Note as specified in the standard setting parts, this section does not apply for certain heavy-duty vehicles, such as those regulated under 40 CFR part 86, subpart S.</P>
                                    <P>(a) Determine load coefficients by performing a minimum of 16 valid coastdown runs (8 in each direction).</P>
                                    <P>(b) Follow the provisions of Sections 1 through 9 of SAE J1263, and SAE J2263 (incorporated by reference in § 1066.710), except as described in this paragraph (b). The terms and variables identified in this paragraph (b) have the meaning given in SAE J1263 or J2263 unless specified otherwise.</P>
                                    <P>(1) The test condition specifications of SAE J1263 apply except as follows for wind and road conditions:</P>
                                    <P>(i) We recommend that you do not perform coastdown testing on days for which winds are forecast to exceed 6.0 mph.</P>
                                    <P>(ii) The grade of the test track or road must not be excessive (considering factors such as road safety standards and effects on the coastdown results). Road conditions should follow Section 7.4 of SAE J1263, except that road grade may exceed 0.5%. If road grade is greater than 0.02% over the length of the test surface, then the road grade as a function of distance along the length of the test surface must be incorporated in the analysis. To calculate the force due to grade use Section 11.5 of SAE J2263.</P>
                                    <P>(2) You must reach a top speed of greater than 70 mph such that data collection of the coastdown can start at or above 70 mph. Data collection must occur through a minimum speed at or below 15 mph. Data analysis for valid coastdown runs must include a maximum speed of 70 mph and a minimum speed of 15 mph.</P>
                                    <P>(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:</P>
                                    <P>(i) Run the zero-wind and zero-angle calibration data collection.</P>
                                    <P>(ii) The anemometer must have had its outputs recorded at a wind speed of 0.0 mph within 24 hours before each coastdown test in which it is used.</P>
                                    <P>(iii) Record the location of the anemometer using a GPS measurement device adjacent to the test surface (approximately) at the midway distance along the test surface used for coastdowns.</P>
                                    <P>(iv) Position the anemometer such that it will be at least 2.5 but not more than 3.0 vehicle widths from the test vehicle's centerline as the test vehicle passes the location of that anemometer.</P>
                                    <P>(v) Mount the anemometer at a height that is within 6 inches of half the test vehicle's maximum height.</P>
                                    <P>(vi) Place the anemometer at least 50 feet from the nearest tree and at least 25 feet from the nearest bush (or equivalent roadside features).</P>
                                    <P>(vii) The height of the grass surrounding the stationary anemometer may not exceed 10% of the anemometer's mounted height, within a radius equal to the anemometer's mounted height.</P>
                                    <P>(4) You may split runs as per Section 9.3.1 of SAE J2263, but we recommend whole runs. If you split a run, analyze each portion separately, but count the split runs as one run with respect to the minimum number of runs required.</P>
                                    <P>
                                        (5) You may perform consecutive runs in a single direction, followed by consecutive runs in the opposite direction, consistent with good engineering judgment. Harmonize starting and stopping points to the 
                                        <PRTPAGE P="57481"/>
                                        extent practicable to allow runs to be paired.
                                    </P>
                                    <P>(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 each direction.</P>
                                    <P>
                                        (7) Determine drag area, 
                                        <E T="03">C</E>
                                        <E T="52">D</E>
                                        <E T="03">A,</E>
                                         as follows instead of using the procedure specified in SAE J1263, Section 10:
                                    </P>
                                    <P>(i) 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.</P>
                                    <P>
                                        (ii) Calculate the vehicle's effective mass, 
                                        <E T="03">M</E>
                                        <E T="52">e,</E>
                                         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.
                                    </P>
                                    <P>
                                        (iii) Calculate the road-load force for each measurement interval, 
                                        <E T="03">F</E>
                                        <E T="52">i,</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="52">
                                        <GID>ER15SE11.101</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">v</E>
                                             = Vehicle speed at the beginning and end of the measurement interval. Let 
                                            <E T="03">v</E>
                                            <E T="52">0</E>
                                             = 0.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            Δ
                                            <E T="03">t</E>
                                             = Elapsed time over the measurement interval.
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (iv) Plot the data from all the coastdown runs on a single plot of 
                                        <E T="03">F</E>
                                        <E T="52">i</E>
                                         vs. 
                                        <E T="03">v</E>
                                        <E T="52">i</E>
                                        <SU>2</SU>
                                         to determine the slope correlation, 
                                        <E T="03">D,</E>
                                         based on the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="55">
                                        <GID>ER15SE11.102</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">g</E>
                                             = Gravitational acceleration = 9.81 m/s
                                            <SU>2</SU>
                                            .
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            Δ
                                            <E T="03">h</E>
                                             = Change in height or altitude over the measurement interval, in m. Assume Δh = 0 if you are not correcting for grade.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            Δ
                                            <E T="03">s</E>
                                             = Distance the vehicle travels down the road during the measurement interval, in m.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">A</E>
                                            <E T="52">m</E>
                                             = the calculated value of the y-intercept based on the curve-fit.
                                        </FP>
                                    </EXTRACT>
                                    <P>
                                        (v) Calculate drag area, 
                                        <E T="03">C</E>
                                        <E T="52">DA,</E>
                                         in m
                                        <E T="52">2</E>
                                         using the following equation:
                                    </P>
                                    <GPH SPAN="1" DEEP="58">
                                        <GID>ER15SE11.103</GID>
                                    </GPH>
                                    <EXTRACT>
                                        <FP SOURCE="FP-2">Where:</FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">ρ</E>
                                             = Air density at reference conditions = 1.17 kg/m
                                            <SU>3</SU>
                                            .
                                        </FP>
                                        <GPH SPAN="1" DEEP="63">
                                            <GID>ER15SE11.104</GID>
                                        </GPH>
                                        <FP SOURCE="FP-2">
                                            <E T="03">T</E>
                                            <AC T="8"/>
                                             = Average ambient temperature during testing, in K.
                                        </FP>
                                        <FP SOURCE="FP-2">
                                            <E T="03">P</E>
                                            <AC T="8"/>
                                            <E T="52">B</E>
                                             = Average ambient pressuring during the test, in kPa.
                                        </FP>
                                    </EXTRACT>
                                    <P>(8) Determine the A, B, and C coefficients identified in § 1066.210 as follows:</P>
                                    <P>
                                        A = 
                                        <E T="03">A</E>
                                        <E T="52">m</E>
                                    </P>
                                    <P>B = 0</P>
                                    <P>
                                        C = 
                                        <E T="03">D</E>
                                        <E T="52">adj</E>
                                    </P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart E—Vehicle Preparation and Running a Test</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.401 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                    <P>(a) Use the procedures detailed in this subpart to measure vehicle emissions over a specified drive schedule. This subpart describes how to:</P>
                                    <P>(1) Determine road-load power, test weight, and inertia class.</P>
                                    <P>(2) Prepare the vehicle, equipment, and measurement instruments for an emission test.</P>
                                    <P>(3) Perform pre-test procedures to verify proper operation of certain equipment and analyzers and to prepare them for testing.</P>
                                    <P>(4) Record pre-test data.</P>
                                    <P>(5) Sample emissions.</P>
                                    <P>(6) Record post-test data.</P>
                                    <P>(7) Perform post-test procedures to verify proper operation of certain equipment and analyzers.</P>
                                    <P>(8) Weigh PM samples.</P>
                                    <P>(b) An emission test generally consists of measuring emissions and other parameters while a vehicle follows the drive schedules specified in the standard-setting part. There are two general types of test cycles:</P>
                                    <P>
                                        (1) 
                                        <E T="03">Transient cycles.</E>
                                         Transient test cycles are typically specified in the standard-setting part as a second-by-second sequence of vehicle speed commands. Operate a vehicle over a transient cycle such that the speed follows the target values. Proportionally sample emissions and other parameters and use the calculations in 40 CFR part 86, subpart B, or 40 CFR part 1065, subpart G, to calculate emissions. The standard-setting part may specify three types of transient testing based on the approach to starting the measurement, as follows:
                                    </P>
                                    <P>(i) A cold-start transient cycle where you start to measure emissions just before starting an engine that has not been warmed up.</P>
                                    <P>(ii) A hot-start transient cycle where you start to measure emissions just before starting a warmed-up engine.</P>
                                    <P>(iii) A hot running transient cycle where you start to measure emissions after an engine is started, warmed up, and running.</P>
                                    <P>
                                        (2) 
                                        <E T="03">Cruise cycles.</E>
                                         Cruise test cycles are typically specified in the standard-setting part as a discrete operating point that has a single speed command.
                                    </P>
                                    <P>(i) Start a cruise cycle as a hot running test, where you start to measure emissions after the engine is started and warmed up and the vehicle is running at the target test speed.</P>
                                    <P>(ii) Sample emissions and other parameters for the cruise cycle in the same manner as a transient cycle, with the exception that the reference speed value is constant. Record instantaneous and mean speed values over the cycle.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.407 </SECTNO>
                                    <SUBJECT>Vehicle preparation and preconditioning.</SUBJECT>
                                    <P>This section describes steps to take before measuring exhaust emissions for those vehicles that are subject to evaporative or refueling emission tests as specified in the standard setting part. Other preliminary procedures may apply as specified in the standard-setting part.</P>
                                    <P>(a) Prepare the vehicle for testing as described in 40 CFR 86.131.</P>
                                    <P>(b) If testing will include measurement of refueling emissions, perform the vehicle preconditioning steps as described in 40 CFR 86.153. Otherwise, perform the vehicle preconditioning steps as described in 40 CFR 86.132.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.410 </SECTNO>
                                    <SUBJECT>Dynamometer test procedure.</SUBJECT>
                                    <P>(a) Dynamometer testing may consist of multiple drive cycles with both cold-start and hot-start portions, including prescribed soak times before each test phase. See the standard-setting part for test cycles and soak times for the appropriate vehicle category. A test phase consists of engine startup (with accessories operated according to the standard-setting part), operation over the drive cycle, and engine shutdown.</P>
                                    <P>
                                        (b) During dynamometer operation, position a cooling fan that appropriately directs cooling air to the vehicle. This generally requires squarely positioning the fan within 30 centimeters of the front of the vehicle and directing the airflow to the vehicle's radiator.
                                        <PRTPAGE P="57482"/>
                                    </P>
                                    <P>(1) For vehicles with GVWR at or below 14,000 lbs, you may use either of the following cooling fan configurations:</P>
                                    <P>
                                        (i) Use a fixed-speed fan to appropriately direct cooling air to the vehicle with the engine compartment cover open. The fan capacity may not exceed 2.50 m
                                        <SU>3</SU>
                                        /s. If you determine that additional cooling is needed to properly represent in-use operation, use good engineering judgment to increase the fan's capacity or use additional fans, subject to our approval.
                                    </P>
                                    <P>
                                        (ii) Use a road-speed modulated fan system that achieves a linear speed of cooling air at the blower outlet that is within ±3.0 mph (±1.3 m/s) of the corresponding roll speed when vehicle speeds are between 5 and 30 mph (2.2 to 13.4 m/s), and within ±6.5 mph (±2.9 m/s) of the corresponding roll speed at higher vehicle speeds. The fan must provide no cooling air for vehicle speeds below 5 mph, unless we approve your request to provide cooling during low-speed operation based on a demonstration that this is appropriate to simulate cooling for in-use vehicles. We recommend that the cooling fan have a minimum opening of 0.2 m
                                        <SU>2</SU>
                                         and a minimum width of 0.8 m.
                                    </P>
                                    <P>
                                        (2) For vehicles with GVWR above 14,000 lbs, use a road-speed modulated fan system that achieves a linear speed of cooling air at the blower outlet that is within ±3.0 mph (±1.3 m/s) of the corresponding roll speed when vehicle speeds are between 5 and 30 mph (2.2 to 13.4 m/s), and within ±10 mph (±4.5 m/s) of the corresponding roll speed at higher vehicle speeds. The fan must provide no cooling air for vehicle speeds below 5 mph, unless we approve your request to provide cooling during low-speed operation based on a demonstration that this is appropriate to simulate the cooling experienced by in-use vehicles. We recommend that the cooling fan have a minimum opening of 2.75 m
                                        <SU>2</SU>
                                        , a minimum flow rate of 3,600 m
                                        <SU>3</SU>
                                        /min at 50 mph, and that it maintain a minimum speed profile across the duct, in the free stream flow, of ±15% of the target flow rate.
                                    </P>
                                    <P>(3) If the cooling specifications in this paragraph (b) are impractical for special vehicle designs, such as vehicles with rear-mounted engines, you may arrange for an alternative fan configuration that allows for proper simulation of vehicle cooling during in-use operation, subject to our approval.</P>
                                    <P>(c) Record the vehicle's speed trace based on the time and speed data from the dynamometer. Record speed to at least the nearest 0.01 m/s or 0.1 mph and time to at least the nearest 0.1 s.</P>
                                    <P>(d) You may perform practice runs for operating the vehicle and the dynamometer controls to meet the driving tolerances specified in § 1066.430 or adjust the emission sampling equipment. Verify that the accelerator pedal allows for enough control to closely follow the prescribed driving schedule. You may not measure emissions during a practice run.</P>
                                    <P>(e) Inflate the drive wheel tires according to the vehicle manufacturer's specifications. The drive wheels' tire pressure must be the same for dynamometer operation and for coastdown procedures for determining road-load coefficients. Report these tire pressure values with the test results.</P>
                                    <P>(f) For vehicles with GVWR above 14,000 lbs, you must use a vehicle pull down mechanism that allows simulation of the actual normal forces that the tire and dynamometer roll interface would see if a loaded vehicle were actually being tested. Use of this mechanism will ensure that wheel slip does not occur when trying to accelerate the loaded vehicle.</P>
                                    <P>(g) Use good engineering judgment when testing vehicles in four-wheel drive or all-wheel drive mode. This may involve testing on a dynamometer with a separate dynamometer roll for each drive axle. This may also involve operation on a single roll, which may require disengaging the second set of drive wheels, either with a switch available to the driver or by some other means; however, operating such a vehicle on a single roll may occur only if this does not decrease emissions or energy consumption relative to normal in-use operation. Alternatively, for heavy-duty motor vehicles, up to two drive axles may use a single drive roll, as described in § 1066.210(d)(2).</P>
                                    <P>(h) Warm up the dynamometer as recommended by the dynamometer manufacturer.</P>
                                    <P>(i) Following the test, determine the actual driving distance by counting the number of dynamometer roll or shaft revolutions, or by integrating speed over the course of testing from a high-resolution encoder system.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.420 </SECTNO>
                                    <SUBJECT>Pre-test verification procedures and pre-test data collection.</SUBJECT>
                                    <P>(a) Follow the procedures for PM sample preconditioning and tare weighing as described in 40 CFR 1065.590 if your engine must comply with a PM standard.</P>
                                    <P>(b) Unless the standard-setting part specifies different tolerances, verify at some point before the test that ambient conditions are within the tolerances specified in this paragraph (b). For purposes of this paragraph (b), “before the test” means any time from a point just prior to engine starting (excluding engine restarts) to the point at which emission sampling begins.</P>
                                    <P>(1) Ambient temperature must be (20 to 30) °C. See § 1066.430(m) for circumstances under which ambient temperatures must remain within this range during the test.</P>
                                    <P>(2) Atmospheric pressure must be (80.000 to 103.325) kPa. You are not required to verify atmospheric pressure prior to a hot-start test interval for testing that also includes a cold start.</P>
                                    <P>(3) Dilution air conditions must meet the specifications in 40 CFR 1065.140, except in cases where you preheat your CVS before a cold-start test. We recommend verifying dilution air conditions just before starting each test phase.</P>
                                    <P>(c) You may test vehicles at any intake-air humidity.</P>
                                    <P>(d) You may perform a final calibration of proportional-flow control systems, which may include performing practice runs.</P>
                                    <P>(e) You may perform the following procedure to precondition sampling systems:</P>
                                    <P>(1) Operate the vehicle over the test cycle.</P>
                                    <P>(2) Operate any dilution systems at their expected flow rates. Prevent aqueous condensation in the dilution systems.</P>
                                    <P>(3) Operate any PM sampling systems at their expected flow rates.</P>
                                    <P>(4) Sample PM for at least 10 min using any sample media. You may change sample media during preconditioning. You must discard preconditioning samples without weighing them.</P>
                                    <P>(5) You may purge any gaseous sampling systems during preconditioning.</P>
                                    <P>(6) You may conduct calibrations or verifications on any idle equipment or analyzers during preconditioning.</P>
                                    <P>(7) Proceed with the test sequence described in § 1066.430.</P>
                                    <P>(f) Verify the amount of nonmethane hydrocarbon (or equivalent) contamination in the exhaust and background HC sampling systems within 8 hours before the start of the first test drive cycle for each individual vehicle tested as described in 40 CFR 1065.520(g).</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.425 </SECTNO>
                                    <SUBJECT>Engine starting and restarting.</SUBJECT>
                                    <P>(a) Start the vehicle's engine as follows:</P>
                                    <P>
                                        (1) At the beginning of the test cycle, start the engine according to the procedure you describe in your owners manual. In the case of hybrid vehicles, this would generally involve activating vehicle systems such that the engine will start when the vehicle's control 
                                        <PRTPAGE P="57483"/>
                                        algorithms determine that the engine should provide power instead of or in addition to power from the rechargeable energy storage system (RESS). Unless we specify otherwise, engine starting throughout this part generally refers to this step of activating the system on hybrid vehicles, whether or not that causes the engine to start running.
                                    </P>
                                    <P>(2) Place the transmission in gear as described by the test cycle in the standard-setting part. During idle operation, you may apply the brakes if necessary to keep the drive wheels from turning.</P>
                                    <P>(b) If the vehicle does not start after your recommended maximum cranking time, wait and restart cranking according to your recommended practice. If you don't recommend such a cranking procedure, stop cranking after 10 seconds, wait for 10 seconds, then start cranking gain for up to 10 seconds. You may repeat this for up to three start attempts. If the vehicle does not start after three attempts, you must determine and record the reason for failure to start. Shut off sampling systems and either turn the CVS off, or disconnect the exhaust tube from the tailpipe during the diagnostic period. Reschedule the vehicle for testing from a cold start.</P>
                                    <P>(c) Repeat the recommended starting procedure if the engine has a “false start.”</P>
                                    <P>(d) Take the following steps if the engine stalls:</P>
                                    <P>(1) If the engine stalls during an idle period, restart the engine immediately and continue the test. If you cannot restart the engine soon enough to allow the vehicle to follow the next acceleration, stop the driving schedule indicator and reactivate it when the vehicle restarts.</P>
                                    <P>(2) If the engine stalls during operation other than idle, stop the driving schedule indicator, restart the engine, accelerate to the speed required at that point in the driving schedule, reactivate the driving schedule indicator, and continue the test.</P>
                                    <P>(3) Void the test if the vehicle will not restart within one minute. If this happens, remove the vehicle from the dynamometer, take corrective action, and reschedule the vehicle for testing. Record the reason for the malfunction (if determined) and any corrective action. See the standard-setting part for instructions about reporting these malfunctions.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.430 </SECTNO>
                                    <SUBJECT>Performing emission tests.</SUBJECT>
                                    <P>The overall test consists of prescribed sequences of fueling, parking, and driving at specified test conditions.</P>
                                    <P>(a) Vehicles are tested for criteria pollutants and greenhouse gas emissions as described in the standard-setting part.</P>
                                    <P>(b) Take the following steps before emission sampling begins:</P>
                                    <P>(1) For batch sampling, connect clean storage media, such as evacuated bags or tare-weighed filters.</P>
                                    <P>(2) Start all measurement instruments according to the instrument manufacturer's instructions and using good engineering judgment.</P>
                                    <P>(3) Start dilution systems, sample pumps, and the data-collection system.</P>
                                    <P>(4) Pre-heat or pre-cool heat exchangers in the sampling system to within their operating temperature tolerances for a test.</P>
                                    <P>(5) Allow heated or cooled components such as sample lines, filters, chillers, and pumps to stabilize at their operating temperatures.</P>
                                    <P>(6) Verify that there are no significant vacuum-side leaks according to 40 CFR 1065.345.</P>
                                    <P>(7) Adjust the sample flow rates to desired levels using bypass flow, if desired.</P>
                                    <P>(8) Zero or re-zero any electronic integrating devices before the start of any test interval.</P>
                                    <P>(9) Select gas analyzer ranges. You may automatically or manually switch gas analyzer ranges during a test only if switching is performed by changing the span over which the digital resolution of the instrument is applied. During a test you may not switch the gains of an analyzer's analog operational amplifier(s).</P>
                                    <P>
                                        (10) Zero and span all continuous gas analyzers using NIST-traceable gases that meet the specifications of 40 CFR 1065.750. Span FID analyzers on a carbon number basis of one (C
                                        <E T="52">1</E>
                                        ). For example, if you use a C
                                        <E T="52">3</E>
                                        H
                                        <E T="52">8</E>
                                         span gas of concentration 200 μmol/mol, span the FID to respond with a value of 600 μmol/mol. Span FID analyzers consistent with the determination of their respective response factors, 
                                        <E T="03">RF,</E>
                                         and penetration fractions, 
                                        <E T="03">PF,</E>
                                         according to 40 CFR 1065.365.
                                    </P>
                                    <P>(11) We recommend that you verify gas analyzer responses after zeroing and spanning by sampling a calibration gas that has a concentration near one-half of the span gas concentration. Based on the results and good engineering judgment, you may decide whether or not to re-zero, re-span, or re-calibrate a gas analyzer before starting a test.</P>
                                    <P>(12) If you correct for dilution air background concentrations of associated engine exhaust constituents, start sampling and recording background concentrations.</P>
                                    <P>(13) Turn on cooling fans immediately before starting the test.</P>
                                    <P>(c) Operate vehicles during testing as follows:</P>
                                    <P>(1) Where we do not give specific instructions, operate the vehicle according to your recommendations in the owners manual, unless those recommendations are unrepresentative of what may reasonably be expected for in-use operation.</P>
                                    <P>(2) If vehicles have features that preclude dynamometer testing, modify these features as necessary to allow testing, consistent with good engineering judgment.</P>
                                    <P>(3) Operate vehicles during idle as follows:</P>
                                    <P>(i) For a vehicle with an automatic transmission, operate at idle with the transmission in “Drive” with the wheels braked, except that you may shift to “Neutral” for the first idle period and for any idle period longer than one minute. If you put the vehicle in “Neutral” during an idle, you must shift the vehicle into “Drive” with the wheels braked at least 5 seconds before the end of the idle period.</P>
                                    <P>(ii) For vehicles with manual transmission, operate at idle with the transmission in gear with the clutch disengaged, except that you may shift to “Neutral” with the clutch disengaged for the first idle period and for any idle period longer than one minute. If you put the vehicle in “Neutral” during idle, you must shift to first gear with the clutch disengaged at least 5 seconds before the end of the idle period.</P>
                                    <P>(4) Operate the vehicle with the appropriate accelerator pedal movement necessary to achieve the speed versus time relationship prescribed by the driving schedule. Avoid smoothing speed variations and excessive accelerator pedal perturbations.</P>
                                    <P>(5) Operate the vehicle smoothly, following representative shift speeds and procedures. For manual transmissions, the operator shall release the accelerator pedal during each shift and accomplish the shift with minimum time. If the vehicle cannot accelerate at the specified rate, operate it at maximum available power until the vehicle speed reaches the value prescribed for that time in the driving schedule.</P>
                                    <P>
                                        (6) Decelerate without changing gears, using the brakes or accelerator pedal as necessary to maintain the desired speed. Keep the clutch engaged on manual transmission vehicles and do not change gears after the end of the acceleration event. Depress manual transmission clutches when the speed drops below 6.7 m/s (15 mph), when engine 
                                        <PRTPAGE P="57484"/>
                                        roughness is evident, or when engine stalling is imminent.
                                    </P>
                                    <P>(7) For test vehicles equipped with manual transmissions, shift gears in a way that represents reasonable shift patterns for in-use operation, considering vehicle speed, engine speed, and any other relevant variables. You may recommend a shift schedule in your owners manual that differs from your shift schedule during testing as long as you include both shift schedules in your application for certification. In this case, we may use the shift schedule you describe in your owners manual.</P>
                                    <P>(d) See the standard-setting part for drive schedules. These are defined by a smooth trace drawn through the specified speed vs. time sequence.</P>
                                    <P>(e) The driver must attempt to follow the target schedule as closely as possible, consistent with the specifications in paragraph (b) of this section. Instantaneous speeds must stay within the following tolerances:</P>
                                    <P>(1) The upper limit is 1.0 m/s (2 mph) higher than the highest point on the trace within 1.0 s of the given point in time.</P>
                                    <P>(2) The lower limit is 1.0 m/s (2 mph) lower than the lowest point on the trace within 1.0 s of the given time.</P>
                                    <P>(3) The same limits apply for vehicle preconditioning, except that the upper and lower limits for speed values are ±2.0 m/s (±4 mph).</P>
                                    <P>(4) Void the test if you do not maintain speed values as specified in this paragraph (e)(4). Speed variations (such as may occur during gear changes or braking spikes) may occur as follows, provided that such variations are clearly documented, including the time and speed values and the reason for the deviation:</P>
                                    <P>(i) Speed variations greater than the specified limits are acceptable for up to 2.0 seconds on any occasion.</P>
                                    <P>(ii) For vehicles that are not able to maintain acceleration as specified in paragraph (c)(5) of this section, do not count the insufficient acceleration as being outside the specified limits.</P>
                                    <P>(f) Figure 1 and Figure 2 of this section show the range of acceptable speed tolerances for typical points during testing. Figure 1 of this section is typical of portions of the speed curve that are increasing or decreasing throughout the 2-second time interval. Figure 2 of this section is typical of portions of the speed curve that include a maximum or minimum value.</P>
                                    <BILCOD>BILLING CODE 4910-59-P</BILCOD>
                                    <GPH SPAN="3" DEEP="640">
                                        <PRTPAGE P="57485"/>
                                        <GID>ER15SE11.105</GID>
                                    </GPH>
                                    <BILCOD>BILLING CODE 4910-59-c</BILCOD>
                                    <P>(g) Start testing as follows:</P>
                                    <P>
                                        (1) If a vehicle is already running and warmed up, and starting is not part of the test cycle, operate the vehicle as follows:
                                        <PRTPAGE P="57486"/>
                                    </P>
                                    <P>(i) For transient test cycles, control vehicle speeds to follow a drive schedule consisting of a series of idles, accelerations, cruises, and decelerations.</P>
                                    <P>(ii) For cruise test cycles, control the vehicle operation to match the speed of the first phase of the test cycle. Follow the instructions in the standard-setting part to determine how long to stabilize the vehicle during each phase, how long to sample emissions at each phase, and how to transition between phases.</P>
                                    <P>(2) If engine starting is part of the test cycle, initiate data logging, sampling of exhaust gases, and integrating measured values before starting the engine. Initiate the driver's trace when the engine starts.</P>
                                    <P>(h) At the end of each test interval, continue to operate all sampling and dilution systems to allow the response times to elapse. Then stop all sampling and recording, including the recording of background samples. Finally, stop any integrating devices and indicate the end of the duty cycle in the recorded data.</P>
                                    <P>(i) Shut down the vehicle if it is part of the test cycle or if testing is complete.</P>
                                    <P>(j) If testing involves engine shutdown followed by another test phase, start a timer for the vehicle soak when the engine shuts down.</P>
                                    <P>(k) Take the following steps after emission sampling is complete:</P>
                                    <P>(1) For any proportional batch sample, such as a bag sample or PM sample, verify that proportional sampling was maintained according to 40 CFR 1065.545. Void any samples that did not maintain proportional sampling according to specifications.</P>
                                    <P>(2) Place any used PM samples into covered or sealed containers and return them to the PM-stabilization environment. Follow the PM sample post-conditioning and total weighing procedures in 40 CFR 1065.595.</P>
                                    <P>(3) As soon as practical after the test cycle is complete, or optionally during the soak period if practical, perform the following:</P>
                                    <P>(i) Drift check all continuous gas analyzers and zero and span all batch gas analyzers no later than 30 minutes after the test cycle is complete, or during the soak period if practical.</P>
                                    <P>(ii) Analyze any conventional gaseous batch samples no later than 30 minutes after a test phase is complete, or during the soak period if practical. Analyze nonconventional gaseous batch samples, such as NMHCE sampling with ethanol, as soon as practicable using good engineering judgment.</P>
                                    <P>(iii) Analyze background samples no later than 60 minutes after the test cycle is complete.</P>
                                    <P>(4) After quantifying exhaust gases, verify drift as follows:</P>
                                    <P>(i) For batch and continuous gas analyzers, record the mean analyzer value after stabilizing a zero gas to the analyzer. Stabilization may include time to purge the analyzer of any sample gas, plus any additional time to account for analyzer response.</P>
                                    <P>(ii) Record the mean analyzer value after stabilizing the span gas to the analyzer. Stabilization may include time to purge the analyzer of any sample gas, plus any additional time to account for analyzer response.</P>
                                    <P>(iii) Use these data to validate and correct for drift as described in 40 CFR 1065.550.</P>
                                    <P>(l) [Reserved]</P>
                                    <P>
                                        (m) Measure and record ambient temperature and pressure. Also measure humidity, as required, such as for correcting NO
                                        <E T="52">X</E>
                                         emissions. For testing vehicles with the following engines, you must record ambient temperature continuously to verify that it remains within the temperature range specified in § 1066.420(b)(1) throughout the test:
                                    </P>
                                    <P>(1) Air-cooled engines.</P>
                                    <P>(2) Engines equipped with emission control devices that sense and respond to ambient temperature.</P>
                                    <P>(3) Any other engine for which good engineering judgment indicates that this is necessary to remain consistent with 40 CFR 1065.10(c)(1).</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart F—Hybrids</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.501 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                    <P>To correct fuel economy or emission results for Net Energy Change of the RESS, use the procedures specified for charge-sustaining operation in SAE J2711 (incorporated by reference in § 1066.710).</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart G—Calculations</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.601 </SECTNO>
                                    <SUBJECT>Overview.</SUBJECT>
                                    <P>(a) This subpart describes how to—</P>
                                    <P>(1) Use the signals recorded before, during, and after an emission test to calculate distance-specific emissions of each regulated pollutant.</P>
                                    <P>(2) Perform calculations for calibrations and performance checks.</P>
                                    <P>(3) Determine statistical values.</P>
                                    <P>(b) You may use data from multiple systems to calculate test results for a single emission test, consistent with good engineering judgment. You may also make multiple measurements from a single batch sample, such as multiple weighing of a PM filter or multiple readings from a bag sample. You may not use test results from multiple emission tests to report emissions. We allow weighted means where appropriate. You may discard statistical outliers, but you must report all results.</P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.610 </SECTNO>
                                    <SUBJECT>Mass-based and molar-based exhaust emission calculations.</SUBJECT>
                                    <P>(a) Calculate your total mass of emissions over a test cycle as specified in 40 CFR 86.144 or 40 CFR part 1065, subpart G.</P>
                                    <P>(b) For composite emission calculations over multiple test phases and corresponding weighting factors, see the standard-setting part.</P>
                                </SECTION>
                            </SUBPART>
                            <SUBPART>
                                <HD SOURCE="HED">Subpart H—Definitions and Other Reference Material</HD>
                                <SECTION>
                                    <SECTNO>§ 1066.701 </SECTNO>
                                    <SUBJECT>Definitions.</SUBJECT>
                                    <P>The definitions in this section apply to this part. The definitions apply to all subparts unless we note otherwise. Other terms have the meaning given in 40 CFR part 1065. The definitions follow:</P>
                                    <P>
                                        <E T="03">Base inertia</E>
                                         means a value expressed in mass units to represent the rotational inertia of the rotating dynamometer components between the vehicle driving tires and the dynamometer torque-measuring device, as specified in § 1066.250.
                                    </P>
                                    <P>
                                        <E T="03">Driving schedule</E>
                                         means a series of vehicle speeds that a vehicle must follow during a test. Driving schedules are specified in the standard-setting part. A driving schedule may consist of multiple test phases.
                                    </P>
                                    <P>
                                        <E T="03">Duty cycle</E>
                                         means a set of weighting factors and the corresponding test cycles, where the weighting factors are used to combine the results of multiple test phases into a composite result.
                                    </P>
                                    <P>
                                        <E T="03">Road-load coefficients</E>
                                         means sets of A, B, and C road-load force coefficients that are used in the dynamometer road-load simulation, where road-load force at speed 
                                        <E T="03">S</E>
                                         equals A + B·
                                        <E T="03">S</E>
                                         + C·
                                        <E T="03">S</E>
                                        <SU>2</SU>
                                        .
                                    </P>
                                    <P>
                                        <E T="03">Test phase</E>
                                         means a duration over which a vehicle's emission rates are determined for comparison to an emission standard. For example, the standard-setting part may specify a complete duty cycle as a cold-start test phase and a hot-start test phase. In cases where multiple test phases occur over a duty cycle, the standard-setting part may specify additional calculations that weight and combine results to arrive at composite values for comparison against the applicable standards.
                                    </P>
                                    <P>
                                        <E T="03">Test weight</E>
                                         has the meaning given in the standard-setting part.
                                    </P>
                                    <P>
                                        <E T="03">Unloaded coastdown</E>
                                         means a dynamometer coastdown run with the vehicle wheels off the roll surface.
                                    </P>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.705 </SECTNO>
                                    <SUBJECT>Symbols, abbreviations, acronyms, and units of measure.</SUBJECT>
                                    <P>
                                        The procedures in this part generally follow either the International System of 
                                        <PRTPAGE P="57487"/>
                                        Units (SI) or the United States customary units, as detailed in NIST Special Publication 811, which we incorporate by reference in § 1066.710. See 40 CFR 1065.20 for specific provisions related to these conventions. This section summarizes the way we use symbols, units of measure, and other abbreviations.
                                    </P>
                                    <P>
                                        (a) 
                                        <E T="03">Symbols for quantities.</E>
                                         This part uses the following symbols and units of measure for various quantities:
                                    </P>
                                    <GPOTABLE COLS="5" OPTS="L2,tp0,i1" CDEF="xs30,r50,r50,xls100,xls100">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Symbol</CHED>
                                            <CHED H="1">Quantity</CHED>
                                            <CHED H="1">Unit</CHED>
                                            <CHED H="1">Unit symbol</CHED>
                                            <CHED H="1">Unit in terms of SI base units</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">a</E>
                                            </ENT>
                                            <ENT>acceleration</ENT>
                                            <ENT>feet per second squared or meters per second squared</ENT>
                                            <ENT>
                                                ft/s
                                                <SU>2</SU>
                                                 or m/s
                                                <SU>2</SU>
                                            </ENT>
                                            <ENT>
                                                m·s
                                                <E T="51">−2</E>
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">d</E>
                                            </ENT>
                                            <ENT>diameter</ENT>
                                            <ENT>meters</ENT>
                                            <ENT>m</ENT>
                                            <ENT>m</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">F</E>
                                            </ENT>
                                            <ENT>force</ENT>
                                            <ENT>pound force or newton</ENT>
                                            <ENT>lbf or N</ENT>
                                            <ENT>
                                                kg·s
                                                <E T="51">−2</E>
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">f</E>
                                            </ENT>
                                            <ENT>frequency</ENT>
                                            <ENT>hertz</ENT>
                                            <ENT>Hz</ENT>
                                            <ENT>
                                                s
                                                <E T="51">−1</E>
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">I</E>
                                            </ENT>
                                            <ENT>inertia</ENT>
                                            <ENT>pound mass or kilogram</ENT>
                                            <ENT>lbm or kg</ENT>
                                            <ENT>kg</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">i</E>
                                            </ENT>
                                            <ENT>indexing variable</ENT>
                                            <ENT/>
                                            <ENT/>
                                            <ENT/>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">M</E>
                                            </ENT>
                                            <ENT>mass</ENT>
                                            <ENT>pound mass or kilogram</ENT>
                                            <ENT>lbm or kg</ENT>
                                            <ENT>kg</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">N</E>
                                            </ENT>
                                            <ENT>total number in series</ENT>
                                            <ENT/>
                                            <ENT/>
                                            <ENT/>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">n</E>
                                            </ENT>
                                            <ENT>total number of pulses in a series</ENT>
                                            <ENT/>
                                            <ENT/>
                                            <ENT/>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">R</E>
                                            </ENT>
                                            <ENT>dynamometer roll revolutions</ENT>
                                            <ENT>revolutions per minute</ENT>
                                            <ENT>rpm</ENT>
                                            <ENT>
                                                2·π·60
                                                <E T="51">−1</E>
                                                · m·m
                                                <E T="51">−1</E>
                                                ·s
                                                <E T="51">−1</E>
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">RL</E>
                                            </ENT>
                                            <ENT>road-load coefficient</ENT>
                                            <ENT>horsepower or kilowatt</ENT>
                                            <ENT>hp or kW</ENT>
                                            <ENT>
                                                10
                                                <SU>3</SU>
                                                ·m
                                                <SU>2</SU>
                                                ·kg·s
                                                <E T="51">−3</E>
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">S</E>
                                            </ENT>
                                            <ENT>speed</ENT>
                                            <ENT>miles per hour or meters per second</ENT>
                                            <ENT>mph or m/s</ENT>
                                            <ENT>
                                                m·s
                                                <E T="51">−1</E>
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">T</E>
                                            </ENT>
                                            <ENT>Celsius temperature</ENT>
                                            <ENT>degree Celsius</ENT>
                                            <ENT>°C</ENT>
                                            <ENT>K-273.15</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">T</E>
                                            </ENT>
                                            <ENT>torque (moment of force)</ENT>
                                            <ENT>newton meter</ENT>
                                            <ENT>N·m</ENT>
                                            <ENT>
                                                m
                                                <SU>2</SU>
                                                ·kg·s
                                                <E T="51">−2</E>
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">t</E>
                                            </ENT>
                                            <ENT>time</ENT>
                                            <ENT>second</ENT>
                                            <ENT>s</ENT>
                                            <ENT>s</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">Δt</E>
                                            </ENT>
                                            <ENT>time interval, period, 1/frequency</ENT>
                                            <ENT>second</ENT>
                                            <ENT>s</ENT>
                                            <ENT>s</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                <E T="03">y</E>
                                            </ENT>
                                            <ENT>generic variable</ENT>
                                            <ENT/>
                                            <ENT/>
                                            <ENT/>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                        (b) 
                                        <E T="03">Symbols for chemical species.</E>
                                         This part uses the following symbols for chemical species and exhaust constituents:
                                    </P>
                                    <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s50,r100">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Symbol</CHED>
                                            <CHED H="1">Species</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">
                                                CH
                                                <E T="52">4</E>
                                            </ENT>
                                            <ENT>methane</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">CO</ENT>
                                            <ENT>carbon monoxide</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                CO
                                                <E T="52">2</E>
                                            </ENT>
                                            <ENT>carbon dioxide</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">NMHC</ENT>
                                            <ENT>nonmethane hydrocarbon</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">NMHCE</ENT>
                                            <ENT>nonmethane hydrocarbon equivalent</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">NO</ENT>
                                            <ENT>nitric oxide</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                NO
                                                <E T="52">2</E>
                                            </ENT>
                                            <ENT>nitrogen dioxide</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                NO
                                                <E T="52">X</E>
                                            </ENT>
                                            <ENT>oxides of nitrogen</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                N
                                                <E T="52">2</E>
                                                O
                                            </ENT>
                                            <ENT>nitrous oxide</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">
                                                O
                                                <E T="52">2</E>
                                            </ENT>
                                            <ENT>molecular oxygen</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">PM</ENT>
                                            <ENT>particulate mass</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">THC</ENT>
                                            <ENT>total hydrocarbon</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">THCE</ENT>
                                            <ENT>total hydrocarbon equivalent</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                         (c) 
                                        <E T="03">Superscripts.</E>
                                         This part uses the following superscripts to define a quantity:
                                    </P>
                                    <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s80,r70">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Superscript</CHED>
                                            <CHED H="1">Quantity</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">
                                                overbar (such as) 
                                                <E T="03">y</E>
                                                <AC T="8"/>
                                            </ENT>
                                            <ENT>arithmetic mean</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                         (d) 
                                        <E T="03">Subscripts.</E>
                                         This part uses the following subscripts to define a quantity:
                                    </P>
                                    <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s50,r100">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Subscript</CHED>
                                            <CHED H="1">Quantity</CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">int</ENT>
                                            <ENT>speed interval</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">abs</ENT>
                                            <ENT>absolute quantity</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">act</ENT>
                                            <ENT>actual or measured condition</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">actint</ENT>
                                            <ENT>actual or measured condition over the speed interval</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">atmos</ENT>
                                            <ENT>atmospheric</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">b</ENT>
                                            <ENT>base</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">c</ENT>
                                            <ENT>coastdown</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">e</ENT>
                                            <ENT>effective</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">error</ENT>
                                            <ENT>error</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">exp</ENT>
                                            <ENT>expected quantity</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">i</ENT>
                                            <ENT>an individual of a series</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">final</ENT>
                                            <ENT>final</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">init</ENT>
                                            <ENT>initial quantity, typically before an emission test</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">max</ENT>
                                            <ENT>
                                                the maximum (
                                                <E T="03">i.e.,</E>
                                                 peak) value expected at the standard over a test interval; not the maximum of an instrument range
                                            </ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">meas</ENT>
                                            <ENT>measured quantity</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">ref</ENT>
                                            <ENT>reference quantity</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">rev</ENT>
                                            <ENT>revolution</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">roll</ENT>
                                            <ENT>dynamometer roll</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">s</ENT>
                                            <ENT>settling</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">sat</ENT>
                                            <ENT>saturated condition</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">si</ENT>
                                            <ENT>speed interval</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">span</ENT>
                                            <ENT>span quantity</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">test</ENT>
                                            <ENT>test quantity</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">uncor</ENT>
                                            <ENT>uncorrected quantity</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">zero</ENT>
                                            <ENT>zero quantity</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <P>
                                         (e) 
                                        <E T="03">Other acronyms and abbreviations.</E>
                                         This part uses the following additional abbreviations and acronyms:
                                    </P>
                                    <GPOTABLE COLS="2" OPTS="L2,tp0,p1,8/9,i1" CDEF="s25,r100">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1"> </CHED>
                                            <CHED H="1"> </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">CFR</ENT>
                                            <ENT>Code of Federal Regulations</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">EPA</ENT>
                                            <ENT>Environmental Protection Agency</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">FID</ENT>
                                            <ENT>flame-ionization detector</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">GVWR</ENT>
                                            <ENT>gross vehicle weight rating</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">NIST</ENT>
                                            <ENT>National Institute for Standards and Technology</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">RESS</ENT>
                                            <ENT>rechargeable energy storage system</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">SAE</ENT>
                                            <ENT>Society of Automotive Engineers</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">U.S.C.</ENT>
                                            <ENT>United States Code</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                </SECTION>
                                <SECTION>
                                    <SECTNO>§ 1066.710 </SECTNO>
                                    <SUBJECT>Reference materials.</SUBJECT>
                                    <P>
                                        (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 
                                        <E T="04">Federal Register</E>
                                         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 
                                        <E T="03">http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.</E>
                                    </P>
                                    <P>
                                        (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), 
                                        <E T="03">http://www.sae.org.</E>
                                    </P>
                                    <P>(1) SAE J1263, Road Load Measurement and Dynamometer Simulation Using Coastdown Techniques, Revised March 2010, IBR approved for §§ 1066.301(b) and 1066.310(b).</P>
                                    <P>
                                        (2) SAE J2263, Road Load Measurement Using Onboard 
                                        <PRTPAGE P="57488"/>
                                        Anemometry and Coastdown Techniques, Revised December 2008, IBR approved for §§ 1066.301(b), and 1066.310(b).
                                    </P>
                                    <P>(3) SAE J2711, Recommended Practice for Measuring Fuel Economy and Emissions of Hybrid-Electric and Conventional Heavy-Duty Vehicles, Issued September 2002, IBR approved for § 1066.501.</P>
                                    <P>
                                        (c) National Institute of Standards and Technology, 100 Bureau Drive, Stop 1070, Gaithersburg, MD 20899-1070, (301) 975-6478, 
                                        <E T="03">http://www.nist.gov,</E>
                                         or 
                                        <E T="03">inquiries@nist.gov.</E>
                                    </P>
                                    <P>(1) NIST Special Publication 811, 2008 Edition, Guide for the Use of the International System of Units (SI), March 2008, IBR approved for §§ 1066.20(a) and 1066.705.</P>
                                    <P>(2) [Reserved]</P>
                                </SECTION>
                            </SUBPART>
                        </PART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1068">
                        <PART>
                            <HD SOURCE="HED">PART 1068—GENERAL COMPLIANCE PROVISIONS FOR HIGHWAY, STATIONARY, AND NONROAD PROGRAMS</HD>
                        </PART>
                        <AMDPAR>94. The authority citation for part 1068 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority: </HD>
                            <P>42 U.S.C. 7401-7671q.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1068">
                        <AMDPAR>95. The heading for part 1068 is revised to read as set forth above.</AMDPAR>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart A—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1068">
                        <AMDPAR>96. Section 1068.1 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1068.1 </SECTNO>
                            <SUBJECT>Does this part apply to me?</SUBJECT>
                            <P>(a) The provisions of this part apply to everyone with respect to the following engines and to equipment using the following engines (including owners, operators, parts manufacturers, and persons performing maintenance):</P>
                            <P>(1) Locomotives we regulate under 40 CFR part 1033.</P>
                            <P>(2) Heavy-duty motor vehicles and motor vehicle engines to the extent and in the manner specified in 40 CFR parts 85, 86, 1036 and 1037.</P>
                            <P>(3) Land-based nonroad compression-ignition engines we regulate under 40 CFR part 1039.</P>
                            <P>(4) Stationary compression-ignition engines certified using the provisions of 40 CFR part 1039, as indicated in 40 CFR part 60, subpart IIII.</P>
                            <P>(5) Marine compression-ignition engines we regulate under 40 CFR part 1042.</P>
                            <P>(6) Marine spark-ignition engines we regulate under 40 CFR part 1045.</P>
                            <P>(7) Large nonroad spark-ignition engines we regulate under 40 CFR part 1048.</P>
                            <P>(8) Stationary spark-ignition engines certified using the provisions of 40 CFR part 1048 or part 1054, as indicated in 40 CFR part 60, subpart JJJJ.</P>
                            <P>(9) Recreational engines and vehicles we regulate under 40 CFR part 1051 (such as snowmobiles and off-highway motorcycles).</P>
                            <P>(10) Small nonroad spark-ignition engines we regulate under 40 CFR part 1054.</P>
                            <P>(b) This part does not apply to any of the following engine or vehicle categories, except as specified in paragraph (d) of this section or as specified in other parts:</P>
                            <P>(1) Light-duty motor vehicles (see 40 CFR part 86).</P>
                            <P>(2) Highway motorcycles (see 40 CFR part 86).</P>
                            <P>(3) Aircraft engines (see 40 CFR part 87).</P>
                            <P>(4) Land-based nonroad compression-ignition engines we regulate under 40 CFR part 89.</P>
                            <P>(5) Small nonroad spark-ignition engines we regulate under 40 CFR part 90.</P>
                            <P>(c) Paragraph (a) of this section identifies the parts of the CFR that define emission standards and other requirements for particular types of engines and equipment. This part 1068 refers to each of these other parts generically as the “standard-setting part.” For example, 40 CFR part 1051 is always the standard-setting part for snowmobiles. Follow the provisions of the standard-setting part if they are different than any of the provisions in this part.</P>
                            <P>(d) Specific provisions in this part 1068 start to apply separate from the schedule for certifying engines to new emission standards, as follows:</P>
                            <P>(1) The provisions of §§ 1068.30 and 1068.310 apply for stationary spark-ignition engines built on or after January 1, 2004, and for stationary compression-ignition engines built on or after January 1, 2006.</P>
                            <P>(2) The provisions of §§ 1068.30 and 1068.235 apply for the types of engines/equipment listed in paragraph (a) of this section beginning January 1, 2004, if they are used solely for competition.</P>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart C—[Amended]</HD>
                        </SUBPART>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1068">
                        <AMDPAR>97. Section 1068.210 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1068.210 </SECTNO>
                            <SUBJECT>What are the provisions for exempting test engines/equipment?</SUBJECT>
                            <P>(a) We may exempt engines/equipment that you will use for research, investigations, studies, demonstrations, or training. Note that you are not required to get an exemption under this section for engines that are exempted under other provisions of this part, such as the manufacturer-owned exemption in § 1068.215.</P>
                            <P>(b) Anyone may ask for a testing exemption.</P>
                            <P>(c) If you are a certificate holder, you may request an exemption for engines/equipment you intend to include in test programs over a two-year period.</P>
                            <P>(1) In your request, tell us the maximum number of engines/equipment involved and describe how you will make sure exempted engines/equipment are used only for this testing. For example, if the exemption will involve other companies using your engines/equipment, describe your plans to track individual units so you can properly report on their final disposition.</P>
                            <P>(2) Give us the information described in paragraph (d) of this section if we ask for it.</P>
                            <P>(d) If you are not a certificate holder, do all the following things:</P>
                            <P>(1) Show that the proposed test program has a valid purpose under paragraph (a) of this section.</P>
                            <P>(2) Show you need an exemption to achieve the purpose of the test program (time constraints may be a basis for needing an exemption, but the cost of certification alone is not).</P>
                            <P>(3) Estimate the duration of the proposed test program and the number of engines/equipment involved.</P>
                            <P>(4) Allow us to monitor the testing.</P>
                            <P>(5) Describe how you will ensure that you stay within this exemption's purposes. Address at least the following things:</P>
                            <P>(i) The technical nature of the test.</P>
                            <P>(ii) The test site.</P>
                            <P>(iii) The duration and accumulated engine/equipment operation associated with the test.</P>
                            <P>(iv) Ownership and control of the engines/equipment involved in the test.</P>
                            <P>(v) The intended final disposition of the engines/equipment.</P>
                            <P>(vi) How you will identify, record, and make available the engine/equipment identification numbers.</P>
                            <P>(vii) The means or procedure for recording test results.</P>
                            <P>(e) If we approve your request for a testing exemption, we will send you a letter or a memorandum describing the basis and scope of the exemption. It will also include any necessary terms and conditions, which normally require you to do the following:</P>
                            <P>(1) Stay within the scope of the exemption.</P>
                            <P>(2) Create and maintain adequate records that we may inspect.</P>
                            <P>
                                (3) Add a permanent label to all engines/equipment exempted under this section, consistent with § 1068.45, with at least the following items:
                                <PRTPAGE P="57489"/>
                            </P>
                            <P>(i) The label heading “EMISSION CONTROL INFORMATION”.</P>
                            <P>(ii) Your corporate name and trademark.</P>
                            <P>(iii) Engine displacement, family identification, and model year of the engine/equipment (as applicable), or whom to contact for further information.</P>
                            <P>(iv) One of these statements (as applicable):</P>
                            <P>(A) “THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.”</P>
                            <P>(B) “THIS EQUIPMENT IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.”</P>
                            <P>(4) Tell us when the test program is finished.</P>
                            <P>(5) Tell us the final disposition of the engines/equipment.</P>
                            <P>(6) Send us a written confirmation that you meet the terms and conditions of this exemption.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="40" PART="1068">
                        <AMDPAR>98. Section 1068.235 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1068.235 </SECTNO>
                            <SUBJECT>What are the provisions for exempting engines/equipment used solely for competition?</SUBJECT>
                            <P>(a) New engines/equipment you produce that are used solely for competition are generally excluded from emission standards. See the standard-setting parts for specific provisions where applicable.</P>
                            <P>(b) If you modify any nonroad engines/equipment after they have been placed into service in the United States so they will be used solely for competition, they are exempt without request. This exemption applies only to the prohibition in § 1068.101(b)(1) and is valid only as long as the engine/equipment is used solely for competition. You may not use the provisions of this paragraph (b) to circumvent the requirements that apply to the sale of new competition engines under the standard-setting part.</P>
                            <P>(c) If you modify any nonroad engines/equipment under paragraph (b) of this section, you must destroy the original emission labels. If you loan, lease, sell, or give any of these engines/equipment to someone else, you must tell the new owner (or operator, if applicable) in writing that they may be used only for competition.</P>
                        </SECTION>
                        <SUBPART>
                            <HD SOURCE="HED">Subpart D—[Amended]</HD>
                        </SUBPART>
                        <AMDPAR>99. Section 1068.325 is revised to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 1068.325 </SECTNO>
                            <SUBJECT>What are the temporary exemptions for imported engines/equipment?</SUBJECT>
                            <P>You may import engines/equipment under certain temporary exemptions, subject to the conditions in this section. We may ask U.S. Customs and Border Protection to require a specific bond amount to make sure you comply with the requirements of this subpart. You may not sell or lease one of these engines/equipment while it is in the United States except as specified in this section or § 1068.201(i). You must eventually export the engine/equipment as we describe in this section unless it conforms to a certificate of conformity or it qualifies for one of the permanent exemptions in § 1068.315.</P>
                            <P>
                                (a) 
                                <E T="03">Exemption for repairs or alterations.</E>
                                 You may temporarily import nonconforming engines/equipment under bond solely for repair or alteration, subject to our advance approval as described in paragraph (j) of this section. You may operate the engine/equipment in the United States only as necessary to repair it, alter it, or ship it to or from the service location. Export the engine/equipment directly after servicing is complete.
                            </P>
                            <P>
                                (b) 
                                <E T="03">Testing exemption.</E>
                                 You may temporarily import nonconforming engines/equipment under bond for testing if you follow the requirements of § 1068.210, subject to our advance approval as described in paragraph (j) of this section. You may operate the engines/equipment in the United States only as needed to perform tests. This exemption expires one year after you import the engine/equipment unless we approve an extension. The engine/equipment must be exported before the exemption expires. You may sell or lease the engines/equipment consistent with the provisions of § 1068.210.
                            </P>
                            <P>
                                (c) 
                                <E T="03">Display exemption.</E>
                                 You may temporarily import nonconforming engines/equipment under bond for display if you follow the requirements of § 1068.220, subject to our advance approval as described in paragraph (j) of this section. This exemption expires one year after you import the engine/equipment, unless we approve your request for an extension. We may approve an extension of up to one more year for each request, but no more than three years total. The engine/equipment must be exported by the time the exemption expires or directly after the display concludes, whichever comes first.
                            </P>
                            <P>
                                (d) 
                                <E T="03">Export exemption.</E>
                                 You may temporarily import nonconforming engines/equipment to export them, as described in § 1068.230. You may operate the engine/equipment in the United States only as needed to prepare it for export. Label the engine/equipment as described in § 1068.230. You may sell or lease the engines/equipment for operation outside the United States consistent with the provisions of § 1068.230.
                            </P>
                            <P>
                                (e) 
                                <E T="03">Diplomatic or military exemption.</E>
                                 You may temporarily import nonconforming engines/equipment without bond if you represent a foreign government in a diplomatic or military capacity. In your request to the Designated Compliance Officer (see § 1068.305), include either written confirmation from the U.S. State Department that you qualify for this exemption or a copy of your orders for military duty in the United States. We will rely on the State Department or your military orders to determine when your diplomatic or military status expires, at which time you must export your exempt engines/equipment.
                            </P>
                            <P>
                                (f) 
                                <E T="03">Delegated-assembly exemption.</E>
                                 You may import a nonconforming engine for final assembly under the provisions of § 1068.261. You may sell or lease the engines/equipment consistent with the provisions of § 1068.261.
                            </P>
                            <P>
                                (g) 
                                <E T="03">Exemption for partially complete engines.</E>
                                 You may import an engine if another company already has a certificate of conformity and will be modifying the engine to be in its final certified configuration or a final exempt configuration under the provisions of § 1068.262. You may also import a partially complete engine by shipping it from one of your facilities to another under the provisions of § 1068.260(c). If you are importing a used engine that becomes new as a result of importation, you must meet all the requirements that apply to original engine manufacturers under § 1068.262. You may sell or lease the engines consistent with the provisions of § 1068.262.
                            </P>
                            <P>(h) [Reserved]</P>
                            <P>(i) [Reserved]</P>
                            <P>
                                (j) 
                                <E T="03">Approvals.</E>
                                 For the exemptions in this section requiring our approval, you must send a request to the Designated Compliance Officer before importing the engines/equipment. We will approve your request if you meet all the applicable requirements and conditions. If another section separately requires that you request approval for the exemption, you may combine the information requirements in a single request. Include the following information in your request:
                            </P>
                            <P>
                                (1) Identify the importer of the engine/equipment and the applicable postal address, e-mail address, and telephone number.
                                <PRTPAGE P="57490"/>
                            </P>
                            <P>(2) Identify the engine/equipment owner and the applicable postal address, e-mail address, and telephone number.</P>
                            <P>(3) Identify the engine/equipment by model number (or name), serial number, and original production year.</P>
                            <P>(4) Identify the specific regulatory provision under which you are seeking an exemption.</P>
                            <P>(5) Authorize EPA enforcement officers to conduct inspections or testing as allowed under the Clean Air Act.</P>
                            <P>(6) Include any additional information we specify for demonstrating that you qualify for the exemption.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="523">
                        <HD SOURCE="HD1">Department of Transportation</HD>
                        <HD SOURCE="HD2">National Highway Traffic Safety Administration</HD>
                        <HD SOURCE="HD1">49 CFR Chapter V</HD>
                        <P>In consideration of the foregoing, under the authority of 49 U.S.C. 32901 and 32902 and delegation of authority at 49 CFR 1.50, NHTSA amends 49 CFR chapter V as follows:</P>
                        <PART>
                            <HD SOURCE="HED">PART 523—VEHICLE CLASSIFICATION</HD>
                        </PART>
                        <AMDPAR>100. The authority citation for part 523 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority: </HD>
                            <P>49 U.S.C. 32901; delegation of authority at 49 CFR 1.50.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="523">
                        <AMDPAR>101. Revise § 523.2 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 523.2 </SECTNO>
                            <SUBJECT>Definitions.</SUBJECT>
                            <P>As used in this part:</P>
                            <P>
                                <E T="03">Approach angle</E>
                                 means the smallest angle, in a plane side view of an automobile, formed by the level surface on which the automobile is standing and a line tangent to the front tire static loaded radius arc and touching the underside of the automobile forward of the front tire.
                            </P>
                            <P>
                                <E T="03">Axle clearance</E>
                                 means the vertical distance from the level surface on which an automobile is standing to the lowest point on the axle differential of the automobile.
                            </P>
                            <P>
                                <E T="03">Base tire</E>
                                 means the tire specified as standard equipment by a manufacturer on each subconfiguration of a model type.
                            </P>
                            <P>
                                <E T="03">Basic vehicle frontal area</E>
                                 is used as defined in 40 CFR 86.1803.
                            </P>
                            <P>
                                <E T="03">Breakover angle</E>
                                 means the supplement of the largest angle, in the plan side view of an automobile that can be formed by two lines tangent to the front and rear static loaded radii arcs and intersecting at a point on the underside of the automobile.
                            </P>
                            <P>
                                <E T="03">Cab-complete vehicle</E>
                                 means a vehicle that is first sold as an incomplete vehicle that substantially includes the vehicle cab section as defined in 40 CFR 1037.801. For example, vehicles known commercially as chassis-cabs, cab-chassis, box-deletes, bed-deletes, cut-away vans are considered cab-complete vehicles. A cab includes a steering column and passenger compartment. Note a vehicle lacking some components of the cab is a cab-complete vehicle if it substantially includes the cab.
                            </P>
                            <P>
                                <E T="03">Cargo-carrying volume</E>
                                 means the luggage capacity or cargo volume index, as appropriate, and as those terms are defined in 40 CFR 600.315, in the case of automobiles to which either of those terms apply. With respect to automobiles to which neither of those terms apply “cargo-carrying volume” means the total volume in cubic feet rounded to the nearest 0.1 cubic feet of either an automobile's enclosed nonseating space that is intended primarily for carrying cargo and is not accessible from the passenger compartment, or the space intended primarily for carrying cargo bounded in the front by a vertical plane that is perpendicular to the longitudinal centerline of the automobile and passes through the rearmost point on the rearmost seat and elsewhere by the automobile's interior surfaces.
                            </P>
                            <P>
                                <E T="03">Class 2b vehicles</E>
                                 are vehicles with a gross vehicle weight rating (GVWR) ranging from 8,501 to 10,000 pounds.
                            </P>
                            <P>
                                <E T="03">Class 3 through Class 8 vehicles</E>
                                 are vehicles with a gross vehicle weight rating (GVWR) of 10,001 pounds or more as defined in 49 CFR 565.15.
                            </P>
                            <P>
                                <E T="03">Commercial medium- and heavy-duty on-highway vehicle</E>
                                 means an on-highway vehicle with a gross vehicle weight rating of 10,000 pounds or more as defined in 49 U.S.C. 32901(a)(7).
                            </P>
                            <P>
                                <E T="03">Complete vehicle</E>
                                 means a vehicle that requires no further manufacturing operations to perform its intended function and is a functioning vehicle that has the primary load carrying device or container (or equivalent equipment) attached or that is designed to pull a trailer. Examples of equivalent equipment would include fifth wheel trailer hitches, firefighting equipment, and utility booms.
                            </P>
                            <P>
                                <E T="03">Curb weight</E>
                                 is defined the same as 
                                <E T="03">vehicle curb weight</E>
                                 in 40 CFR 86.1803-01.
                            </P>
                            <P>
                                <E T="03">Departure angle</E>
                                 means the smallest angle, in a plane side view of an automobile, formed by the level surface on which the automobile is standing and a line tangent to the rear tire static loaded radius arc and touching the underside of the automobile rearward of the rear tire.
                            </P>
                            <P>
                                <E T="03">Final stage manufacturer</E>
                                 has the meaning given in 49 CFR 567.3.
                            </P>
                            <P>
                                <E T="03">Footprint</E>
                                 is defined as the product of track width (measured in inches, calculated as the average of front and rear track widths, and rounded to the nearest tenth of an inch) times wheelbase (measured in inches and rounded to the nearest tenth of an inch), divided by 144 and then rounded to the nearest tenth of a square foot. For purposes of this definition, track width is the lateral distance between the centerlines of the base tires at ground, including the camber angle. For purposes of this definition, wheelbase is the longitudinal distance between front and rear wheel centerlines.
                            </P>
                            <P>
                                <E T="03">Gross combination weight rating or GCWR</E>
                                 means the value specified by the manufacturer as the maximum allowable loaded weight of a combination vehicle (
                                <E T="03">e.g.</E>
                                 tractor plus trailer).
                            </P>
                            <P>
                                <E T="03">Gross vehicle weight rating or GVWR</E>
                                 means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle (
                                <E T="03">e.g.</E>
                                 vocational vehicle).
                            </P>
                            <P>
                                <E T="03">Heavy-duty engine</E>
                                 means any engine used for (or for which the engine manufacturer could reasonably expect to be used for) motive power in a heavy-duty vehicle. For purposes of this definition in this part, the term “engine” includes internal combustion engines and other devices that convert chemical fuel into motive power. For example, a fuel cell and motor used in a heavy-duty vehicle is a heavy-duty engine.
                            </P>
                            <P>
                                <E T="03">Heavy-duty off-road vehicle</E>
                                 means a heavy-duty vocational vehicle or vocational tractor that is intended for off-road use meeting either of the following criteria:
                            </P>
                            <P>(1) Vehicles with tires installed having a maximum speed rating at or below 55 mph.</P>
                            <P>(2) Vehicles primarily designed to perform work off-road (such as in oil fields, forests, or construction sites), and meeting at least one of the criteria of paragraph (2)(i) of this definition and at least one of the criteria of paragraph (2)(ii) of this definition.</P>
                            <P>(i) Vehicle must have affixed components designed to work in an off-road environment (for example, hazardous material equipment or drilling equipment) or was designed to operate at low speeds making them unsuitable for normal highway operation.</P>
                            <P>(ii) Vehicles must:</P>
                            <P>(A) Have an axle that has a gross axle weight rating (GAWR) of 29,000 pounds or more;</P>
                            <P>(B) Have a speed attainable in 2 miles of not more than 33 mph; or</P>
                            <P>
                                (C) Have a speed attainable in 2 miles of not more than 45 mph, an unloaded vehicle weight that is not less than 95 
                                <PRTPAGE P="57491"/>
                                percent of its gross vehicle weight rating (GVWR), and no capacity to carry occupants other than the driver and operating crew.
                            </P>
                            <P>
                                <E T="03">Heavy-duty vehicle</E>
                                 means a vehicle as defined in § 523.6.
                            </P>
                            <P>
                                <E T="03">Incomplete vehicle</E>
                                 means a vehicle which does not have the primary load carrying device or container attached when it is first sold as a vehicle or any vehicle that does not meet the definition of a complete vehicle. This may include vehicles sold to secondary vehicle manufacturers. Incomplete vehicles include cab-complete vehicles.
                            </P>
                            <P>
                                <E T="03">Innovative technology</E>
                                 means technology certified under 40 CFR 1037.610.
                            </P>
                            <P>
                                <E T="03">Light truck</E>
                                 means a non-passenger automobile meeting the criteria in § 523.5.
                            </P>
                            <P>
                                <E T="03">Medium duty passenger vehicle</E>
                                 means a vehicle which would satisfy the criteria in § 523.5 (relating to light trucks) but for its gross vehicle weight rating or its curb weight, which is rated at more than 8,500 lbs GVWR or has a vehicle curb weight of more than 6,000 pounds or has a basic vehicle frontal area in excess of 45 square feet, and which is designed primarily to transport passengers, but does not include a vehicle that:
                            </P>
                            <P>(1) Is an “incomplete vehicle”' as defined in this subpart; or</P>
                            <P>(2) Has a seating capacity of more than 12 persons; or</P>
                            <P>(3) Is designed for more than 9 persons in seating rearward of the driver's seat; or</P>
                            <P>(4) Is equipped with an open cargo area (for example, a pick-up truck box or bed) of 72.0 inches in interior length or more. A covered box not readily accessible from the passenger compartment will be considered an open cargo area for purposes of this definition.</P>
                            <P>
                                <E T="03">Motor home</E>
                                 has the meaning given in 49 CFR 571.3.
                            </P>
                            <P>
                                <E T="03">Motor vehicle</E>
                                 has the meaning given in 40 CFR 85.1703.
                            </P>
                            <P>
                                <E T="03">Passenger-carrying volume</E>
                                 means the sum of the front seat volume and, if any, rear seat volume, as defined in 40 CFR 600.315, in the case of automobiles to which that term applies. With respect to automobiles to which that term does not apply, “passenger-carrying volume” means the sum in cubic feet, rounded to the nearest 0.1 cubic feet, of the volume of a vehicle's front seat and seats to the rear of the front seat, as applicable, calculated as follows with the head room, shoulder room, and leg room dimensions determined in accordance with the procedures outlined in Society of Automotive Engineers Recommended Practice J1100a, Motor Vehicle Dimensions (Report of Human Factors Engineering Committee, Society of Automotive Engineers, approved September 1973 and last revised September 1975).
                            </P>
                            <P>(1) For front seat volume, divide 1,728 into the product of the following SAE dimensions, measured in inches to the nearest 0.1 inches, and round the quotient to the nearest 0.001 cubic feet.</P>
                            <P>(i) H61-Effective head room—front.</P>
                            <P>(ii) W3-Shoulder room—front.</P>
                            <P>(iii) L34-Maximum effective leg room-accelerator.</P>
                            <P>(2) For the volume of seats to the rear of the front seat, divide 1,728 into the product of the following SAE dimensions, measured in inches to the nearest 0.1 inches, and rounded the quotient to the nearest 0.001 cubic feet.</P>
                            <P>(i) H63-Effective head room—second.</P>
                            <P>(ii) W4-Shoulder room—second.</P>
                            <P>(iii) L51-Minimum effective leg room—second.</P>
                            <P>
                                <E T="03">Pickup truck</E>
                                 means a non-passenger automobile which has a passenger compartment and an open cargo area (bed).
                            </P>
                            <P>
                                <E T="03">Recreational vehicle or RV</E>
                                 means a motor vehicle equipped with living space and amenities found in a motor home.
                            </P>
                            <P>
                                <E T="03">Running clearance</E>
                                 means the distance from the surface on which an automobile is standing to the lowest point on the automobile, excluding unsprung weight.
                            </P>
                            <P>
                                <E T="03">Static loaded radius arc</E>
                                 means a portion of a circle whose center is the center of a standard tire-rim combination of an automobile and whose radius is the distance from that center to the level surface on which the automobile is standing, measured with the automobile at curb weight, the wheel parallel to the vehicle's longitudinal centerline, and the tire inflated to the manufacturer's recommended pressure.
                            </P>
                            <P>
                                <E T="03">Temporary living quarters</E>
                                 means a space in the interior of an automobile in which people may temporarily live and which includes sleeping surfaces, such as beds, and household conveniences, such as a sink, stove, refrigerator, or toilet.
                            </P>
                            <P>
                                <E T="03">Van</E>
                                 means a vehicle with a body that fully encloses the driver and a cargo carrying or work performing compartment. The distance from the leading edge of the windshield to the foremost body section of vans is typically shorter than that of pickup trucks and sport utility vehicles.
                            </P>
                            <P>
                                <E T="03">Vocational tractor</E>
                                 means a tractor that is classified as a vocational vehicle according to 40 CFR 1037.630.
                            </P>
                            <P>
                                <E T="03">Vocational vehicle</E>
                                 means a vehicle that is equipped for a particular industry, trade or occupation such as construction, heavy hauling, mining, logging, oil fields, refuse and includes vehicles such as school buses, motorcoaches and RVs.
                            </P>
                            <P>
                                <E T="03">Work truck</E>
                                 means a vehicle that is rated at more than 8,500 pounds and less than or equal to 10,000 pounds gross vehicle weight, and is not a medium-duty passenger vehicle as defined in 40 CFR 86.1803 effective as of December 20, 2007.
                            </P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="523">
                        <AMDPAR>102. Add a new § 523.6 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 523.6 </SECTNO>
                            <SUBJECT>Heavy-duty vehicle.</SUBJECT>
                            <P>(a) A heavy-duty vehicle is any commercial medium- and heavy-duty on highway vehicle or a work truck, as defined in 49 U.S.C. 32901(a)(7) and (19). For the purpose of this part, heavy-duty vehicles are divided into three regulatory categories as follows:</P>
                            <P>(1) Heavy-duty pickup trucks and vans;</P>
                            <P>(2) Heavy-duty vocational vehicles; and</P>
                            <P>(3) Truck tractors with a GVWR above 26,000 pounds.</P>
                            <P>(b) The heavy-duty vehicle classification does not include:</P>
                            <P>(1) Vehicles defined as medium duty passenger vehicles.</P>
                            <P>(2) Vehicles excluded from the definition of “heavy-duty vehicle” because of vehicle weight or weight rating (such as light duty vehicles as defined in § 523.5).</P>
                            <P>(3) Vehicles excluded from the definition of motor vehicle in 40 CFR 85.1703.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="523">
                        <AMDPAR>103. Add a new § 523.7 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 523.7 </SECTNO>
                            <SUBJECT>Heavy-duty pickup trucks and vans.</SUBJECT>
                            <P>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. A manufacturer may also optionally designate incomplete or complete Class 4 or 5 vehicles as heavy-duty pickup trucks or vans or spark-ignition (or gasoline) engines certified and sold as loose engines manufactured for use in heavy-duty pickup trucks or vans. See references in 40 CFR 1037.104 and 40 CFR 1037.150.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="523">
                        <AMDPAR>104. Add a new § 523.8 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 523.8 </SECTNO>
                            <SUBJECT>Heavy-duty vocational vehicle.</SUBJECT>
                            <P>
                                Heavy-duty vocational vehicles are vehicles with a gross vehicle weight 
                                <PRTPAGE P="57492"/>
                                rating (GVWR) above 8,500 pounds excluding:
                            </P>
                            <P>(a) Heavy-duty pickup trucks and vans defined in § 523.7;</P>
                            <P>(b) Medium duty passenger vehicles; and</P>
                            <P>(c) Truck tractors, except vocational tractors, with a GVWR above 26,000 pounds;</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="523">
                        <AMDPAR>105. Add a new § 523.9 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 523.9 </SECTNO>
                            <SUBJECT>Truck tractors.</SUBJECT>
                            <P>Truck tractors for the purpose of this part are considered as any truck tractor as defined in 49 CFR part 571 having a GVWR above 26,000 pounds.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="534">
                        <PART>
                            <HD SOURCE="HED">PART 534—RIGHTS AND RESPONSIBILITIES OF MANUFACTURERS IN THE CONTEXT OF CHANGES IN CORPORATE RELATIONSHIPS</HD>
                        </PART>
                        <AMDPAR>106. The authority citation for part 534 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority: </HD>
                            <P>49 U.S.C. 32901; delegation of authority at 49 CFR 1.50.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="534">
                        <AMDPAR>107. Revise § 534.1 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 534.1 </SECTNO>
                            <SUBJECT>Scope.</SUBJECT>
                            <P>This part defines the rights and responsibilities of manufacturers in the context of changes in corporate relationships for purposes of the fuel economy and fuel consumption programs established by 49 U.S.C. chapter 329.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="534">
                        <AMDPAR>108. Revise § 534.2 to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 534.2 </SECTNO>
                            <SUBJECT>Applicability.</SUBJECT>
                            <P>This part applies to manufacturers of passenger automobiles, light trucks, heavy-duty vehicles and the engines manufactured for use in heavy-duty vehicles as defined in 49 CFR part 523.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="534">
                        <AMDPAR>109. Revise § 534.4 to read as follows.</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 534.4 </SECTNO>
                            <SUBJECT>Successors and predecessors.</SUBJECT>
                            <P>For purposes of the fuel economy and fuel consumption programs, “manufacturer” includes “predecessors” and “successors” to the extent specified in this section.</P>
                            <P>(a) Successors are responsible for any civil penalties that arise out of fuel economy and fuel consumption shortfalls incurred and not satisfied by predecessors.</P>
                            <P>(b) If one manufacturer has become the successor of another manufacturer during a model year, all of the vehicles or engines produced by those manufacturers during the model year are treated as though they were manufactured by the same manufacturer. A manufacturer is considered to have become the successor of another manufacturer during a model year if it is the successor on September 30 of the corresponding calendar year and was not the successor for the preceding model year.</P>
                            <P>(c)(1) For passenger automobiles and light trucks, fuel economy credits earned by a predecessor before or during model year 2007 may be used by a successor, subject to the availability of credits and the general three-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward. Fuel economy credits earned by a predecessor after model year 2007 may be used by a successor, subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward.</P>
                            <P>(2) For heavy-duty vehicles and heavy-duty vehicle engines, available fuel consumption credits earned by a predecessor after model year 2015, and in model years 2013, 2014 and 2015 if a manufacturer voluntarily complies in those model years, may be used by a successor, subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three year restriction on carrying credits backward.</P>
                            <P>(d)(1) For passenger automobiles and light trucks, fuel economy credits earned by a successor before or during model year 2007 may be used to offset a predecessor's shortfall, subject to the availability of credits and the general three-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward. Credits earned by a successor after model year 2007 may be used to offset a predecessor's shortfall, subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward.</P>
                            <P>(2) For heavy-duty vehicles and heavy-duty vehicle engines, available credits earned by a successor after model year 2015, and in model years 2013, 2014 and 2015, if a manufacturer voluntarily complies in those model years, may be used by a predecessor subject to the availability of credits and the general five-year restriction on carrying credits forward and the general three year restriction on carrying credits backward.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="534">
                        <AMDPAR>110. Amend § 534.5 by revising paragraphs (a), (c), and (d) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 534.5 </SECTNO>
                            <SUBJECT>Manufacturers within control relationships.</SUBJECT>
                            <P>(a) If a civil penalty arises out of a fuel economy or fuel consumption shortfall incurred by a group of manufacturers within a control relationship, each manufacturer within that group is jointly and severally liable for the civil penalty.</P>
                            <STARS/>
                            <P>(c)(1) For passenger automobiles and light trucks, fuel economy credits of a manufacturer within a control relationship may be used by the group of manufacturers within the control relationship to offset shortfalls, subject to the agreement of the other manufacturers, the availability of the credits, and the general three year restriction on carrying credits forward or backward prior to or during model year 2007, or the general five year restriction on carrying credits forward and the general three-year restriction on carrying credits backward after model year 2007.</P>
                            <P>
                                (2) For heavy-duty vehicles and heavy-duty engines, credits of a manufacturer within a control relationship may be used by the group of manufacturers within the control relationship to offset shortfalls, subject to the agreement of the other manufacturers, the availability of the credits, the general 5-year restriction on carrying credits forward, and the general three year restriction on offsetting past credit shortfalls as specified in the requirements of 49 CFR 535.7
                                <E T="03">.</E>
                            </P>
                            <P>(d)(1) For passenger automobiles and light trucks, if a manufacturer within a group of manufacturers is sold or otherwise spun off so that it is no longer within that control relationship, the manufacturer may use credits that were earned by the group of manufacturers within the control relationship while the manufacturer was within that relationship, subject to the agreement of the other manufacturers, the availability of the credits, and the general three-year restriction on carrying credits forward or backward prior to or during model year 2007, or the general five-year restriction on carrying credits forward and the general three-year restriction on carrying credits backward after model year 2007.</P>
                            <P>
                                (2) For heavy-duty vehicles and heavy-duty vehicle engines, if a manufacturer within a group of manufacturers is sold or otherwise spun off so that it is no longer within that control relationship, the manufacturer may use credits that were earned by the group of manufacturers within the control relationship while the manufacturer was within that relationship, subject to the agreement of the other manufacturers, the availability of the credits, the general 5-year restriction on carrying credits forward, 
                                <PRTPAGE P="57493"/>
                                and the general three year restriction on offsetting past credit shortfalls as specified in the requirements of 49 CFR 535.7.
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="534">
                        <AMDPAR>111. Revise § 534.6 to read as follows.</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 534.6 </SECTNO>
                            <SUBJECT>Reporting corporate transactions.</SUBJECT>
                            <P>Manufacturers who have entered into written contracts transferring rights and responsibilities such that a different manufacturer owns the controlling stock or exerts control over the design, production or sale of automobiles or heavy-duty vehicles to which Corporate Average Fuel Economy or Fuel Consumption standards apply shall report the contract to the agency as follows:</P>
                            <P>(a) The manufacturers must file a certified report with the agency affirmatively stating that the contract transfers rights and responsibilities between them such that one manufacturer has assumed a controlling stock ownership or control over the design, production or sale of vehicles. The report must also specify the first full model year to which the transaction will apply.</P>
                            <P>(b) Each report shall—</P>
                            <P>(1) Identify each manufacturer;</P>
                            <P>(2) State the full name, title, and address of the official responsible for preparing the report;</P>
                            <P>(3) Identify the production year being reported on;</P>
                            <P>(4) Be written in the English language; and</P>
                            <P>(5) Be submitted to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590.</P>
                            <P>(c) The manufacturers may seek confidential treatment for information provided in the certified report in accordance with 49 CFR part 512.</P>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="49" PART="535">
                        <AMDPAR>112. A new part 535 is added to chapter V to read as follows:</AMDPAR>
                        <PART>
                            <HD SOURCE="HED">PART 535 MEDIUM- AND HEAVY-DUTY VEHICLE FUEL EFFICIENCY PROGRAM</HD>
                            <CONTENTS>
                                <SECHD>Sec.</SECHD>
                                <SECTNO>535.1 </SECTNO>
                                <SUBJECT>Scope.</SUBJECT>
                                <SECTNO>535.2 </SECTNO>
                                <SUBJECT>Purpose.</SUBJECT>
                                <SECTNO>535.3 </SECTNO>
                                <SUBJECT>Applicability.</SUBJECT>
                                <SECTNO>535.4 </SECTNO>
                                <SUBJECT>Definitions.</SUBJECT>
                                <SECTNO>535.5 </SECTNO>
                                <SUBJECT>Standards.</SUBJECT>
                                <SECTNO>535.6 </SECTNO>
                                <SUBJECT>Measurement and calculation procedures.</SUBJECT>
                                <SECTNO>535.7 </SECTNO>
                                <SUBJECT>Averaging, banking, and trading (ABT) program.</SUBJECT>
                                <SECTNO>535.8 </SECTNO>
                                <SUBJECT>Reporting requirements.</SUBJECT>
                                <SECTNO>535.9 </SECTNO>
                                <SUBJECT>Enforcement approach.</SUBJECT>
                            </CONTENTS>
                            <AUTH>
                                <HD SOURCE="HED">Authority: </HD>
                                <P>49 U.S.C. 32902; delegation of authority at 49 CFR 1.50.</P>
                            </AUTH>
                            <SECTION>
                                <SECTNO>§ 535.1 </SECTNO>
                                <SUBJECT>Scope.</SUBJECT>
                                <P>This part establishes fuel consumption standards pursuant to 49 U.S.C. 32902(k) for work trucks and commercial medium-duty and heavy-duty on-highway vehicles (hereafter referenced as heavy-duty vehicles) and engines manufactured for sale in the United States and establishes a credit program manufacturers may use to comply with standards and requirements for manufacturers to provide reports to the National Highway Traffic Safety Administration regarding their efforts to reduce the fuel consumption of these vehicles.</P>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.2 </SECTNO>
                                <SUBJECT>Purpose.</SUBJECT>
                                <P>The purpose of this part is to reduce the fuel consumption of new heavy-duty vehicles by establishing maximum levels for fuel consumption standards while providing a flexible credit program to assist manufacturers in complying with standards.</P>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.3 </SECTNO>
                                <SUBJECT>Applicability.</SUBJECT>
                                <P>(a) This part applies to complete vehicle and chassis manufacturers of all new heavy-duty vehicles, as defined in 49 CFR part 523, and to the manufacturers of all heavy-duty engines manufactured for use in the applicable vehicles for each given model year.</P>
                                <P>(b) Complete vehicle manufacturers, for the purpose of this part, include manufacturers that produce heavy-duty pickup trucks and vans or truck tractors as complete vehicles and that hold the EPA certificate of conformity.</P>
                                <P>(c) Chassis manufacturers, for the purpose of this part, include manufacturers 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.</P>
                                <P>(d) Engine manufacturer, for the purpose of this part, means a manufacturer that manufactures engines for heavy-duty vehicles and holds the EPA certificate of conformity.</P>
                                <P>(e) The heavy-duty vehicles, chassis and engines excluded from the requirements of this part include:</P>
                                <P>(1) Recreational vehicles, including motor homes.</P>
                                <P>(2) Vehicles and engines exempted by EPA in accordance with 40 CFR parts 1036 and 1037.</P>
                                <P>(f) Vehicles and engines produced by small business manufacturers as defined by the Small Business Administration at 13 CFR 121.201 are exempted as specified in § 535.8(h).</P>
                                <P>(g) Heavy-duty off-road vehicles meeting the criteria in 49 CFR part 523 are exempt without request from vehicle standards of § 535.5(b). Manufacturers of vehicles not meeting the criteria for the heavy-duty off-road vehicle exclusion may submit a petition as specified in § 535.8(h) to EPA and NHTSA for an exclusion from the vehicle standards of § 535.5(b).</P>
                                <P>(h) A vehicle manufacturer that completes assembly of a vehicle at two or more facilities may ask to use as the date of manufacture for that vehicle the date on which manufacturing is completed at the place of main assembly, consistent with provisions of 49 CFR 567.4, as the model year. Note that such staged assembly is subject to the provisions of 40 CFR 1068.260(c). NHTSA's allowance of this provision is effective when EPA approves the manufacturer's certificates of conformity for these vehicles.</P>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.4 </SECTNO>
                                <SUBJECT>Definitions.</SUBJECT>
                                <P>The terms manufacture and manufacturer are used as defined in section 501 of the Act and the terms commercial medium-duty and heavy-duty on highway vehicle, fuel and work truck are used as defined in 49 U.S.C. 32901.</P>
                                <P>
                                    <E T="03">A to B testing</E>
                                     means testing performed in pairs to allow comparison of vehicle A to vehicle B.
                                </P>
                                <P>
                                    <E T="03">Act</E>
                                     means the Motor Vehicle Information and Cost Savings Act, as amended by Pub. L. 94-163 and 96-425.
                                </P>
                                <P>
                                    <E T="03">Administrator</E>
                                     means the Administrator of the National Highway Traffic Safety Administration (NHTSA) or the Administrator's delegate.
                                </P>
                                <P>
                                    <E T="03">Advanced technology</E>
                                     means vehicle technology certified under 40 CFR 1036.615 and 1037.615.
                                </P>
                                <P>
                                    <E T="03">Averaging set</E>
                                     means, a set of engines or vehicles in which fuel consumption credits may be exchanged. Credits generated by one engine or vehicle family may only be used by other respective engine or vehicle families in the same averaging set. Note that an averaging set may comprise more than one regulatory subcategory. The averaging sets for this HD program are defined as follows:
                                </P>
                                <P>(1) Heavy-duty pickup trucks and vans.</P>
                                <P>(2) Vocational light-heavy vehicles at or below 19,500 pounds GVWR.</P>
                                <P>
                                    (3) Vocational and tractor medium-heavy vehicles above 19,500 pounds GVWR but at or below 33,000 pounds GVWR.
                                    <PRTPAGE P="57494"/>
                                </P>
                                <P>(4) Vocational and tractor heavy-heavy vehicles above 33,000 pounds GVWR.</P>
                                <P>(5) Compression-ignition light heavy-duty engines for Class 2b to 5 vehicles with a GVWR above 8,500 pounds but at or below 19,500 pounds.</P>
                                <P>(6) Compression-ignition medium heavy-duty engines for Class 6 and 7 vehicles with a GVWR above 19,500 but at or below 33,000 pounds.</P>
                                <P>(7) Compression-ignition heavy heavy-duty engines for Class 8 vehicles with a GVWR above 33,000 pounds.</P>
                                <P>(8) Spark-ignition engines in Class 2b to 8 vehicles with a GVWR above 8,500 pounds.</P>
                                <P>
                                    <E T="03">Cab-complete vehicle</E>
                                     has the meaning given in 49 CFR part 523.
                                </P>
                                <P>
                                    <E T="03">Carryover</E>
                                     means relating to certification based on emission data generated from an earlier model year.
                                </P>
                                <P>
                                    <E T="03">Certificate holder</E>
                                     means the manufacturer who holds the certificate of conformity for the vehicle or engine and that assigns the model year based on the date when its manufacturing operations are completed relative to its annual model year period.
                                </P>
                                <P>
                                    <E T="03">Certificate of Conformity</E>
                                     means an approval document granted by the EPA to a manufacturer that submits an application for a vehicle or engine emissions family in 40 CFR 1036.205 and 1037.205. A certificate of conformity is valid from the indicated effective date until December 31 of the model year for which it is issued. The certificate must be renewed annually for any vehicle a manufacturer continues to produce.
                                </P>
                                <P>
                                    <E T="03">Certification</E>
                                     means process of obtaining a certificate of conformity for a vehicle family that complies with the emission standards and requirements in this part.
                                </P>
                                <P>
                                    <E T="03">Certified emission level</E>
                                     means the highest deteriorated emission level in an engine family for a given pollutant from the applicable transient and/or steady-state testing rounded to the same number of decimal places as the applicable standard. Note that you may have two certified emission levels for CO
                                    <E T="52">2</E>
                                     if you certify a family for both vocational and tractor use.
                                </P>
                                <P>
                                    <E T="03">Chassis-cab</E>
                                     means the incomplete part of a vehicle that includes a frame, a completed occupant compartment and that requires only the addition of cargo-carrying, work-performing, or load-bearing components to perform its intended functions.
                                </P>
                                <P>
                                    <E T="03">Chief Counsel</E>
                                     means the NHTSA Chief Counsel, or his or her designee.
                                </P>
                                <P>
                                    <E T="03">Complete sister vehicle</E>
                                     is a complete vehicle of the same configuration as a cab-complete vehicle.
                                </P>
                                <P>
                                    <E T="03">Complete vehicle</E>
                                     has the meaning given in 49 CFR part 523.
                                </P>
                                <P>
                                    <E T="03">Compression-ignition</E>
                                     means relating to a type of reciprocating, internal-combustion engine, such as a diesel engine, that is not a spark-ignition engine.
                                </P>
                                <P>
                                    <E T="03">Configuration</E>
                                     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 the EPA designates.
                                </P>
                                <P>
                                    <E T="03">Credits (or fuel consumption credits)</E>
                                     in this part means an earned allowance recognizing the fuel consumption of a particular manufacturer's vehicles or engines within a particular averaging set exceeds (credit surplus or positive credits) or falls below (credit shortfall, deficit or negative credits) that manufacturer's fuel consumption standard(s) for the regulatory subcategory(s) that make-up the averaging set for a given model year, or purchased allowance. The value of an earned credit is calculated according to § 535.7.
                                </P>
                                <P>
                                    <E T="03">Curb weight</E>
                                     has the meaning given in 40 CFR 86.1803.
                                </P>
                                <P>
                                    <E T="03">Date of manufacture</E>
                                     means the date on which the certifying vehicle manufacturer completes its manufacturing operations, except as follows:
                                </P>
                                <P>(1) Where the certificate holder is an engine manufacturer that does not manufacture the chassis, the date of manufacture of the vehicle is based on the date assembly of the vehicle is completed.</P>
                                <P>(2) EPA and NHTSA may approve an alternate date of manufacture based on the date on which the certifying (or primary) vehicle manufacturer completes assembly at the place of main assembly, consistent with the provisions of 40 CFR 1037.601 and 49 CFR 567.4.</P>
                                <P>
                                    <E T="03">Day cab</E>
                                     means a type of truck tractor cab that is not a “sleeper cab”, as defined in this section.
                                </P>
                                <P>
                                    <E T="03">Dedicated vehicle</E>
                                     has the same meaning as dedicated automobile as defined in 49 U.S.C. 32901(a)(8). A dedicated automobile means an automobile that operates only on alternative fuels like E85 or natural gas, 
                                    <E T="03">etc.</E>
                                </P>
                                <P>
                                    <E T="03">Dual fueled (multi-fuel or flexible-fuel vehicle)</E>
                                     has the same meaning as dual fueled automobile as defined in 49 U.S.C. 32901(a)(9). For example, a vehicle that operates on gasoline and E85 or a plug-in hybrid electric vehicle is considered a dual fueled vehicle.
                                </P>
                                <P>
                                    <E T="03">Electric vehicle</E>
                                     means a vehicle that does not include an engine, and is powered solely by an external source of electricity and/or solar power. Note that this does not include electric hybrid or fuel-cell vehicles that use a chemical fuel such as gasoline, diesel fuel, or hydrogen. Electric vehicles may also be referred to as all-electric vehicles to distinguish them from hybrid vehicles.
                                </P>
                                <P>
                                    <E T="03">Engine family</E>
                                     has the meaning given in 40 CFR 1036.230.
                                </P>
                                <P>
                                    <E T="03">Family certification level (FCL)</E>
                                     means the family certification limit for an engine family as defined in 40 CFR 1036.801.
                                </P>
                                <P>
                                    <E T="03">Family emission limit (FEL)</E>
                                     means the family emission limit for a vehicle family as defined in 40 CFR 1037.801.
                                </P>
                                <P>
                                    <E T="03">Final-stage manufacturer</E>
                                     has the meaning given in 49 CFR 567.3.
                                </P>
                                <P>
                                    <E T="03">Fleet</E>
                                     in this part means all the heavy-duty vehicles or engines within each of the regulatory sub-categories that are manufactured by a manufacturer in a particular model year and that are subject to fuel consumption standards under § 535.5.
                                </P>
                                <P>
                                    <E T="03">Fleet average fuel consumption</E>
                                     is the calculated average fuel consumption performance value for a manufacturer's fleet derived from the production weighted fuel consumption values of the unique vehicle configurations within each vehicle model type that makes up that manufacturer's vehicle fleet in a given model year. In this part, the fleet average fuel consumption value is determined for each manufacturer's fleet of heavy-duty pickup trucks and vans.
                                </P>
                                <P>
                                    <E T="03">Fleet average fuel consumption standard</E>
                                     is the actual average fuel consumption standard for a manufacturer's fleet derived from the production weighted fuel consumption standards of each unique vehicle configuration, based on payload, tow capacity and drive configuration (2, 4 or all-wheel drive), of the model types that makes up that manufacturer's vehicle fleet in a given model year. In this part, the fleet average fuel consumption standard is determined for each manufacturer's fleet of heavy-duty pickup trucks and vans.
                                </P>
                                <P>
                                    <E T="03">Fuel cell</E>
                                     means an electrochemical cell that produces electricity via the non-combustion reaction of a consumable fuel, typically hydrogen.
                                </P>
                                <P>
                                    <E T="03">Fuel cell electric vehicle</E>
                                     means a motor vehicle propelled solely by an electric motor where energy for the motor is supplied by a fuel cell.
                                </P>
                                <P>
                                    <E T="03">Fuel efficiency</E>
                                     means the amount of work performed for each gallon of fuel consumed.
                                </P>
                                <P>
                                    <E T="03">Good engineering judgment</E>
                                     has the meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process used to evaluate good engineering judgment.
                                    <PRTPAGE P="57495"/>
                                </P>
                                <P>
                                    <E T="03">Gross combination weight rating (GCWR)</E>
                                     has the meaning given in 49 CFR part 523.
                                </P>
                                <P>
                                    <E T="03">Gross vehicle weight rating (GVWR)</E>
                                     has the meaning given in 49 CFR part 523.
                                </P>
                                <P>
                                    <E T="03">Heavy-duty vehicle</E>
                                     has the meaning given in 49 CFR part 523.
                                </P>
                                <P>
                                    <E T="03">Hybrid engine or hybrid powertrain</E>
                                     means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking.
                                </P>
                                <P>
                                    <E T="03">Hybrid vehicle</E>
                                     means a vehicle that includes energy storage features (other than a conventional battery system or conventional flywheel) in addition to an internal combustion engine or other engine using consumable chemical fuel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid vehicles that include regenerative braking different than those that do not include regenerative braking.
                                </P>
                                <P>
                                    <E T="03">Incomplete vehicle</E>
                                     has the meaning given in 49 CFR part 523. For the purpose of this regulation, a manufacturer may request EPA and NHTSA to allow the certification of a vehicle as an incomplete vehicle if it manufactures the engine and sells the unassembled chassis components, provided it does not produce and sell the body components necessary to complete the vehicle.
                                </P>
                                <P>
                                    <E T="03">Innovative technology</E>
                                     means technology certified under 40 CFR 1037.610.
                                </P>
                                <P>
                                    <E T="03">Liquefied petroleum gas (LPG)</E>
                                     has the meaning given in 40 CFR 1036.801.
                                </P>
                                <P>
                                    <E T="03">Low rolling resistance tire</E>
                                     means a tire on a vocational vehicle with a tire rolling resistance level (TRRL) of 7.7 kg/metric ton or lower, a steer tire on a tractor with a TRRL of 7.7 kg/metric ton or lower, or a drive tire on a tractor with a TRRL of 8.1 kg/metric ton or lower.
                                </P>
                                <P>
                                    <E T="03">Model type</E>
                                     has the meaning given in 40 CFR 600.002.
                                </P>
                                <P>
                                    <E T="03">Model year</E>
                                     as it applies to engines means the manufacturer's annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers may not adjust model years to circumvent or delay compliance with standards.
                                </P>
                                <P>
                                    <E T="03">Model year</E>
                                     as it applies to vehicles means the manufacturer's annual new model production period, except as restricted under this definition and 40 CFR part 85, subpart X. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year.
                                </P>
                                <P>(1) The manufacturer who holds the certificate of conformity for the vehicle must assign the model year based on the date when its manufacturing operations are completed relative to its annual model year period.</P>
                                <P>(2) Unless a vehicle is being shipped to a secondary manufacturer that will hold the certificate of conformity, the model year must be assigned prior to introduction of the vehicle into U.S. commerce. The certifying manufacturer must redesignate the model year if it does not complete its manufacturing operations within the originally identified model year. A vehicle introduced into U.S. commerce without a model year is deemed to have a model year equal to the calendar year of its introduction into U.S. commerce unless the certifying manufacturer assigns a later date.</P>
                                <P>
                                    <E T="03">Natural gas</E>
                                     has the meaning given in 40 CFR 1036.801. Vehicles that use a pilot-ignited natural gas engine (which uses a small diesel fuel ignition system), are still considered natural gas vehicles.
                                </P>
                                <P>
                                    <E T="03">NHTSA Enforcement</E>
                                     means the NHTSA Associate Administrator for Enforcement, or his or her designee.
                                </P>
                                <P>
                                    <E T="03">Party</E>
                                     means the person alleged to have committed a violation of § 535.9, and includes manufacturers of vehicles and manufacturers of engines.
                                </P>
                                <P>
                                    <E T="03">Payload</E>
                                     means in this part the resultant of subtracting the curb weight from the gross vehicle weight rating.
                                </P>
                                <P>
                                    <E T="03">Petroleum</E>
                                     has the meaning given in 40 CFR 1036.801.
                                </P>
                                <P>
                                    <E T="03">Pickup truck</E>
                                     has the meaning given in 49 CFR part 523.
                                </P>
                                <P>
                                    <E T="03">Plug-in hybrid electric vehicle (PHEV)</E>
                                     means a hybrid electric vehicle that has the capability to charge the battery or batteries used for vehicle propulsion from an off-vehicle electric source, such that the off-vehicle source cannot be connected to the vehicle while the vehicle is in motion.
                                </P>
                                <P>
                                    <E T="03">Power take-off (PTO)</E>
                                     means a secondary engine shaft or other system on a vehicle that provides substantial auxiliary power for purposes unrelated to vehicle propulsion or normal vehicle accessories such as air conditioning, power steering, and basic electrical accessories. A typical PTO uses a secondary shaft on the engine to transmit power to a hydraulic pump that powers auxiliary equipment such as a boom on a bucket truck.
                                </P>
                                <P>
                                    <E T="03">Primary intended service class</E>
                                     has the meaning for engines as specified in 40 CFR 1036.140.
                                </P>
                                <P>
                                    <E T="03">Rechargeable Energy Storage System (RESS)</E>
                                     means the component(s) of a hybrid engine or vehicle that store recovered energy for later use, such as the battery system in a electric hybrid vehicle.
                                </P>
                                <P>
                                    <E T="03">Regulatory category</E>
                                     means each of the three types of heavy-duty vehicles defined in 49 CFR 523.6 and the heavy-duty engines used in these heavy-duty vehicles.
                                </P>
                                <P>
                                    <E T="03">Regulatory subcategory</E>
                                     means the sub-groups in each regulatory category to which fuel consumption requirements apply, and are defined as follows:
                                </P>
                                <P>(1) Heavy-duty pick-up trucks and vans.</P>
                                <P>(2) Vocational light-heavy vehicles at or below 19,500 pounds GVWR.</P>
                                <P>(3) Vocational medium-heavy vehicles above 19,500 pounds GVWR but at or below 33,000 pounds GVWR.</P>
                                <P>(4) Vocational heavy-heavy vehicles above 33,000 pounds GVWR.</P>
                                <P>(5) Low roof day cab tractors with a GVWR above 26,000 pounds but at or below 33,000 pounds.</P>
                                <P>(6) Mid roof day cab tractors with a GVWR above 26,000 pounds but at or below 33,000 pounds.</P>
                                <P>(7) High roof day cab tractors with a GVWR above 26,000 pounds but at or below 33,000 pounds.</P>
                                <P>(8) Low roof day cab tractors above 33,000 pounds GVWR.</P>
                                <P>(9) Mid roof day cab tractors above 33,000 pounds GVWR.</P>
                                <P>(10) High roof day cab tractors above 33,000 pounds GVWR.</P>
                                <P>(11) Low roof sleeper cab tractors above 33,000 pounds GVWR.</P>
                                <P>(12) Mid roof sleeper cab tractors above 33,000 pounds GVWR.</P>
                                <P>(13) High roof sleeper cab tractors above 33,000 pounds GVWR.</P>
                                <P>(14) Compression-ignition light heavy-duty engines in Class 2b to 5 vehicles with a GVWR above 8,500 pounds but at or below 19,500 pounds.</P>
                                <P>(15) Compression-ignition medium heavy-duty engines in Class 6 and 7 vocational vehicles with a GVWR above 19,500 but at or below 33,000 pounds.</P>
                                <P>(16) Compression-ignition heavy heavy-duty engines in Class 8 vocational vehicles with a GVWR above 33,000 pounds.</P>
                                <P>
                                    (17) Compression-ignition medium heavy-duty engines in Class 7 tractors 
                                    <PRTPAGE P="57496"/>
                                    with a GVWR above 26,000 pounds but at or below 33,000 pounds.
                                </P>
                                <P>(18) Compression-ignition heavy heavy-duty engines in Class 8 tractors with a GVWR above 33,000 pounds.</P>
                                <P>(19) Spark-ignition engines in Class 2b to 8 vehicles with a GVWR above 8,500 pounds.</P>
                                <P>
                                    <E T="03">Roof height</E>
                                     means the maximum height of a vehicle (rounded to the nearest inch), excluding narrow accessories such as exhaust pipes and antennas, but including any wide accessories such as roof fairings. Measure roof height of the vehicle configured to have its maximum height that will occur during actual use, with properly inflated tires and no driver, passengers, or cargo onboard. Determine the base roof height on fully inflated tires having a static loaded radius equal to the arithmetic mean of the largest and smallest static loaded radius of tires a manufacturer offers or a standard tire EPA approves. If a vehicle is equipped with an adjustable roof fairing, measure the roof height with the fairing in its lowest setting. Once the maximum height is determined, roof heights are divided into the following categories:
                                </P>
                                <P>(1) Low-roof means a vehicle with a roof height of 120 inches or less.</P>
                                <P>(2) Mid-roof means a vehicle with a roof height between 121 and 147 inches.</P>
                                <P>(3) High-roof means a vehicle with a roof height of 148 inches or more.</P>
                                <P>
                                    <E T="03">Service class group</E>
                                     means a group of engine and vehicle averaging sets defined as follows:
                                </P>
                                <P>(1) Spark-ignition engines, light heavy-duty compression-ignition engines, light heavy-duty vocational vehicles and heavy-duty pickup trucks and vans.</P>
                                <P>(2) Medium heavy-duty compression-ignition engines and medium heavy-duty vocational vehicles and tractors.</P>
                                <P>(3) Heavy heavy-duty compression-ignition engines and heavy heavy-duty vocational vehicles and tractors.</P>
                                <P>
                                    <E T="03">Sleeper cab</E>
                                     means a type of truck cab that has a compartment behind the driver's seat intended to be used by the driver for sleeping. This includes both cabs accessible from the driver's compartment and those accessible from outside the vehicle.
                                </P>
                                <P>
                                    <E T="03">Spark-ignition engines</E>
                                     means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation.
                                </P>
                                <P>
                                    <E T="03">Subconfiguration</E>
                                     means a unique combination within a vehicle configuration of equivalent test weight, road-load horsepower, and any other operational characteristics or parameters that EPA determines may significantly affect CO
                                    <E T="52">2</E>
                                     emissions within a vehicle configuration.
                                </P>
                                <P>
                                    <E T="03">Test group</E>
                                     means the multiple vehicle lines and model types that share critical emissions and fuel consumption related features and that are certified as a group by a common certificate of conformity issued by EPA and is used collectively with other test groups within an averaging set or regulatory subcategory and is used by NHTSA for determining the fleet average fuel consumption.
                                </P>
                                <P>
                                    <E T="03">Tire rolling resistance level (TRRL)</E>
                                     means a value with units of kg/metric ton that represents that rolling resistance of a tire configuration. TRRLs are used as inputs to the GEM model under 40 CFR 1037.520. Note that a manufacturer may assign a value higher than a measured rolling resistance of a tire configuration.
                                </P>
                                <P>
                                    <E T="03">Towing capacity</E>
                                     in this part is equal to the resultant of subtracting the gross vehicle weight rating from the gross combined weight rating.
                                </P>
                                <P>
                                    <E T="03">Trade</E>
                                     means to exchange fuel consumption credits, either as a buyer or a seller.
                                </P>
                                <P>
                                    <E T="03">Truck tractor</E>
                                     has the meaning given in 49 CFR 571.3. This includes most heavy-duty vehicles specifically designed for the primary purpose of pulling trailers, but does not include vehicles designed to carry other loads. For purposes of this definition “other loads” would not include loads carried in the cab, sleeper compartment, or toolboxes. Examples of vehicles that are similar to tractors but that are not tractors under this part include dromedary tractors, automobile haulers, straight trucks with trailers hitches, and tow trucks.
                                </P>
                                <P>
                                    <E T="03">U.S.-directed production volume</E>
                                     means the number of vehicle units, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States.
                                </P>
                                <P>
                                    <E T="03">Useful life</E>
                                     has the meaning given in 40 CFR 1037.801.
                                </P>
                                <P>
                                    <E T="03">Vehicle configuration</E>
                                     means a unique combination of vehicle hardware and calibration (related to measured or modeled emissions) within a vehicle family. Vehicles with hardware or software differences, but that have no hardware or software differences related to measured or modeled emissions or fuel consumption can be included in the same vehicle configuration. Note that vehicles with hardware or software differences related to measured or modeled emissions or fuel consumption are considered to be different configurations even if they have the same GEM inputs and FEL. Vehicles within a vehicle configuration differ only with respect to normal production variability or factors unrelated to measured or modeled emissions and fuel consumption for EPA and NHTSA.
                                </P>
                                <P>
                                    <E T="03">Vehicle family</E>
                                     has the meaning given in 40 CFR 1037.230.
                                </P>
                                <P>
                                    <E T="03">Vehicle service class</E>
                                     has the meaning for vehicles as specified in the 40 CFR 1037.801. 
                                </P>
                                <P>
                                    <E T="03">Vocational tractor</E>
                                     has the meaning given in 40 CFR 1037.630.
                                </P>
                                <P>
                                    <E T="03">Zero emissions vehicle</E>
                                     means an electric vehicle or a fuel cell vehicle.
                                </P>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.5 </SECTNO>
                                <SUBJECT>Standards.</SUBJECT>
                                <P>
                                    (a) 
                                    <E T="03">Heavy-duty pickup trucks and vans.</E>
                                     Each manufacturer of a fleet of heavy-duty pickup trucks and vans shall comply with the fuel consumption standards in this paragraph (a) expressed in gallons per 100 miles. If the manufacturer's fleet includes conventional vehicles (gasoline, diesel and alternative fueled vehicles) and advanced technology vehicles (hybrids with regenerative braking, vehicles equipped with Rankine-cycle engines, electric and fuel cell vehicles), it should divide its fleet into two separate fleets each with its own separate fleet average fuel consumption standard which a manufacturer must comply with the requirements of this paragraph (a).
                                </P>
                                <P>
                                    (1) 
                                    <E T="03">Mandatory standards.</E>
                                     For model years 2016 and later, each manufacturer must comply with the fleet average standard derived from the unique subconfiguration target standards (or groups of subconfigurations approved by EPA in accordance with 40 CFR 1037.104) of the model types that make up the manufacturer's fleet in a given model year. Each subconfiguration has a unique attribute-based target standard, defined by each group of vehicles having the same payload, towing capacity and whether the vehicles are equipped with a 2-wheel or 4-wheel drive configuration.
                                </P>
                                <P>
                                    (2) 
                                    <E T="03">Subconfiguration target standards.</E>
                                     (i) Two alternatives exist for determining the subconfiguration target standards for model years 2016 and later. For each alternative, separate standards exist for compression-ignition and spark-ignition vehicles:
                                </P>
                                <P>(A) The first alternative allows manufacturers to determine a fixed fuel consumption standard that is constant over the model years; and</P>
                                <P>
                                    (B) The second alternative allows manufacturers to determine standards that are phased-in gradually each year.
                                    <PRTPAGE P="57497"/>
                                </P>
                                <P>(ii) Calculate the subconfiguration target standards as specified in this paragraph (a)(2)(ii), using the appropriate coefficients from Table 1 choosing between the alternatives in paragraphs (a)(2)(i)(A) and (B) of this section. For electric or fuel cell heavy-duty vehicles, use compression-ignition vehicle coefficients “c” and “d” and for hybrid (including plug-in hybrid), dedicated and dual-fueled vehicles, use coefficients “c” and “d” appropriate for the engine type used. Round each standard to the nearest 0.01 gallons per 100 miles and specify all weights in pounds rounded to the nearest pound. Calculate the subconfiguration target standards using the following equation:</P>
                                <P>Subconfiguration Target Standard (gallons per 100 miles) = [c × (WF)] + d</P>
                                <EXTRACT>
                                    <FP SOURCE="FP-2">Where:</FP>
                                    <FP SOURCE="FP-2">WF = Work Factor = [0.75 × (Payload Capacity + Xwd)] + [0.25 × Towing Capacity]</FP>
                                    <FP SOURCE="FP-2">Xwd = 4wd Adjustment = 500 lbs if the vehicle group is equipped with 4wd and all-wheel drive, otherwise equals 0 lbs for 2wd.</FP>
                                    <FP SOURCE="FP-2">Payload Capacity = GVWR (lbs)−Curb Weight (lbs) (for each vehicle group)</FP>
                                    <FP SOURCE="FP-2">Towing Capacity = GCWR (lbs)−GVWR (lbs) (for each vehicle group)</FP>
                                </EXTRACT>
                                <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,10,10">
                                    <TTITLE>Table 1—Equation Coefficients for Subconfiguration Target Standards</TTITLE>
                                    <BOXHD>
                                        <CHED H="1">Model year</CHED>
                                        <CHED H="1">c</CHED>
                                        <CHED H="1">d</CHED>
                                    </BOXHD>
                                    <ROW EXPSTB="02" RUL="s">
                                        <ENT I="21">Alternative 1—Fixed Target Standards</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="21">Compression-ignition Vehicle Coefficients for Model Years 2016 and later</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">2016-2018</ENT>
                                        <ENT>0.000432</ENT>
                                        <ENT>3.33</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">2019 and later</ENT>
                                        <ENT>0.000409</ENT>
                                        <ENT>3.14</ENT>
                                    </ROW>
                                    <ROW EXPSTB="02" RUL="s">
                                        <ENT I="21">Spark-ignition Vehicle Coefficients for Model Years 2016 and later</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">2016-2018</ENT>
                                        <ENT>0.000513</ENT>
                                        <ENT>3.96</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">2019 and later</ENT>
                                        <ENT>0.000495</ENT>
                                        <ENT>3.81</ENT>
                                    </ROW>
                                    <ROW EXPSTB="02" RUL="s">
                                        <ENT I="21">Alternative 2—Phased-in Target Standards</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="21">Compression-ignition Vehicle Coefficients for Model Years 2016 and later</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">2016</ENT>
                                        <ENT>0.000452</ENT>
                                        <ENT>3.48</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">2017</ENT>
                                        <ENT>0.000437</ENT>
                                        <ENT>3.37</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">2018 and later</ENT>
                                        <ENT>0.000409</ENT>
                                        <ENT>3.14</ENT>
                                    </ROW>
                                    <ROW EXPSTB="02" RUL="s">
                                        <ENT I="21">-Spark-ignition Vehicle Coefficients for Model Years 2016 and later</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">2016</ENT>
                                        <ENT>0.000528</ENT>
                                        <ENT>4.07</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">2017</ENT>
                                        <ENT>0.000518</ENT>
                                        <ENT>3.98</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">2018 and later</ENT>
                                        <ENT>0.000495</ENT>
                                        <ENT>3.81</ENT>
                                    </ROW>
                                </GPOTABLE>
                                <P>
                                    (3) 
                                    <E T="03">Fleet average fuel consumption standard.</E>
                                     (i) Calculate each manufacturer's fleet average fuel consumption standard for conventional and advanced technology fleets separately based on the subconfiguration target standards specified in paragraph (a)(2) of this section, weighted to production volumes and averaged using the following equation combining all the applicable vehicles in a manufacturer's U.S. directed fleet (compression-ignition, spark-ignition and advanced technology vehicles) for a given model year, rounded to the nearest 0.01 gallons per 100 miles:
                                </P>
                                <GPH SPAN="3" DEEP="34">
                                    <GID>ER15SE11.106</GID>
                                </GPH>
                                <EXTRACT>
                                    <FP SOURCE="FP-2">Where:</FP>
                                    <FP SOURCE="FP-2">
                                        Subconfiguration Target Standard
                                        <E T="52">i</E>
                                         = fuel consumption standard for each group of vehicles with same payload, towing capacity and drive configuration (gallons per 100 miles).
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        Volume
                                        <E T="52">i</E>
                                         = production volume of each unique subconfiguration of a model type based upon payload, towing capacity and drive configuration.
                                    </FP>
                                </EXTRACT>
                                <P>(A) A manufacturer may group together subconfigurations that have the same test weight (ETW), GVWR, and GCWR. Calculate work factor and target value assuming a curb weight equal to two times ETW minus GVWR.</P>
                                <P>(B) A manufacturer may group together other subconfigurations if it uses the lowest target value calculated for any of the subconfigurations.</P>
                                <P>(C) The fleet average shall also be derived in accordance with 40 CFR 86.1865 and 40 CFR 1037.104(d).</P>
                                <P>(ii) A manufacturer complies with the requirements of this part if it provides reports, as specified in § 535.8, by the required deadlines and meets one of the following conditions:</P>
                                <P>(A) The manufacturer's fleet average performance, as determined in § 535.6, is less than the fleet average standard; or</P>
                                <P>(B) The manufacturer uses one or more of the credit flexibilities provided under NHTSA's Averaging, Banking and Trading Program, as specified in § 535.7, to comply with standards.</P>
                                <P>(iii) Manufacturers must select an alternative for subconfiguration target standards at the same time they submit the model year 2016 Pre-Model year Report, specified in § 535.8. Once selected, the decision cannot be reversed and the manufacturer must continue to comply with the same alternative for subsequent model years.</P>
                                <P>(iv) A manufacturer failing to comply with the provisions specified in paragraph (a)(3)(ii) of this section is liable to pay civil penalties in accordance with § 535.9.</P>
                                <P>
                                    (4) 
                                    <E T="03">Voluntary standards.</E>
                                     (i) Manufacturers may choose voluntarily to comply early with fuel consumption standards for model years 2013 through 2015, as determined in paragraphs (a)(4)(iii) and (iv) of this section, for example, in order to begin accumulating credits through over-compliance with the applicable standard. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufactures in each regulatory category for a given model year.
                                </P>
                                <P>(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards at the same time it submits a Pre-Model Report, prior to the compliance model year beginning as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufactures in each regulatory category for a given model year.</P>
                                <P>
                                    (iii) Calculate separate subconfiguration target standards for compression-ignition and spark-ignition vehicles for model years 2013 through 2015 using the equation in paragraph (a)(2)(ii) of this section, substituting the appropriate values for the coefficients in Table 2 of this section as appropriate.
                                    <PRTPAGE P="57498"/>
                                </P>
                                <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s30,10,10">
                                    <TTITLE>Table 2—Voluntary Compliance Equation Coefficients for Vehicle Fuel Consumption Standards</TTITLE>
                                    <BOXHD>
                                        <CHED H="1">Model Year</CHED>
                                        <CHED H="1">c</CHED>
                                        <CHED H="1">d</CHED>
                                    </BOXHD>
                                    <ROW EXPSTB="02" RUL="s">
                                        <ENT I="21">Compression-ignition Vehicle Coefficients for Voluntary Compliance in Model Years 2013 through 2015</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">2013 and 14</ENT>
                                        <ENT>0.000470</ENT>
                                        <ENT>3.61</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">2015</ENT>
                                        <ENT>0.000466</ENT>
                                        <ENT>3.60</ENT>
                                    </ROW>
                                    <ROW EXPSTB="02" RUL="s">
                                        <ENT I="21">Spark-ignition Vehicle Coefficients for Voluntary Compliance in Model Years 2013 through 2015</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">2013 and 14</ENT>
                                        <ENT>0.000542</ENT>
                                        <ENT>4.17</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">2015</ENT>
                                        <ENT>0.000539</ENT>
                                        <ENT>4.15</ENT>
                                    </ROW>
                                </GPOTABLE>
                                <P>(iv) Calculate the fleet average fuel consumption standards for model years 2013 through 2015 using the equation in paragraph (a)(3) of this section.</P>
                                <P>
                                    (5) 
                                    <E T="03">Exclusion of vehicles not certified as complete vehicles.</E>
                                     The vehicle standards § 535.5(a) do not apply for vehicles that are chassis-certified with respect to EPA's criteria pollutant test procedure in 40 CFR part 86, subpart S. Any chassis-certified vehicles must comply with the vehicle standards and requirements of § 535.5(b) and the engine standards of § 535.5(d) for engines used in these vehicles. A vehicle manufacturer choosing to comply with this paragraph and that is not the engine manufacturer is required to notify the engine manufacturers that their engines are subject to § 535.5(d) and that it intends to use their engines in excluded vehicles.
                                </P>
                                <P>
                                    (6) 
                                    <E T="03">Optional certification under this section.</E>
                                     Manufacturers may certify any complete or cab-complete Class 2b through 5 vehicles weighing at or below 19,500 pounds GVWR and any incomplete vehicles approved by EPA for inclusion under this paragraph to the same testing and standard that applies to a comparable complete sister vehicles as determined in accordance in 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.
                                </P>
                                <P>
                                    (7) 
                                    <E T="03">Loose engines.</E>
                                     This paragraph applies for spark-ignition engines identical to engines used in vehicles certified to the standards of this section § 535.5(a), where manufacturers sell such engines as loose engines or installed in incomplete vehicles that are not cab-complete vehicles in accordance with 40 CFR 1037.150(m). A manufacturer's engines are deemed to have fuel consumption target values and test results based upon the complete vehicle in the applicable test group with the highest equivalent test weight in accordance with 40 CFR 1037.150(m). The fuel consumption subconfiguration standard for a loose engines equals the test group result of the complete vehicle as specified in 40 CFR 1037.150(m)(6) multiplied by 1.10 and rounded to the nearest 0.01 gallon per 100 miles. The U.S.-directed production volume of engines manufactured for sale as loose engines or installed in incomplete heavy-duty vehicles that are not cab-complete vehicles in any given model year may not exceed ten percent of the total U.S-directed production volume of engines of that design that the manufacturer produces for heavy-duty applications for that model year, including engines the manufacturer produces for complete vehicles, cab-complete vehicles, and other incomplete vehicles. The total number of engines a manufacturer may certify under this paragraph (a)(7), of all engine designs, may not exceed 15,000 in any model year as specified in 40 CFR 1037.150(m). Engines produced in excess of the number cannot be certified to the standard in this paragraph (a)(7).
                                </P>
                                <P>
                                    (b) 
                                    <E T="03">Heavy-duty vocational vehicles.</E>
                                     Each chassis manufacturer of heavy-duty vocational vehicles shall comply with the fuel consumption standards in this paragraph (b) expressed in gallons per 1,000 ton-miles. Manufacturers of engines used in heavy-duty vocational vehicles shall comply with the standards in paragraph (d) of this section.
                                </P>
                                <P>(1) Mandatory standards. For model years 2016 and later, each chassis manufacturer of heavy-duty vocational vehicles must comply with the fuel consumption standards in paragraph (b)(3) of this section.</P>
                                <P>(i) The heavy-duty vocational vehicle chassis category is subdivided by GVWR into three regulatory subcategories as defined in § 535.4, each with its own assigned standard.</P>
                                <P>(ii) For purposes of certifying vehicles to fuel consumption standards, manufacturers must divide their product lines into vehicle families that have similar emissions and fuel consumption features, as specified by EPA in 40 CFR part 1037, subpart C, and these families will be subject to the applicable standards. Each vehicle family is limited to a single model year.</P>
                                <P>(iii) A manufacturer complies with the requirements of this part, if it provides information as specified in § 535.8, by the required deadlines and meets one of the following conditions:</P>
                                <P>(A) The manufacturer's fuel consumption performance for each vehicle family, as determined in § 535.6, is lower than the applicable standard; or</P>
                                <P>(B) The manufacturer uses one or more of the credit flexibilities provided under NHTSA's Averaging, Banking and Trading Program, specified in § 535.7, to comply with standards.</P>
                                <P>(iv) A manufacturer failing to comply with the provisions specified in paragraph (b)(1)(iii) of this section is liable to pay civil penalties in accordance with § 535.9.</P>
                                <P>
                                    (2) 
                                    <E T="03">Voluntary compliance.</E>
                                     (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.
                                </P>
                                <P>(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year.</P>
                                <P>
                                    (3) 
                                    <E T="03">Regulatory subcategory standards.</E>
                                     The fuel consumption standards for heavy-duty vocational vehicles are given in the following table:
                                    <PRTPAGE P="57499"/>
                                </P>
                                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s80,20,20,20">
                                    <TTITLE>Table 3—Heavy-Duty Vocational Vehicle Fuel Consumption Standards</TTITLE>
                                    <BOXHD>
                                        <CHED H="1">Regulatory subcategories</CHED>
                                        <CHED H="1">
                                            Light Heavy vehicles 
                                            <LI>Class 2b-5</LI>
                                        </CHED>
                                        <CHED H="1">
                                            Medium heavy vehicles 
                                            <LI>Class 6—7</LI>
                                        </CHED>
                                        <CHED H="1">
                                            Heavy heavy vehicles 
                                            <LI>Class 8</LI>
                                        </CHED>
                                    </BOXHD>
                                    <ROW EXPSTB="03" RUL="s">
                                        <ENT I="21">Fuel Consumption Mandatory Standards (gallons per 1,000 ton-miles) Effective for Model Years 2017 and later</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00" RUL="s">
                                        <ENT I="01">Fuel Consumption Standard</ENT>
                                        <ENT>36.7</ENT>
                                        <ENT>22.1</ENT>
                                        <ENT>21.8</ENT>
                                    </ROW>
                                    <ROW EXPSTB="03" RUL="s">
                                        <ENT I="21">Effective for Model Years 2016</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00" RUL="s">
                                        <ENT I="01">Fuel Consumption Standard</ENT>
                                        <ENT>38.1</ENT>
                                        <ENT>23.0</ENT>
                                        <ENT>22.2</ENT>
                                    </ROW>
                                    <ROW EXPSTB="03" RUL="s">
                                        <ENT I="21">Fuel Consumption Voluntary Standards (gallons per 1,000 ton-miles) Effective for Model Years 2013 to 2015</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">Fuel Consumption Standard</ENT>
                                        <ENT>38.1</ENT>
                                        <ENT>23.0</ENT>
                                        <ENT>22.2</ENT>
                                    </ROW>
                                </GPOTABLE>
                                <P>
                                    (4) 
                                    <E T="03">Certifying across service classes.</E>
                                     A manufacturer may optionally certify a vocational vehicle to the standards and useful life applicable to a higher vehicle service class (or regulatory subcategory changes such as complying with the heavy heavy-duty standard instead of medium heavy-duty standard), provided the manufacturer does not generate credits with the vehicle. If a manufacturer includes smaller vehicles in a credit-generating subfamily (with an FEL below the standard), exclude their production volume from the credit calculation.
                                </P>
                                <P>
                                    (5) 
                                    <E T="03">Off-road operation.</E>
                                     Heavy-duty vocational vehicles including vocational tractors meeting the off-road criteria in 49 CFR 523.2 are exempted from the requirements in this paragraph (b), but the engines in these vehicles must meet the requirements of paragraph (d) of this section.
                                </P>
                                <P>
                                    (c) 
                                    <E T="03">Truck tractors.</E>
                                     Each manufacturer of truck tractors, except vocational tractors, with a GVWR above 26,000 pounds shall comply with the fuel consumption standards in this paragraph (c) expressed in gallons per 1,000 ton-miles.
                                </P>
                                <P>
                                    (1) 
                                    <E T="03">Mandatory standards.</E>
                                     For model years 2016 and later, each manufacturer of truck tractors must comply with the fuel consumption standards in paragraph (c)(3) of this section.
                                </P>
                                <P>(i) The truck tractor category is subdivided by roof height and cab design into nine regulatory subcategories as shown in Table 4 of this section, each with its own assigned standard.</P>
                                <P>(ii) For purposes of certifying vehicles to fuel consumption standards, manufacturers must divide their product lines into vehicles families that have similar emissions and fuel consumption features, as specified by EPA in 40 CFR part 1037, subpart C, and these families will be subject to the applicable standards. Each vehicle family is limited to a single model year.</P>
                                <P>(iii) Standards for truck tractor engines are given in paragraph (d) of this section.</P>
                                <P>(iv) A manufacturer complies with the requirements of this part, if at the end of the model year, it provides reports, as specified in § 535.8, by the required deadlines and meets one of the following conditions:</P>
                                <P>(A) The manufacturer's fuel consumption performance for each vehicle family, as determined in § 535.6, is lower than the applicable standard; or</P>
                                <P>(B) The manufacturer uses one or more of the credit flexibilities provided under NHTSA's Averaging, Banking and Trading Program, specified in § 535.7, to comply with standards.</P>
                                <P>(v) A manufacturer failing to comply with the provisions specified in paragraph (c)(1)(iv) of this section is liable to pay civil penalties in accordance with § 535.9.</P>
                                <P>
                                    (2) 
                                    <E T="03">Voluntary compliance.</E>
                                     (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.
                                </P>
                                <P>(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year.</P>
                                <P>
                                    (3) 
                                    <E T="03">Regulatory subcategory standards.</E>
                                     The fuel consumption standards for truck tractors, except for vocational tractors, are given in the following table:
                                </P>
                                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s80,20,20,20,">
                                    <TTITLE>Table 4—Truck Tractor Fuel Consumption Standards</TTITLE>
                                    <BOXHD>
                                        <CHED H="1">Regulatory subcategories</CHED>
                                        <CHED H="1">Day cab</CHED>
                                        <CHED H="2">Class 7</CHED>
                                        <CHED H="2">Class 8</CHED>
                                        <CHED H="1">Sleeper cab</CHED>
                                        <CHED H="2">Class 8</CHED>
                                    </BOXHD>
                                    <ROW EXPSTB="03" RUL="s">
                                        <ENT I="21">Fuel Consumption Mandatory Standards (gallons per 1,000 ton-miles) Effective for Model Years 2017 and later</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">Low Roof</ENT>
                                        <ENT>10.2</ENT>
                                        <ENT>7.8</ENT>
                                        <ENT>6.5</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Mid Roof</ENT>
                                        <ENT>11.3</ENT>
                                        <ENT>8.4</ENT>
                                        <ENT>7.2</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">High Roof</ENT>
                                        <ENT>11.8</ENT>
                                        <ENT>8.7</ENT>
                                        <ENT>7.1</ENT>
                                    </ROW>
                                    <ROW EXPSTB="03" RUL="s">
                                        <ENT I="21">Effective for Model Years 2016</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">Low Roof</ENT>
                                        <ENT>10.5</ENT>
                                        <ENT>8.0</ENT>
                                        <ENT>6.7</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Mid Roof</ENT>
                                        <ENT>11.7</ENT>
                                        <ENT>8.7</ENT>
                                        <ENT>7.4</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <PRTPAGE P="57500"/>
                                        <ENT I="01">High Roof</ENT>
                                        <ENT>12.2</ENT>
                                        <ENT>9.0</ENT>
                                        <ENT>7.3</ENT>
                                    </ROW>
                                    <ROW EXPSTB="03" RUL="s">
                                        <ENT I="21">Fuel Consumption Voluntary Standards (gallons per 1,000 ton-miles) Effective for Model Years 2013 to 2015</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00">
                                        <ENT I="01">Low Roof</ENT>
                                        <ENT>10.5</ENT>
                                        <ENT>8.0</ENT>
                                        <ENT>6.7</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Mid Roof</ENT>
                                        <ENT>11.7</ENT>
                                        <ENT>8.7</ENT>
                                        <ENT>7.4</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">High Roof</ENT>
                                        <ENT>12.2</ENT>
                                        <ENT>9.0</ENT>
                                        <ENT>7.3</ENT>
                                    </ROW>
                                </GPOTABLE>
                                <P>
                                    (4) 
                                    <E T="03">Certifying across service classes.</E>
                                     A manufacturer may optionally certify a tractor to the standards and useful life applicable to a higher vehicle service class (or regulatory subcategory changes such as complying with the Class 8 day-cab tractor standard instead of Class 7 day-cab tractor), provided the manufacturer does not generate credits with the vehicle. If a manufacturer includes smaller vehicles in a credit-generating subfamily (with an FEL below the standard), exclude their production volume from the credit calculation.
                                </P>
                                <P>
                                    (5) 
                                    <E T="03">Vocational tractors.</E>
                                     Tractors meeting the definition of vocational tractors in 49 CFR 523.2 must comply with requirements for heavy-duty vocational vehicles specified in paragraphs (b) and (d) of this section. 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 1037.610, a manufacturer must comply with the tractor fuel consumption standards in paragraph (c)(3) of this section.
                                </P>
                                <P>
                                    (d) 
                                    <E T="03">Heavy-duty engines.</E>
                                     Each manufacturer of heavy-duty engines shall comply with the fuel consumption standards in this paragraph (d) expressed in gallons per 100 brake-horsepower-hours. Each engine must be certified to the primary intended service class that it is designed for in accordance with 40 CFR 1036.108;
                                </P>
                                <P>
                                    (1) 
                                    <E T="03">Mandatory standards.</E>
                                     Each manufacturer must comply with the fuel consumption standard in paragraph (d)(3) of this section for model years 2017 and later compression-ignition engines and for model years 2016 and later spark-ignition engines.
                                </P>
                                <P>(i) The heavy-duty engine regulatory category is divided into six regulatory subcategories, five compression-ignition subcategories and one spark-ignition subcategory, as shown in Table 5 of this section.</P>
                                <P>(ii) Separate standards exist for engines manufactured for use in heavy-duty vocational vehicles and in truck tractors.</P>
                                <P>(iii) For purposes of certifying engines to fuel consumption standards, manufacturers must divide their product lines into engine families that have similar fuel consumption features, as specified by EPA in 40 CFR part 1036, subpart C, and these families will be subject to the same standards. Each engine family is limited to a single model year.</P>
                                <P>(iv) A manufacturer complies with the requirements of this part, if at the end of the model year, it provides reports, as specified in § 535.8, by the required deadlines and meets one of the following conditions:</P>
                                <P>(A) The manufacturer's fuel consumption performance of each engine family as determined in § 535.6 is less than the applicable standard; or</P>
                                <P>(B) The manufacturer uses one or more of the flexibilities provided under NHTSA's Averaging, Banking and Trading Program, specified in § 535.7, to comply with standards.</P>
                                <P>(v) A manufacturer failing to comply with the provisions specified in paragraph (d)(1)(iv) of this section is liable to pay civil penalties in accordance with § 535.9.</P>
                                <P>
                                    (2) 
                                    <E T="03">Voluntary compliance.</E>
                                     (i) For model years 2013 through 2016 for compression-ignition engines, and for model year 2015 for spark-ignition engines, a manufacturer may choose voluntarily to comply with the fuel consumption standards provided in paragraph (d)(3) through (5) of this section. For example, a manufacturer may choose to comply early in order to begin accumulating credits through over-compliance with the applicable standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufacturers in each regulatory category for a given model year except in model year 2013 the manufacturer may comply with individual engine families as specified in 40 CFR 1036.150(a)(2).
                                </P>
                                <P>(ii) A manufacturer must declare its intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year.</P>
                                <P>
                                    (3) 
                                    <E T="03">Regulatory subcategory standards.</E>
                                     The fuel consumption standards for heavy-duty engines are given in the following:
                                </P>
                                <GPOTABLE COLS="7" OPTS="L2,p1,8/9,i1" CDEF="s50,xs90C,xs60C,xs60C,xs60C,xs60C,xs60C">
                                    <TTITLE>Table 5—Primary Heavy-Duty Engine Standards</TTITLE>
                                    <BOXHD>
                                        <CHED H="1"> </CHED>
                                        <CHED H="1"> </CHED>
                                        <CHED H="1"> </CHED>
                                        <CHED H="1"> </CHED>
                                        <CHED H="1"> </CHED>
                                        <CHED H="1"> </CHED>
                                        <CHED H="1"> </CHED>
                                    </BOXHD>
                                    <ROW EXPSTB="06" RUL="s">
                                        <ENT I="21">Fuel Consumption Mandatory Standards (gallons per 100 bhp-hr)</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00" RUL="s">
                                        <ENT I="21">Regulatory Subcategory</ENT>
                                        <ENT>Light Heavy-Duty Compression-Ignition Engine</ENT>
                                        <ENT A="01">Medium Heavy-Duty Compression-Ignition Engine</ENT>
                                        <ENT A="01">Heavy Heavy-Duty Compression-Ignition Engine</ENT>
                                        <ENT>Spark-Ignition Engines</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">Truck Application</ENT>
                                        <ENT>Vocational</ENT>
                                        <ENT>Vocational</ENT>
                                        <ENT>Tractor</ENT>
                                        <ENT>Vocational</ENT>
                                        <ENT>Tractor</ENT>
                                        <ENT>All</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">Effective Model Years</ENT>
                                        <ENT A="04">2017 and later</ENT>
                                        <ENT>2016 and later</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <PRTPAGE P="57501"/>
                                        <ENT I="01">Fuel Consumption Standard</ENT>
                                        <ENT>5.66</ENT>
                                        <ENT>5.66</ENT>
                                        <ENT>4.78</ENT>
                                        <ENT>5.45</ENT>
                                        <ENT>4.52</ENT>
                                        <ENT>7.06</ENT>
                                    </ROW>
                                    <ROW EXPSTB="06" RUL="s">
                                        <ENT I="21">Fuel Consumption Standards for Voluntary Compliance (gallons per100 bhp-hr)</ENT>
                                    </ROW>
                                    <ROW EXPSTB="00" RUL="s">
                                        <ENT I="01">Regulatory Subcategory</ENT>
                                        <ENT>Light Heavy-Duty Compression-Ignition Engine</ENT>
                                        <ENT A="01">Medium Heavy-Duty Compression-Ignition Engine</ENT>
                                        <ENT A="01">Heavy Heavy-Duty Compression-Ignition Engine</ENT>
                                        <ENT>Spark-ignition Engine</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">Truck Application</ENT>
                                        <ENT>Vocational</ENT>
                                        <ENT>Vocational</ENT>
                                        <ENT>Tractor</ENT>
                                        <ENT>Vocational</ENT>
                                        <ENT>Tractor</ENT>
                                        <ENT>All</ENT>
                                    </ROW>
                                    <ROW RUL="s">
                                        <ENT I="01">Effective Model Years</ENT>
                                        <ENT A="04">2013 through 2016</ENT>
                                        <ENT>2015</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Voluntary Fuel Consumption Standard</ENT>
                                        <ENT>5.89</ENT>
                                        <ENT>5.89</ENT>
                                        <ENT>4.93</ENT>
                                        <ENT>5.57</ENT>
                                        <ENT>4.67</ENT>
                                        <ENT>7.06</ENT>
                                    </ROW>
                                </GPOTABLE>
                                <P>
                                     (4) 
                                    <E T="03">Alternate subcategory standards.</E>
                                     The alternative fuel consumption standards for heavy-duty compression-ignition engines are as follows:
                                </P>
                                <P>(i) Manufacturers entering the voluntary program in model years 2014 through 2016, may choose to certify compression-ignition engine families unable to meet standards provided in paragraph (d)(3) of this section to the alternative fuel consumption standards of this paragraph (d)(4).</P>
                                <P>(ii) Manufacturers may not certify engines to these alternate standards if they are part of an averaging set in which they carry a balance of banked credits. For purposes of this section, manufacturers are deemed to carry credits in an averaging set if they carry credits from advance technology that are allowed to be used in that averaging set in accordance with § 535.7(d)(12).</P>
                                <P>(iii) The emission standards of this section are determined as specified in EPA 40 CFR 1036.620(a) through (c) and should be converted to equivalent fuel consumption values.</P>
                                <P>
                                    (5) 
                                    <E T="03">Alternate Phase-In Standards.</E>
                                     Manufacturers have the option to comply with EPA emissions standards for compression-ignition engines using an alternative phase-in schedule that correlates with the EPA OBD standards. If a manufacturer chooses to use the alternative phase-in schedule for meeting EPA standards and optionally chooses to comply early with the NHTSA fuel consumption program, it must use the same phase-in schedule beginning in model year 2013 for fuel consumption standards and must remain in the program for each model year thereafter. The fuel consumption standard for each model year of the alternative phase-in schedule is provided in Table 6 of this section. Note that engines certified to these standards are not eligible for early credits under § 535.7.
                                </P>
                                <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,r50,r50,r50">
                                    <TTITLE>Table 6—Alternative Phase-in Compression Ignition Engine Standards</TTITLE>
                                    <BOXHD>
                                        <CHED H="1">Tractors</CHED>
                                        <CHED H="1">LHD Engines</CHED>
                                        <CHED H="1">MHD Engines</CHED>
                                        <CHED H="1">HHD Engines</CHED>
                                    </BOXHD>
                                    <ROW>
                                        <ENT I="01">Model Years 2013-2015</ENT>
                                        <ENT>NA</ENT>
                                        <ENT>5.03 gals/100 hp-hr</ENT>
                                        <ENT>4.76 gals./100 hp-hr</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">
                                            Model Years 2016 and later
                                            <E T="51">†</E>
                                        </ENT>
                                        <ENT>NA</ENT>
                                        <ENT>4.78 gals./100 hp-hr</ENT>
                                        <ENT>4.52 gals/100 hp-hr</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Vocational</ENT>
                                        <ENT>LHD Engines</ENT>
                                        <ENT>MHD Engines</ENT>
                                        <ENT>HHD Engines</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Model Years 2013-2015</ENT>
                                        <ENT>6.07 gals/100 hp-hr</ENT>
                                        <ENT>6.07 gals/100 hp-hr</ENT>
                                        <ENT>5.67 gals/100 hp-hr</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">
                                            Model Years 2016 and later
                                            <E T="51">†</E>
                                        </ENT>
                                        <ENT>5.66 gals/100 hp-hr</ENT>
                                        <ENT>5.66 gals/100 hp-hr</ENT>
                                        <ENT>5.45 gals/100 hp-hr</ENT>
                                    </ROW>
                                    <TNOTE>
                                        <E T="51">†</E>
                                        <E T="02">Note:</E>
                                         these alternate standards for 2016 and later are the same as the otherwise applicable standards for 2017 and later.
                                    </TNOTE>
                                </GPOTABLE>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.6</SECTNO>
                                <SUBJECT>Measurement and calculation procedures.</SUBJECT>
                                <P>
                                    (a) 
                                    <E T="03">Heavy-duty pickup trucks and vans.</E>
                                     This section describes the testing a manufacturer must perform for each model year and the method for determining the fleet fuel consumption performance to show compliance with the fleet average fuel consumption standard for heavy-duty pickup trucks and vans in § 535.5(a).
                                </P>
                                <P>(1) For each model year, the heavy-duty pickup trucks and vans selected by a manufacturer to comply with fuel consumption standards in § 535.5(a) must be used to determine the manufacturer's fleet average fuel consumption performance. If the manufacturer's fleet includes conventional and advanced technology heavy-duty pickup trucks and vans, the fleet should be sub-divided into two separate vehicle fleets, with all of the conventional vehicles in one fleet and all of the advanced technology vehicles in the other fleet.</P>
                                <P>(2) Vehicles in each fleet should be divided into test groups or subconfigurations according to EPA in 40 CFR part 86, subpart S, and 40 CFR 1037.104.</P>
                                <P>
                                    (3) Test and measure the CO
                                    <E T="52">2</E>
                                     emissions test results for the selected vehicles and determine the CO
                                    <E T="52">2</E>
                                     emissions test group result, in grams per mile in accordance with 40 CFR part 86, subpart S.
                                </P>
                                <P>
                                    (i) Perform exhaust testing on vehicles fueled by conventional and alternative fuels, including dedicated and dual fueled (multi-fueled and flexible fueled) vehicles and measure the CO
                                    <E T="52">2</E>
                                     emissions test result.
                                </P>
                                <P>
                                    (ii) Adjust the CO
                                    <E T="52">2</E>
                                     emissions test result of dual fueled vehicles using a weighted average of your emission results as specified in 40 CFR 600.510-12(k) for light-duty trucks.
                                </P>
                                <P>
                                    (iii) All electric vehicles are deemed to have zero emissions of CO
                                    <E T="52">2</E>
                                    , CH4, and N
                                    <E T="52">2</E>
                                    O. No emission testing is required for such electric vehicles. Assign the fuel consumption test group result to a value of zero gallons per 100 miles in paragraph (a)(4) of this section.
                                </P>
                                <P>(iv) Test cab-complete and incomplete vehicles using the applicable complete sister vehicles as determined in 40 CFR 1037.104(g).</P>
                                <P>(v) Test loose engines using applicable complete vehicles as determined in 40 CFR 1037.104(h).</P>
                                <P>
                                    (vi) Manufacturers can choose to analytically derive CO
                                    <E T="52">2</E>
                                     emission rates (ADCs) for test groups or subconfigurations. Calculate the ADCs for test groups or subconfigurations in accordance with 40 CFR 1037.104(g).
                                    <PRTPAGE P="57502"/>
                                </P>
                                <P>
                                    (4) Calculate equivalent fuel consumption test group results, in gallons per 100 miles, from CO
                                    <E T="52">2</E>
                                     emissions test group results, in grams per miles, and round to the nearest 0.01 gallon per 100 miles.
                                </P>
                                <P>
                                    (i) Calculate the equivalent fuel consumption test group results as follows for compression-ignition vehicles and alternative fuel compression-ignition vehicles. CO
                                    <E T="52">2</E>
                                     emissions test group result (grams per mile)/10,180 grams per gallon of diesel fuel) × (10
                                    <SU>2</SU>
                                    ) = Fuel consumption test group result (gallons per 100 mile).
                                </P>
                                <P>
                                    (ii) Calculate the equivalent fuel consumption test group results as follows for spark-ignition vehicles and alternative fuel spark-ignition vehicles. CO
                                    <E T="52">2</E>
                                     emissions test group result (grams per mile)/8,877 grams per gallon of gasoline fuel) × (10
                                    <SU>2</SU>
                                    ) = Fuel consumption test group result (gallons per 100 mile).
                                </P>
                                <P>(5) Calculate the fleet average fuel consumption result, in gallons per 100 miles, from the equivalent fuel consumption test group results and round the fuel consumption result to the nearest 0.01 gallon per 100 miles. Calculate the fleet average fuel consumption result using the following equation.</P>
                                <GPH SPAN="3" DEEP="34">
                                    <GID>ER15SE11.107</GID>
                                </GPH>
                                <EXTRACT>
                                    <FP SOURCE="FP-2">Where:</FP>
                                    <FP SOURCE="FP-2">
                                        Fuel Consumption Test Group Result
                                        <E T="54">i</E>
                                         = fuel consumption performance for each test group as defined in 49 CFR 523.4.
                                    </FP>
                                    <FP SOURCE="FP-2">
                                        Volume
                                        <E T="54">i</E>
                                         = production volume of each test group.
                                    </FP>
                                </EXTRACT>
                                <P>(6) Compare the fleet average fuel consumption standard to the fleet average fuel consumption performance. The fleet average fuel consumption performance must be less than or equal to the fleet fuel consumption standard to comply with standards in § 535.5(a).</P>
                                <P>
                                    (b) 
                                    <E T="03">Heavy-duty vocational vehicles and tractors.</E>
                                     This section describes the testing a manufacturer must perform and the method for determining fuel consumption performance to show compliance with the fuel consumption standards for vocational vehicles and tractors in § 535.5(b) and (c).
                                </P>
                                <P>(1) Select vehicles and vehicle family configurations to test as specified in 40 CFR 1037.230 for vehicles that make up each of the manufacture's regulatory subcategories of vocational vehicles and tractors.</P>
                                <P>
                                    (2) Determine the CO
                                    <E T="52">2</E>
                                     emissions and fuel consumption results for all vehicle chassis (conventional, alternative fueled and advanced technology vehicles) using the Greenhouse Emissions Model (GEM) in accordance with 40 CFR part 1037, subpart F. Vocational vehicles and tractor chassis are modeled using the following inputs in the GEM model. All seven of the following inputs apply for sleeper cab tractors, while some do not apply for vocational vehicles and other tractor regulatory subcategories:
                                </P>
                                <P>(i) Identification of vehicles using regulatory subcategories (such as “Class 8 Combination—Sleeper Cab—High Roof”).</P>
                                <P>(ii) Coefficient of aerodynamic drag in accordance with 40 CFR 1037.520 and 1037.521. Do not use for vocational vehicles.</P>
                                <P>(iii) Steer tire rolling resistance for low rolling resistance tires in accordance with 40 CFR 1037.520 and 1037.650.</P>
                                <P>(iv) Drive tire rolling resistance for low rolling resistance tires in accordance with 40 CFR 1037.520 and 1037.650.</P>
                                <P>(v) Vehicle speed limit as governed by vehicles speed limiters in accordance with 40 CFR 1037.520 and 1037.640. Do not use for vocational vehicles.</P>
                                <P>(vi) Vehicle weight reduction as provided in accordance with 40 CFR 1037.520. Do not use for vocational vehicles.</P>
                                <P>(vii) Extended idle reduction credit using automatic engine shutdown systems in accordance with 40 CFR 1037.520 and 1037.660. Do not use for vehicles other than Class 8 sleeper cabs.</P>
                                <P>
                                    (3) From the GEM results, select the CO
                                    <E T="52">2</E>
                                     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 and expressed to the nearest 0.1 gallons per 1000 ton-mile. For families containing multiple subfamilies, identify the FELs for each subfamily.
                                </P>
                                <P>(4) Paragraphs (b)(1) through (3) of this section address vocational vehicle and tractor chassis testing only. Engine performance and the advanced technologies equipped on vocational vehicles and tractors are tested separately as follows:</P>
                                <P>(i) Vocational vehicle and tractor engine test results for conventional and alternative fueled vehicles are determined in accordance with § 535.6(c).</P>
                                <P>(ii) Improvements for advanced technologies are determined as follows:</P>
                                <P>(A) Test hybrid vehicles with power take-off in accordance with 40 CFR 1037.525 and vehicles with post-transmission hybrid systems in accordance with 40 CFR 1037.550.</P>
                                <P>
                                    (B) All electric vehicles are deemed to have zero CO
                                    <E T="52">2</E>
                                     emissions and fuel consumption. No emission testing is required for such electric vehicles. Assign the vehicle family with a fuel consumption FEL result to a value of zero gallons per 1000-ton miles in paragraph (3) of this section.
                                </P>
                                <P>
                                    (c) 
                                    <E T="03">Heavy-duty engines.</E>
                                     This section describes the testing a manufacturer must perform and the method for determining fuel consumption performance to show compliance with the fuel consumption standards for engines in § 535.5(d). Each engine must be tested to the primary intended service class that it is designed for in accordance with 40 CFR 1036.108
                                </P>
                                <P>(1) Select emission-data engines and engine family configurations to test as specified in 40 CFR part 86 and part 1036, subpart C for engines installed in vehicles that make up each of the manufacture's regulatory subcategory.</P>
                                <P>
                                    (2) Test the CO
                                    <E T="52">2</E>
                                     emissions for each emissions-data engine subject to the standards in § 535.5(d) using the procedures and equipment specified in 40 CFR part 1036, subpart F. Measure the CO
                                    <E T="52">2</E>
                                     emissions in grams per bhp-hr as specified in 40 CFR part 86, subpart N, and part 1036, subpart C.
                                </P>
                                <P>
                                    (i) Perform exhaust testing on each fuel type for conventional, dedicated, dual fuel (multi-fuel, and flexible fuel) vehicles and measure the CO
                                    <E T="52">2</E>
                                     emissions level.
                                </P>
                                <P>
                                    (ii) Adjust the CO
                                    <E T="52">2</E>
                                     emissions result of dual fueled vehicles using a weighted average of the demonstrated emission results as specified in 40 CFR 1036.225. If EPA disapproves a manufacturer's dual fuel vehicle demonstrated use submission, NHTSA will require the manufacturer to only use the test results with 100 percent conventional fuel to determine the fuel consumption of the engine.
                                </P>
                                <P>
                                    (iii) All electric vehicles are deemed to have zero emissions of CO
                                    <E T="52">2</E>
                                     and zero fuel consumption. No emission or fuel consumption testing is required for such electric vehicles.
                                    <PRTPAGE P="57503"/>
                                </P>
                                <P>
                                    (3) Determine the CO
                                    <E T="52">2</E>
                                     emissions for the family certification level (FCL) from the emissions test results in paragraph (c)(2) of this section for engine families within the heavy-duty engine regulatory subcategories for each model year.
                                </P>
                                <P>(i) If a manufacturer certifies an engine family for use both as a vocational engine and as a tractor engine, the manufacturer must split the family into two separate subfamilies in accordance with 40 CFR 1036.230. The manufacturer may assign the numbers and configurations of engines within the respective subfamilies at any time prior to the submission of the end-of-year report required by 40 CFR 1036.730 and § 535.8. The manufacturer must track into which type of vehicle each engine is installed, although EPA may allow the manufacturer to use statistical methods to determine this for a fraction of its engines.</P>
                                <P>(ii) The following engines are excluded from the engine families used to determined FCL values and the benefit for these engines is determined as an advanced technology credits under the ABT provisions provided in § 535.7(e):</P>
                                <P>(A) Engines certified as hybrid engines or power packs.</P>
                                <P>(B) Engines certified as hybrid engines designed with PTO capability and that are sold with the engine coupled to a transmission.</P>
                                <P>(C) Engines with Rankine cycle waste heat recovery.</P>
                                <P>
                                    (4) Calculate equivalent fuel consumption values for emissions FCLs and the CO
                                    <E T="52">2</E>
                                     levels for certified engines, in gallons per 100 bhp-hr and round each fuel consumption value to the nearest 0.01 gallon per 100 bhp-hr.
                                </P>
                                <P>
                                    (i) Calculate equivalent fuel consumption FCL values for compression-ignition engines and alternative fuel compression-ignition engines. CO
                                    <E T="52">2</E>
                                     FCL value (grams per bhp-hr)/10,180 grams per gallon of diesel fuel) × (10 
                                    <SU>2</SU>
                                    ) = Fuel consumption FCL value (gallons per 100 bhp-hr).
                                </P>
                                <P>
                                    (ii) Calculate equivalent fuel consumption FCL values for spark-ignition engines and alternative fuel spark-ignition engines. CO
                                    <E T="52">2</E>
                                     FCL value (grams per bhp-hr)/8,877 grams per gallon of gasoline fuel) × (10 
                                    <SU>2</SU>
                                    ) = Fuel consumption FCL value (gallons per 100 bhp-hr).
                                </P>
                                <P>(iii) Manufacturers may carryover fuel consumption data from a previous model year if allowed to carry over emissions data for EPA in accordance with 40 CFR 1036.235.</P>
                                <P>(iv) If a manufacturer uses an alternate test procedure under 40 CFR 1065.10 and subsequently the data is rejected by the EPA, NHTSA will also reject the data.</P>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.7 </SECTNO>
                                <SUBJECT>Averaging, banking, and trading (ABT) program.</SUBJECT>
                                <P>
                                    (a) 
                                    <E T="03">Fuel consumption credits (FCC).</E>
                                     At the end of each model year, manufacturers 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 (hereafter reference as the NHTSA ABT program).
                                </P>
                                <P>
                                    (1) 
                                    <E T="03">Averaging.</E>
                                     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.
                                </P>
                                <P>
                                    (2) 
                                    <E T="03">Banking.</E>
                                     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.
                                </P>
                                <P>
                                    (3) 
                                    <E T="03">Trading.</E>
                                     Trading is a transaction that transfers FCC between manufacturers or other entities. A manufacturer may use traded FCC for averaging, banking, or further trading transactions. Traded FCC, other than advanced technology credits, may be used only within the averaging set in which they were generated.
                                </P>
                                <P>
                                    (b) 
                                    <E T="03">ABT provisions for heavy-duty pickup trucks and vans.</E>
                                     (1) This regulatory category consists of one regulatory subcategory, heavy-duty pickup trucks and vans. This one regulatory subcategory makes up one averaging set.
                                </P>
                                <P>(2) Manufacturers that manufacture vehicles within this regulatory subcategory shall calculate credits at the end of each model year based upon the final average fleet fuel consumption standard and final average fleet fuel consumption performance value within this one regulatory subcategory as identified in paragraph (b)(8) of this section. If the manufacturer's fleet includes conventional vehicles (gasoline, diesel and alternative fuel) and advanced technology vehicles (hybrids with regenerative braking, vehicles equipped with Rankine-cycle engines, electric and fuel cell vehicles) it should be divided into two separate fleets each with its own final average fleet fuel consumption standard and final average fleet fuel consumption performance value. Credits shall be calculated for each of the two fleets.</P>
                                <P>(3) Fuel consumption levels below the standard create a “credit surplus,” while fuel consumption levels above the standard create a “credit shortfall.”</P>
                                <P>(4) Surplus credits, other than advanced technology credits, generated and calculated within this averaging set may only be used to offset a credit shortfall in this same averaging set.</P>
                                <P>(5) Advanced technology credits can be used to offset a credit shortfall in this same averaging set or other averaging sets. However, a manufacturer must first apply advanced technology credits to any deficits in the same averaging set before applying them to other averaging sets.</P>
                                <P>(6) Surplus credits, other than advanced technology credits, may be traded among credit holders but must stay within the same averaging set. Advanced technology credits can be traded across averaging sets.</P>
                                <P>(7) Surplus credits, if not used to offset a credit shortfall may be banked by the manufacturer for use in future model years, or traded, given the restriction that the credits have an expiration date of five model years after the year in which the credits are earned. For example, credits earned in model year 2014 may be utilized through model year 2019.</P>
                                <P>(8) Credit shortfalls must be offset by an available credit surplus within three model years after the shortfall was incurred. If the shortfall cannot be offset, the manufacturer is liable for civil penalties as discussed in § 535.9.</P>
                                <P>(9) Calculate the value of credits generated in a model year for this regulatory subcategory or averaging set using the following equation:</P>
                                <FP SOURCE="FP-2">
                                    Total MY Fleet FCC (gallons) = (Std − Act) × (Volume) × (UL) × (10 
                                    <SU>2</SU>
                                    )
                                </FP>
                                <EXTRACT>
                                    <FP SOURCE="FP-2">Where:</FP>
                                    <FP SOURCE="FP-2">Std = Fleet average fuel consumption standard (gal/100 mile).</FP>
                                    <FP SOURCE="FP-2">Act = Fleet average actual fuel consumption value (gal/100 mile).</FP>
                                    <FP SOURCE="FP-2">Volume = the total U.S.-directed production of vehicles in the regulatory subcategory.</FP>
                                    <FP SOURCE="FP-2">UL = the useful life for the regulatory subcategory (120,000 miles).</FP>
                                </EXTRACT>
                                <P>
                                    (10) If a manufacturer generates credits from its fleet of advanced technology vehicles in accordance with 535.7(e)(1) a multiplier of 1.5 can be used. Advanced technology credits can be used in other averaging sets different 
                                    <PRTPAGE P="57504"/>
                                    from the one they are generated within with the following restrictions.
                                </P>
                                <P>(i) The maximum amount of credits a manufacturer may bring into the service class group that contains the heavy-duty pickup and van averaging set is 5.89 Mgallons (for advanced technology credits based upon compression ignition engines) or 6.76 Mgallons (for advanced technology credits based upon spark-ignition engines) per model year as specified in 40 CFR 1037.104.</P>
                                <P>(ii) The limit specified in paragraph (b)(10)(i) of this section does not limit the amount of advanced technology credits that can be used across averaging sets within the same service class group.</P>
                                <P>
                                    (11) If a manufacturer chooses to generate CO
                                    <E T="52">2</E>
                                     emission credits under EPA provisions of 40 CFR 1037.150(a), it may also voluntarily generate early credits under the NHTSA fuel consumption program. Fuel consumption credits may be generated for vehicles certified in model year 2013 to the model year 2014 standards in § 535.5(a). To do so a manufacturer must certify its entire U.S. directed production volume of vehicles in its fleet. The same production volume restrictions specified in 40 CFR 1037.150(a)(2) relating to when test groups are certified apply to the NHTSA early credit provisions. Credits are calculated as specified in paragraph (b)(9) of this section relative to the fleet standard that would apply for model year 2014 using the model year 2013 production volumes. Surplus credits generated under this paragraph are available credits for banking or trading. Credit deficits for an averaging set prior to model year 2014 do not carry over to model year 2014. These credits may be used to show compliance with the standards of this part for 2014 and later model years. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
                                    <E T="52">2</E>
                                     emission program.
                                </P>
                                <P>
                                    (c) 
                                    <E T="03">ABT provisions for vocational vehicles and tractors.</E>
                                     (1) The two regulatory categories for vocational vehicles and tractors consist of 12 regulatory subcategory as follows:
                                </P>
                                <P>(i) Vocational vehicles with a GVWR up to and including 19,500 pounds (Light Heavy-Duty (LHD));</P>
                                <P>(ii) Vocational vehicles with a GVWR above 19,500 pounds and no greater than 33,000 pounds (Medium Heavy-Duty (MHD));</P>
                                <P>(iii) Vocational vehicles with a GVWR over 33,000 pounds (Heavy Heavy-Duty (HHD));</P>
                                <P>(iv) Low roof day cab tractors with a GVWR above 26,000 pounds and no greater than 33,000 pounds;</P>
                                <P>(v) Mid roof day cab tractors with a GVWR above 26,000 pounds and no greater than 33,000 pounds;</P>
                                <P>(vi) High roof day cab tractors with a GVWR above 26,000 pounds and no greater than 33,000 pounds; </P>
                                <P>(vii) Low roof day cab tractors with a GVWR above 33,000 pounds;</P>
                                <P>(viii) Mid roof day cab tractors with a GVWR above 33,000 pounds;</P>
                                <P>(ix) High roof day cab tractors with a GVWR above 33,000 pounds;</P>
                                <P>(x) Low roof sleeper cab tractors with a GVWR above 33,000 pounds;</P>
                                <P>(xi) Mid roof sleeper cab tractors with a GVWR above 33,000 pounds; and</P>
                                <P>(xii) High roof sleeper cab tractors with a GVWR above 33,000 pounds.</P>
                                <P>(2) The 12 regulatory subcategories consist of three averaging sets as follows:</P>
                                <P>(i) Vocational light-heavy vehicles at or below 19,500 pounds GVWR.</P>
                                <P>(ii) Vocational and tractor medium-heavy vehicles above 19,500 pounds GVWR but at or below 33,000 pounds GVWR.</P>
                                <P>(iii) Vocational and tractor heavy-heavy vehicles above 33,000 pounds GVWR.</P>
                                <P>(3) Manufacturers that manufacture vehicles within either of these two vehicle categories, in one or more of the regulatory subcategories, shall calculate a total credit balance within each applicable averaging set at the end of each model year based upon final production volumes and the sum of the credit balances derived for each of the vehicle family groups within each averaging set.</P>
                                <P>(4) Each designated vehicle family group has a “family emissions limit” (FEL) which is compared to the associated regulatory subcategory standard. A FEL that falls below the regulatory subcategory standard creates “positive credits,” while fuel consumption level of a family group above the standard creates a “credit shortfall.”</P>
                                <P>(5) Manufacturers shall sum all shortfalls and surplus credits for each vehicle family within each applicable averaging set to obtain the total credit balance for the model year before rounding. The sum of fuel consumptions credits must be rounded to the nearest gallon.</P>
                                <P>(6) Surplus credits, other than advanced technology credits, generated and calculated within this averaging set may only be used to offset a credit shortfall in this same averaging set.</P>
                                <P>(7) Advanced technology credits can be used to offset a credit shortfall in this same averaging set or other averaging sets. However, a manufacturer must first apply advanced technology credits to any deficits in the same averaging set before applying them to other averaging sets.</P>
                                <P>(8) Surplus credits, other than advanced technology credits, may be traded among credit holders but must stay within the same averaging set. Advanced technology credits can be traded across averaging sets.</P>
                                <P>(9) Surplus credits, if not used to offset a credit shortfall may be banked by the manufacturer for use in future model years, or traded, given the restriction that the credits have an expiration date of five model years after the year in which the credits are earned. For example, credits earned in model year 2014 may be utilized through model year 2019.</P>
                                <P>(10) Credit shortfalls must be offset by an available credit surplus within three model years after the shortfall was incurred. If the shortfall cannot be offset, the manufacturer is liable for civil penalties as discussed in § 535.9.</P>
                                <P>(11) The value of credits generated in a model year is calculated as follows:</P>
                                <P>(i) Calculate the value of credits generated in a model year for each vehicle family within an averaging set using the following equation:</P>
                                <FP SOURCE="FP-2">
                                    Vehicle Family FCC (gallons) = (Std − FEL) × (Payload) × (Volume) × (UL) × (10 
                                    <SU>3</SU>
                                    )
                                </FP>
                                <EXTRACT>
                                    <FP SOURCE="FP-2">Where:</FP>
                                    <FP SOURCE="FP-2">Std = the standard for the respective vehicle family regulatory subcategory (gal/1000 ton-mile).</FP>
                                    <FP SOURCE="FP-2">FEL = family emissions limit for the vehicle family (gal/1000 ton-mile).</FP>
                                    <FP SOURCE="FP-2">Payload = the prescribed payload in tons for each regulatory subcategory as shown in the following table:</FP>
                                    <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s30,6.2">
                                        <TTITLE> </TTITLE>
                                        <BOXHD>
                                            <CHED H="1">Regulatory subcategory</CHED>
                                            <CHED H="1">
                                                Payload 
                                                <LI>(Tons)</LI>
                                            </CHED>
                                        </BOXHD>
                                        <ROW>
                                            <ENT I="01">LHD Vocational Vehicles</ENT>
                                            <ENT>2.85</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">MHD Vocational Vehicles</ENT>
                                            <ENT>5.60</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">HHD Vocational Vehicles</ENT>
                                            <ENT>7.5</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Class 7 Tractor</ENT>
                                            <ENT>12.50</ENT>
                                        </ROW>
                                        <ROW>
                                            <ENT I="01">Class 8 Tractor</ENT>
                                            <ENT>19.00</ENT>
                                        </ROW>
                                    </GPOTABLE>
                                    <FP SOURCE="FP-2">Volume = the number of U.S.-directed production volume of vehicles in the corresponding vehicle family.</FP>
                                    <FP SOURCE="FP-2">UL = the useful life for the regulatory subcategory (miles) as shown in the following table:</FP>
                                </EXTRACT>
                                <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s30,8">
                                    <TTITLE> </TTITLE>
                                    <BOXHD>
                                        <CHED H="1">Regulatory subcategory</CHED>
                                        <CHED H="1">
                                            UL 
                                            <LI>(miles)</LI>
                                        </CHED>
                                    </BOXHD>
                                    <ROW>
                                        <ENT I="01">LHD Vocational Vehicles</ENT>
                                        <ENT>110,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">MHD Vocational Vehicles</ENT>
                                        <ENT>185,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">HHD Vocational Vehicles</ENT>
                                        <ENT>435,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Class 7 Tractor</ENT>
                                        <ENT>185,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Class 8 Tractor</ENT>
                                        <ENT>435,000</ENT>
                                    </ROW>
                                </GPOTABLE>
                                <PRTPAGE P="57505"/>
                                <P>(ii) Calculate the value of credits generated in a model year for each vehicle family for advanced technology vehicles within an averaging set using the equation above, the guidelines provided in paragraph (e)(1)(i) of this section, and the 1.5 credit multiplier.</P>
                                <P>(iii) Calculate the total credits generated in a model year for each averaging set using the following equation:</P>
                                <FP SOURCE="FP-2">Total averaging set MY credits = Σ Vehicle family credits within each average set</FP>
                                <P>
                                    (12) If a manufacturer chooses to generate CO
                                    <E T="52">2</E>
                                     emission credits under EPA provisions of 40 CFR 1037.150(a), it may also voluntarily generate early credits under the NHTSA fuel consumption program as follows:
                                </P>
                                <P>
                                    (i) Fuel consumption credits may be generated for vehicles certified in model year 2013 to the model year 2014 standards in § 535.5(b) and (c). To do so a manufacturer must certify its entire U.S. directed production volume of vehicles. The same production volume restrictions specified in 40 CFR 1037.150(a)(1) relating to when test groups are certified apply to the NHTSA early credit provisions. Credits are calculated as specified in paragraph (c)(11) of this section relative to the standards that would apply for model year 2014. Surplus credits generated under this paragraph (c)(12) may be increased by a factor of 1.5 for determining total available credits for banking or trading. For example, if you have 10 gallons of surplus credits for model year 2013, you may bank 15 gallons of credits. Credit deficits for an averaging set prior to model year 2014 do not carry over to model year 2014. These credits may be used to show compliance with the standards of this part for 2014 and later model years. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
                                    <E T="52">2</E>
                                     emission program.
                                </P>
                                <P>
                                    (ii) A tractor manufacturer may generate fuel consumption credits for the number of additional SmartWay designated tractors (relative to its MY 2012 production), provided that credits are not generated for those vehicles under paragraph (c)(12)(i) of this section. Calculate credits for each regulatory sub-category relative to the standard that would apply in model year 2014 using the equations in paragraph (c)(11) of this section. Use a production volume equal to the number of verified model year 2013 SmartWay tractors minus the number of verified model year 2012 SmartWay tractors. A manufacturer may bank credits equal to the surplus credits generated under this paragraph multiplied by 1.50. A manufacturer's 2012 and 2013 model years must be equivalent in length. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
                                    <E T="52">2</E>
                                     emission program.
                                </P>
                                <P>(13) If a manufacturer generates credits from vehicles certified for advanced technology in accordance with § 535.7(e)(1), a multiplier of 1.5 can be used, but this multiplier cannot be used on the same credits for which the early credit multiplier is used. Advanced technology credits can be used in other averaging sets different from the one they are generated, but the maximum amount of credits a manufacturer may bring into a service class group that contains the vocational vehicle and tractor averaging sets is 5.89 Mgallons (for advanced technology credits based upon compression ignition engines) or 6.76 Mgallons (for advanced technology credits based upon spark-ignition engines) per model year as specified in 40 CFR 1037.740. However, this does not limit the amount of advanced technology credits that can be used across averaging sets within the same service class group.</P>
                                <P>
                                    (d) 
                                    <E T="03">ABT provisions for heavy-duty engines.</E>
                                     (1) Heavy-duty engines consist of six regulatory subcategories as follows:
                                </P>
                                <P>(i) Spark-ignition engines.</P>
                                <P>(ii) Light heavy-duty compression-ignition engines.</P>
                                <P>(iii) Medium heavy-duty vocational compression-ignition engines.</P>
                                <P>(iv) Medium heavy-duty tractor compression-ignition engines.</P>
                                <P>(v) Heavy heavy-duty vocational compression-ignition engines.</P>
                                <P>(vi) Heavy heavy-duty tractor compression-ignition engines.</P>
                                <P>(2) The six regulatory subcategories consist of four averaging sets as follows:</P>
                                <P>(i) Compression-ignition light heavy-duty engines.</P>
                                <P>(ii) Compression-ignition medium heavy-duty engines.</P>
                                <P>(iii) Compression-ignition heavy heavy-duty engines.</P>
                                <P>(iv) Spark-ignition engines.</P>
                                <P>(3) Manufacturers that manufacture engines within one or more of the regulatory subcategories, shall calculate a total credit balance within each applicable averaging set at the end of each model year based upon final production volumes and the sum of the credit balances derived for each of the engine families within each averaging set.</P>
                                <P>(4) Each designated engine family has a “family certification level” (FCL) which is compared to the associated regulatory subcategory standard. A FCL that falls below the regulatory subcategory standard creates “positive credits,” while fuel consumption level of a family group above the standard creates a “credit shortfall.”</P>
                                <P>(5) Manufacturers shall sum all surplus and shortfall credits for each engine family within the applicable averaging set to obtain the total credit balance for the model year before rounding. Round the sum of fuel consumptions credits to the nearest gallon.</P>
                                <P>(6) Surplus credits, other than advanced technology credits, generated and calculated within this averaging set may only be used to offset a credit shortfall in this same averaging set.</P>
                                <P>(7) Advanced technology credits can be used to offset a credit shortfall in this same averaging set or other averaging sets. However, a manufacturer must first apply advanced technology credits to any deficits in the same averaging set before applying them to other averaging sets.</P>
                                <P>(8) Surplus credits, other than advanced technology credits, may be traded among credit holders but must stay within the same averaging set. Advanced technology credits can be traded across averaging sets.</P>
                                <P>(9) Surplus credits, if not used to offset a credit shortfall may be banked by the manufacturer for use in future model years, or traded, given the restriction that the credits have an expiration date of five model years after the year in which the credits are earned. For example, credits earned in model year 2014 may be utilized through model year 2019.</P>
                                <P>(10) Credit shortfalls must be offset by available surplus credits within three model years after shortfall was incurred. If the shortfall cannot be offset, the manufacturer is liable for civil penalties as discussed in § 535.9.</P>
                                <P>(11) The value of credits generated in a model year is calculated as follows:</P>
                                <P>(i) The value of credits generated in a model year for each engine family within a regulatory subcategory equals</P>
                                <FP SOURCE="FP-2">
                                    Engine Family FCC (gallons) = (Std − FCL) × (CF) × (Volume) × (UL) × (10 
                                    <SU>2</SU>
                                    )
                                </FP>
                                <EXTRACT>
                                    <FP SOURCE="FP-2">Where:</FP>
                                    <FP SOURCE="FP-2">Std = the standard for the respective engine regulatory subcategory (gal/100 bhp-hr).</FP>
                                    <FP SOURCE="FP-2">
                                        FCL = family certification level for the engine family (gal/100 bhp-hr).
                                        <PRTPAGE P="57506"/>
                                    </FP>
                                    <FP SOURCE="FP-2">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 heavy-duty engines, the equivalent mileage is 6.5 miles.</FP>
                                    <FP SOURCE="FP-2">Volume = the number of engines in the corresponding engine family.</FP>
                                    <FP SOURCE="FP-2">UL = the useful life of the given engine family (miles) as shown in the following table:</FP>
                                </EXTRACT>
                                <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s30,8">
                                    <TTITLE> </TTITLE>
                                    <BOXHD>
                                        <CHED H="1">Regulatory subcategory</CHED>
                                        <CHED H="1">
                                            UL 
                                            <LI>(miles)</LI>
                                        </CHED>
                                    </BOXHD>
                                    <ROW>
                                        <ENT I="01">Class 2b-5 Vocational Vehicles, Spark Ignited (SI), and Light Heavy-Duty Diesel Engines</ENT>
                                        <ENT>110,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Class 6-7 Vocational Vehicles and Medium Heavy-Duty Diesel Engines</ENT>
                                        <ENT>185,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Class 8 Vocational Vehicles and Heavy Heavy-Duty Diesel Engines</ENT>
                                        <ENT>435,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Class 7 Tractors and Medium Heavy-Duty Diesel Engines</ENT>
                                        <ENT>185,000</ENT>
                                    </ROW>
                                    <ROW>
                                        <ENT I="01">Class 8 Tractors and Heavy Heavy-Duty Diesel Engines</ENT>
                                        <ENT>435,000</ENT>
                                    </ROW>
                                </GPOTABLE>
                                <P>(ii) Calculate the total credits generated in a model year for each averaging set using the following equation:</P>
                                <FP SOURCE="FP-2">Total averaging set MY credits = Σ Engine family credits within each averaging set</FP>
                                <P>(12) The provisions of this section apply to manufacturers utilizing the compression-ignition engine voluntary alternate standard provisions specified in § 535.5(d)(4) as follows.</P>
                                <P>(i) Manufacturers may not certify engines to the alternate standards if they are part of an averaging set in which they carry a balance of banked credits. For purposes of this section, manufacturers are deemed to carry credits in an averaging set if they carry credits from advance technology that are allowed to be used in that averaging set.</P>
                                <P>(ii) Manufacturers may not bank fuel consumption credits for any engine family in the same averaging set and model year in which it certifies engines to the alternate standards. This means a manufacturer may not bank advanced technology credits in a model year it certifies any engines to the alternate standards.</P>
                                <P>(iii) Note that the provisions of paragraph (d)(10) of this section apply with respect to credit deficits generated while utilizing alternate standards.</P>
                                <P>(13) Where a manufacturer has chosen to comply with the EPA alternative compression ignition engine phase-in standard provisions in 40 CFR 1036.150(e), and has optionally decided to follow the same path under the NHTSA fuel consumption program, it must certify all of its model year 2013 compression-ignition engines within a given averaging set to the applicable alternative standards in § 535.5(d)(5). Engines certified to these standards are not eligible for early credits under paragraph (d)(14) of this section. Credits are calculated using the same equation provided in paragraph (d)(11) of this section.</P>
                                <P>
                                    (14) If a manufacturer chooses to generate early CO
                                    <E T="52">2</E>
                                     emission credits under EPA provisions of 40 CFR 1036.150, it may also voluntarily generate early credits under the NHTSA fuel consumption program. Fuel consumption credits may be generated for engines certified in model year 2013 (2015 for spark-ignition engines) to the standards in § 535.5(d). To do so a manufacturer must certify its entire U. S.-directed production volume of engines except as specified in 40 CFR 1036.150(a)(2). Credits are calculated as specified in paragraph (d)(11) of this section relative to the standards that would apply for model year 2014 (2016 for spark-ignition engines). Surplus credits generated under this paragraph may be increased by a factor of 1.5 for determining total available credits for banking or trading. For example, if you have 10 gallons of surplus credits for model year 2013, you may bank 15 gallons of credits. Credit deficits for an averaging set prior to model year 2014 (2016 for spark-ignition engines) do not carry over to model year 2014 (2016 for spark-ignition engines). These credits may be used to show compliance with the standards of this part for 2014 and later model years. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
                                    <E T="52">2</E>
                                     emission program.
                                </P>
                                <P>(15) If a manufacturer generates credits from engines certified for advanced technology in accordance with § 535.7(e)(1), a multiplier of 1.5 can be used, but this multiplier cannot be used on the same credits for which the early credit multiplier is used. Advanced technology credits can be used in other averaging sets different from the one they are generated, but the maximum amount of credits a manufacturer may bring into a service class group that contains the heavy-duty engine averaging sets is 5.89 Mgallons (for advanced technology credits based upon compression ignition engines) or 6.76 Mgallons (for advanced technology credits based upon spark-ignition engines) per model year as specified in 40 CFR 1036.740. However, this does not limit the amount of advanced technology credits that can be used across averaging sets within the same service class group.</P>
                                <P>
                                    (e) 
                                    <E T="03">Additional credit provisions.</E>
                                     (1) 
                                    <E T="03">Advanced technology credits.</E>
                                     Manufacturers of heavy-duty pickup trucks and vans, vocational vehicles, tractors and associated engines showing improvements in CO
                                    <E T="52">2</E>
                                     emissions and fuel consumption using hybrid vehicles with regenerative braking, vehicles equipped with Rankine-cycle engines, electric vehicles and fuel cell vehicles are eligible for advanced technology credits. Advanced technology credits may be increased by a 1.5 multiplier and applied to any heavy-duty vehicle or engine subcategory consistent with sound engineering judgment.
                                </P>
                                <P>
                                    (i) 
                                    <E T="03">Heavy-duty vehicles.</E>
                                     (A) For advanced technology system (hybrid vehicles with regenerative braking, vehicles equipped with Rankine-cycle engines and fuel cell vehicles), calculate the advanced technology credits as follows:
                                </P>
                                <P>
                                    <E T="03">(1)</E>
                                     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 1037.615.
                                </P>
                                <P>
                                    <E T="03">(2)</E>
                                     For purposes of this paragraph (e), a conventional vehicle is considered to be equivalent if it has the same footprint, intended vehicle service class, aerodynamic drag, and other relevant factors not directly related to the 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.
                                </P>
                                <P>
                                    <E T="03">(3)</E>
                                     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:
                                </P>
                                <FP SOURCE="FP-2">Benefit (gallon/1,000 ton mile) = Improvement Factor × GEM Fuel Consumption Result_B</FP>
                                <EXTRACT>
                                    <FP>Where:</FP>
                                    <FP SOURCE="FP-2">Improvement Factor = (Fuel Consumption_A—Fuel Consumption_B)/(Fuel Consumption_A)</FP>
                                    <FP SOURCE="FP-2">Fuel Consumption Rates A and B are the gallons per 1,000 ton-mile of the conventional and advanced vehicles, respectively, as measured under the test procedures specified by EPA.</FP>
                                    <FP SOURCE="FP-2">
                                        GEM Fuel Consumption Result B is the estimated gallons per 1,000 ton-mile rate resulting from emission modeling of the 
                                        <PRTPAGE P="57507"/>
                                        advanced vehicle as specified in 40 CFR 1037.520 and § 535.6(b).
                                    </FP>
                                </EXTRACT>
                                <P>
                                    <E T="03">(4)</E>
                                     Calculate the benefit in credits using the equation in paragraph (c)(11) of this section and replacing the term (Std-FEL) with the benefit.
                                </P>
                                <P>(B) For electric vehicles calculate the fuel consumption credits using an FEL of 0 g/1000ton-mile.</P>
                                <P>
                                    (ii) 
                                    <E T="03">Heavy-duty engines.</E>
                                     (A) This section specifies how to generate advanced technology-specific fuel consumption credits for hybrid powertrains that include energy storage systems and regenerative braking (including regenerative engine braking) and for engines that include Rankine-cycle (or other bottoming cycle) exhaust energy recovery systems.
                                </P>
                                <P>
                                    (
                                    <E T="03">1</E>
                                    ) Pre-transmission hybrid powertrains are those engine systems that include features that recover and store energy during engine motoring operation but not from the vehicle wheels. These powertrains are tested using the hybrid engine test procedures of 40 CFR part 1065 or using the post-transmission test procedures.
                                </P>
                                <P>
                                    (
                                    <E T="03">2</E>
                                    ) Post-transmission hybrid powertrains are those powertrains that include features that recover and store energy from braking at the vehicle wheels. These powertrains are tested by simulating the chassis test procedure applicable for hybrid vehicles under 40 CFR 1037.550.
                                </P>
                                <P>
                                    (
                                    <E T="03">3</E>
                                    ) Test engines that include Rankine-cycle exhaust energy recovery systems according to the test procedures specified in 40 CFR part 1036, subpart F, unless EPA approves the manufacturer's alternate procedures.
                                </P>
                                <P>(B) Calculate credits as specified in paragraph (c) of this section. Credits generated from engines and powertrains certified under this section may be used in other averaging sets as described in 40 CFR 1036.740(d).</P>
                                <P>
                                    (2) 
                                    <E T="03">Innovative technology credits.</E>
                                     This provision allows engine and vehicle manufacturers to generate CO
                                    <E T="52">2</E>
                                     emission credits consistent with the provisions of 40 CFR 1036.610 (for engines), 40 CFR 1037.104(d)(13) (for heavy-duty pickup trucks and vans) and 40 CFR 1037.610 (for vocational vehicles and tractors) for introducing innovative technology in heavy-duty engines and vehicles for reducing greenhouse gas emissions and fuel consumption. Upon identification and approval from EPA of a manufacturer seeking to obtain innovative technology credits in a given model year, NHTSA may adopt an equivalent amount of fuel consumption credits into its program. Such credits must remain within the same regulatory subcategory in which the credits were generated. NHTSA will adopt these fuel consumption credits depending upon whether:
                                </P>
                                <P>(i) The technology has a direct impact upon reducing fuel consumption performance;</P>
                                <P>(ii) The manufacturer has provided sufficient information to make sound engineering judgments on the impact of the technology in reducing fuel consumption performance; and</P>
                                <P>(iii) Credits will be accepted on a one-for-one basis expressed in terms of gallons.</P>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.8 </SECTNO>
                                <SUBJECT>Reporting requirements.</SUBJECT>
                                <P>
                                    (a) 
                                    <E T="03">General requirements.</E>
                                     Manufacturers producing heavy-duty vehicles and engines applicable to fuel consumption standards in § 535.5, for each given model year, must submit the required information as specified in paragraphs (b) through (h) of this section.
                                </P>
                                <P>(1) The information required by this part must be submitted by the deadlines specified in this section and must be based upon all the information and data available to the manufacturer 30 days before submitting information.</P>
                                <P>(2) Manufacturers must submit information electronically through the EPA database system as the single point of entry for all information required for this national program and both agencies will have access to the information. The format for the required information is specified by EPA.</P>
                                <P>(3) If by model year 2012 the agencies are not prepared to receive information through the EPA database system, manufacturers are required to submit information to EPA using an approved information format. A manufacturer can use a different format, if it sends EPA a written request with justification for a waiver.</P>
                                <P>
                                    (b) 
                                    <E T="03">Pre-model year reports.</E>
                                     Manufacturers producing heavy-duty pickup trucks and vans must submit reports in advance of the model year providing early estimates demonstrating how their fleet(s) would comply with GHG emissions and fuel consumption standards. Note, the agencies understand that early model year reports contain estimates that may change over the course of a model year and that compliance information manufactures submit prior to the beginning of a new model year may not represent the final compliance outcome. The agencies view the necessity for requiring early model reports as a manufacturer's good faith projection for demonstrating compliance with emission and fuel consumption standards.
                                </P>
                                <P>
                                    (1) 
                                    <E T="03">Report deadlines.</E>
                                     For model years 2013 and later, manufacturer of heavy-duty pickup trucks and vans complying with voluntary and mandatory standards must submit a pre-model year report for the given model year as early as the date of the manufacturer's annual certification preview meeting with EPA and NHTSA, or prior to submitting its first application for a certificate of conformity to EPA in accordance with 40 CFR 1037.104(d). For example, a manufacturer choosing to comply in model year 2014 could submit its pre-model year report during its precertification meeting which could occur before January 2, 2013, or could provide its pre-model year report any time prior to submitting its first application for certification for the given model year.
                                </P>
                                <P>
                                    (2) 
                                    <E T="03">Contents.</E>
                                     Each pre-model year report must be submitted including the following information for each model year.
                                </P>
                                <P>
                                    (i) A list of each unique subconfiguration in the manufacturer's fleet describing the make and model designations, attribute based-values (
                                    <E T="03">i.e.,</E>
                                     GVWR, GCWR, Curb Weight and drive configurations) and standards;
                                </P>
                                <P>(ii) The emission and fuel consumption fleet average standard derived from the unique vehicle configurations;</P>
                                <P>(iii) The estimated vehicle configuration, test group and fleet production volumes;</P>
                                <P>(iv) The expected emissions and fuel consumption test group results and fleet average performance;</P>
                                <P>(v) If complying with MY 2013 fuel consumption standards, a statement must be provided declaring that the manufacturer is voluntarily choosing to comply early with the EPA and NHTSA programs. The manufacturers must also acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year;</P>
                                <P>
                                    (vi) If complying with MYs 2014, 2015 or 2016 fuel consumption standards, a statement must be provided declaring whether the manufacturer will use fixed or increasing standards in accordance with § 535.5(a). The manufacturer must also acknowledge that once selected, the decision cannot be reversed and the manufacturer must continue to comply with the same alternative for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year;
                                    <PRTPAGE P="57508"/>
                                </P>
                                <P>(vii) If complying with MYs 2014 or 2015 fuel consumption standards, a statement must be provided declaring that the manufacturer is voluntarily choosing to comply with NHTSA's voluntary fuel consumption standards in accordance with § 535.5(a)(4). The manufacturers must also acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year;</P>
                                <P>(viii) The list of Class 2b and 3 incomplete vehicles (cab-complete or chassis complete vehicles) and the method used to certify these vehicles as complete pickups and vans identifying the most similar complete sister- or other complete vehicles used to derive the target standards and performance test results;</P>
                                <P>(ix) The list of Class 4 and 5 incomplete and complete vehicles and the method use to certify these vehicles as complete pickups and vans identifying the most similar complete or sister vehicles used to derive the target standards and performance test results;</P>
                                <P>(x) List of loose engines included in the heavy-duty pickup and van category and the list of vehicles used to derive target standards and performance test results;</P>
                                <P>(xi) Copy of any notices a vehicle manufacturer sends to the engine manufacturer to notify the engine manufacturers that their engines are subject to emissions and fuel consumption standards and that it intends to use their engines in excluded vehicles;</P>
                                <P>
                                    (xii) A credit plan identifying the manufacturers estimated credit balances, planned credit flexibilities (
                                    <E T="03">i.e.,</E>
                                     credit balances, planned credit trading, innovative, advanced and early credits and 
                                    <E T="03">etc.</E>
                                    ) and if needed a credit deficit plan demonstrating how it plans to resolve any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred; and
                                </P>
                                <P>(xiii) The supplemental information specified in paragraph (h) of this section. [Note: NHTSA may also ask a manufacturer to provide additional information if necessary to verify compliance with the fuel consumption requirements of this regulation.]</P>
                                <P>
                                    (c) 
                                    <E T="03">Applications for certificate of conformity.</E>
                                     Manufacturers producing vocational vehicles, tractors and heavy-duty engines are required to submit applications for certificates of conformity to EPA in accordance with 40 CFR 1036.205 and 1037.205 in advance of introducing vehicles for commercial sale. Applications contain early model year information demonstrating how manufacturers plan to comply with GHG emissions. For model years 2013 and later, manufacturers of vocational vehicles, tractors and engine complying with NHTSA's voluntary and mandatory standards must submit applications for certificates of conformity in accordance through the EPA database including both GHG emissions and fuel consumption information for each given model year.
                                </P>
                                <P>
                                    (1)
                                    <E T="03"> Submission deadlines.</E>
                                     Applications are primarily submitted in advance of the given model year to EPA but cannot be submitted any later than December 31 of the given model year.
                                </P>
                                <P>
                                    (2) 
                                    <E T="03">Contents.</E>
                                     Each application for certificates of conformity submitted to EPA must include the following equivalent fuel consumption.
                                </P>
                                <P>
                                    (i) Equivalent fuel consumption values for emissions CO
                                    <E T="52">2</E>
                                     FCLs values used to certify each engine family in accordance with 40 CFR 1036.205(e). This provision applies only to manufacturers producing heavy-duty engines.
                                </P>
                                <P>
                                    (ii) Equivalent fuel consumption values for emission CO
                                    <E T="52">2</E>
                                     data engines used to comply with emission standards in 40 CFR 1036.108. This provision applies only to manufacturers producing heavy-duty engines.
                                </P>
                                <P>
                                    (iii) Equivalent fuel consumption values for emissions CO
                                    <E T="52">2</E>
                                     FELs values used to certify each vehicle families or subfamilies in accordance with 40 CFR 1037.205(k). This provision applies only to manufacturers producing vocational vehicles and tractors.
                                </P>
                                <P>
                                    (iv) Report modeling results for ten configurations in terms of CO
                                    <E T="52">2</E>
                                     emissions and equivalent fuel consumption results in accordance with 40 CFR 1037.205(o). Include modeling inputs and detailed descriptions of how they were derived. This provision applies only to manufacturers producing vocational vehicles and tractors.
                                </P>
                                <P>
                                    (3) 
                                    <E T="03">Additional supplemental information.</E>
                                     Manufacturers are required to submit additional information as specified in paragraph (h) of this section for the NHTSA program before or at the same time it submits its first application for a certificate of conformity to EPA. Under limited conditions, NHTSA may also ask a manufacturer to provide additional information directly to the Administrator if necessary to verify the fuel consumption requirements of this regulation.
                                </P>
                                <P>
                                    (d) 
                                    <E T="03">End-of-the-year-report.</E>
                                     Both manufacturers participating and not participating in the ABT program are required to submit year end reports; end-of-the-year (EOY) reports in accordance with 40 CFR 1036.730 and 1037.730. The EOY reports are used to review a manufacturer's preliminary final estimates and to identify manufacturers that might have a credit deficit for the given model year. For model years 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA's voluntary and mandatory standards must submit EOY reports through the EPA database including both GHG emissions and fuel consumption information for each given model year.
                                </P>
                                <P>
                                    (1)
                                    <E T="03"> Report deadlines.</E>
                                     For model year 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards must submit EOY reports through the EPA database including both GHG emissions and fuel consumption information within 90 days after the end of the given model year and no later than April 1 of the next calendar year. For example, the EOY report for model year 2014 must be submitted no later than April 1, 2015.
                                </P>
                                <P>(i) If a manufacturer expects differences in the information reported between the EOY and the final year report specified in 40 CFR 1036.730 and 1037.730, it must provide the most up-to-date fuel consumption projections in its EOY report and indentify the information as preliminary.</P>
                                <P>(ii) If the manufacturer cannot provide any of the required fuel consumption information, it must state the specific reason for the insufficiency and identify the additional testing needed or explain what analytical methods are believed by the manufacturer will be necessary to eliminate the insufficiency and certify that the results will be available for the final report.</P>
                                <P>
                                    (2) 
                                    <E T="03">Contents.</E>
                                     Each EOY report must be submitted including the following fuel consumption information for each model year.
                                </P>
                                <P>(i) Engine and vehicle family designations and averaging sets.</P>
                                <P>(ii) Engine and vehicle regulatory subcategory and fuel consumption standards including any alternative standards used.</P>
                                <P>(iii) Engine and vehicle family FCLs and FELs in terms of fuel consumption.</P>
                                <P>(iv) Production volumes for engines and vehicles.</P>
                                <P>
                                    (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 
                                    <PRTPAGE P="57509"/>
                                    deficits that might occur for a model year within a period of up to three model years after that deficit has occurred
                                </P>
                                <P>(vi) A plan describing the vocational vehicles and vocational tractors that were exempted as heavy-duty off-road vehicles.</P>
                                <P>(vii) A final plan describing any advanced technology engines or vehicles including alternative fueled vehicles that were produced for the model year identifying the approaches used to determinate compliance and the production volumes.</P>
                                <P>(viii) A final list of each unique subconfiguration included in a manufacturers fleet of heavy-duty pickup trucks and vans describing the designations, attribute based-values (GVWR, GCWR, Curb Weight and drive configurations) and standards. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(ix) The final fuel consumption fleet average standard derived from the unique vehicle configurations. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(x) The preliminary final subconfiguration and test group production volumes. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(xi) The preliminary final fuel consumption test group results and fleet average performance. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(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 part.</P>
                                <P>
                                    (e) 
                                    <E T="03">Final reports.</E>
                                     Both manufacturers participating and not participating in the ABT program are required to submit year end final reports in accordance with 40 CFR 1036.730 and 1037.730. 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.
                                </P>
                                <P>
                                    (1)
                                    <E T="03"> Report deadlines.</E>
                                     For model year 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards must submit final reports through the EPA database including both GHG emissions and fuel consumption information within 270 days after the end of the given model year and no later than October 1 of the next calendar year. For example, the final reports for model year 2014 must be submitted no later than October 1, 2015.
                                </P>
                                <P>
                                    (2) 
                                    <E T="03">Contents.</E>
                                     Each final report must be submitted including the following fuel consumption information for each model year.
                                </P>
                                <P>(i) Final engine and vehicle family designations and averaging sets.</P>
                                <P>(ii) Final engine and vehicle fuel consumption standards including any alternative standards used.</P>
                                <P>(iii) Final engine and vehicle family FCLs and FELs in terms of fuel consumption.</P>
                                <P>(iv) Final production volumes for engines and vehicles.</P>
                                <P>(v) A final credit plan 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</P>
                                <P>(vi) A final plan describing the vocational vehicles and vocational tractors that were exempted as heavy-duty off-road vehicles.</P>
                                <P>(vii) A final plan describing any advanced technology engines or vehicles including alternative fueled vehicles that were produced for the model year identifying the approaches used to determinate compliance and the production volumes.</P>
                                <P>(viii) A final list of each unique subconfiguration included in a manufacturers fleet of heavy-duty pickup trucks and vans describing the designations, attribute based-values (GVWR, GCWR, Curb Weight and drive configurations) and standards. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(ix) The final fuel consumption fleet average standard derived from the unique vehicle configurations. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(x) The final subconfiguration and test group production volumes. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(xi) The final fuel consumption test group results and fleet average performance. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans.</P>
                                <P>(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.</P>
                                <P>
                                    (f) 
                                    <E T="03">Amendments to applications for certification.</E>
                                     At any time, a manufacturer modifies an application for certification in accordance with 40 CFR 1036.225 and 1037.225, it must submit GHG emissions changes with equivalent fuel consumption values for the information required in paragraphs (b) through (e) and (h) of this section.
                                </P>
                                <P>
                                    (g) 
                                    <E T="03">Confidential information.</E>
                                     Manufacturers must submit a request for confidentiality with each electronic submission specifying any part of the for information or data in a report that it believes should be withheld from 
                                    <E T="03">public</E>
                                     disclosure as trade secret or other confidential business information. Information submitted to EPA should follow EPA guidelines for treatment of confidentiality. Confidential information submitted to NHTSA shall be treated according to paragraph (g)(1) of this section. For any information or data requested by the manufacturer to be withheld under 5 U.S.C. 552(b)(4) and 15 U.S.C. 2005(d)(1), the manufacturer shall provide evidence in its request for confidentiality to justify that:
                                </P>
                                <P>(1) The item is within the scope of 5 U.S.C. 552(b)(4) and 15 U.S.C. 2005(d)(1);</P>
                                <P>(2) The disclosure of such an item would result in significant competitive damage;</P>
                                <P>(3) The period during which the item must be withheld to avoid that damage; and</P>
                                <P>(4) How earlier disclosure would result in that damage.</P>
                                <P>
                                    (h) 
                                    <E T="03">Additional required information.</E>
                                     The following additional information is required to be submitted through the EPA database. NHTSA reserves the right to ask a manufacturer to provide additional information if necessary to verify the fuel consumption requirements of this regulation.
                                </P>
                                <P>
                                    (1) 
                                    <E T="03">Small business exemptions.</E>
                                     Vehicles and engines produced by small business manufacturers meeting the criteria in 13 CFR 121.201 are exempted from the requirements of this part. Qualifying small business manufacturers must notify the EPA and NHTSA Administrators before importing or introducing into U.S. commerce exempted vehicles or engines. This notification must include a description of the manufacturer's qualification as a small business under 
                                    <PRTPAGE P="57510"/>
                                    13 CFR 121.201 and must be submitted to EPA. The agencies may review a manufacturer's qualification as a small business manufacturer under 13 CFR 121.201.
                                </P>
                                <P>
                                    (2) 
                                    <E T="03">Early introduction.</E>
                                     The provision applies to manufacturers seeking to comply early with the NHTSA's fuel consumption program prior to model year 2014. The manufacturer must send the request to EPA before submitting its first application for a certificate of conformity.
                                </P>
                                <P>
                                    (3) 
                                    <E T="03">NHTSA voluntary compliance model years.</E>
                                     Manufacturers must submit a statement declaring whether the manufacturer chooses to comply voluntarily with NHTSA's fuel consumption standards for model years 2014 through 2015. The manufacturers must acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years. The manufacturer must send the statement to EPA before submitting its first application for a certificate of conformity.
                                </P>
                                <P>
                                    (4) 
                                    <E T="03">Alternative engine standards.</E>
                                     Manufacturers choosing to comply with the alternative engine standards must notify EPA and NHTSA of their choice and include in that notification a demonstration that it has exhausted all available credits and credit opportunities. The manufacturer must send the statement to EPA before submitting its EOY report.
                                </P>
                                <P>
                                    (5) 
                                    <E T="03">Alternate phase-in.</E>
                                     Manufacturers choosing to comply with the alternative engine phase-in must notify EPA and NHTSA of their choice. The manufacturer must send the statement to EPA before submitting its first application for a certificate of conformity.
                                </P>
                                <P>
                                    (6) 
                                    <E T="03">Off-road exclusion (tractors and vocational vehicles only).</E>
                                     (i) Vehicles intended to be used extensively in off-road environments such as forests, oil fields, and construction sites may be exempted without request from the requirements of this regulation as specified in 49 CFR 523.2 and § 535.5(b). Within 90 days after the end of each model year, manufacturers must send EPA and NHTSA through the EPA database a report with the following information:
                                </P>
                                <P>(A) A description of each excluded vehicle configuration, including an explanation of why it qualifies for this exclusion.</P>
                                <P>(B) The number of vehicles excluded for each vehicle configuration.</P>
                                <P>(ii) A manufacturer having an off-road vehicle failing to meet the criteria under the agencies' off-road exclusions will be allowed to submit a petition describing how and why their vehicles should qualify for exclusion. The process of petitioning for an exclusion is explained below. For each request, the manufacturer will be required to describe why it believes an exclusion is warranted and address the following factors which the agencies will consider in granting its petition:</P>
                                <P>(A) The agencies will provide an exclusion based on off road capability of the vehicle or if the vehicle is fitted with speed restricted tires. A manufacturer should explain which exclusion does its vehicle qualify under; and</P>
                                <P>(B) A manufacturer should verify if there are any comparable tires that exist in the market to carry out the desired application both on and off road for the subject vehicle(s) of the petition which have LLR values that would enable compliance with the standard.</P>
                                <P>
                                    (7) 
                                    <E T="03">Vocational tractor.</E>
                                     Tractors intended to be used as vocational tractors may comply with vocational vehicle standards in § 535.5(b) of this regulation. Manufacturers classifying tractor as vocational tractors must provide a description of how they meet the qualifications in their applications for certificates of conformity as specified in 40 CFR 1037.205.
                                </P>
                                <P>
                                    (8) 
                                    <E T="03">Approval of alternate methods to determine drag coefficients (tractors only).</E>
                                     Manufacturers seeking to use alternative methods to determine aerodynamic drag coefficients must provide a request and gain approval by EPA. The manufacturer must send the request to EPA before submitting its first application for a certificate of conformity.
                                </P>
                                <P>
                                    (9) 
                                    <E T="03">Innovative technology credits.</E>
                                     Manufacturers pursuing innovative technology credits must submit information to the agencies and may be subject to a public evaluation process in which the public would have opportunity for comment if not using a test procedure in accordance with 40 CFR 1037.610(c). Whether the approach involves on-road testing, modeling, or some other analytical approach, the manufacturer would be required to present a final methodology to EPA and NHTSA. EPA and NHTSA would approve the methodology and credits only if certain criteria were met. Baseline emissions and fuel consumption and control emissions and fuel consumption would need to be clearly demonstrated over a wide range of real world driving conditions and over a sufficient number of vehicles to address issues of uncertainty with the data. Data would need to be on a vehicle model-specific basis unless a manufacturer demonstrated model-specific data was not necessary. The agencies may publish a notice of availability in the 
                                    <E T="04">Federal Register</E>
                                     notifying the public of a manufacturer's proposed alternative off-cycle credit calculation methodology and provide opportunity for comment. Any notice will include details regarding the methodology, but not include any Confidential Business Information.
                                </P>
                                <P>
                                    (10) 
                                    <E T="03">Credit trades.</E>
                                     If a manufacturer trades fuel consumption credits, it must send EPA a report within 90 days after the transaction, as follows:
                                </P>
                                <P>(i) As the seller, the manufacturer must include the following information in its report:</P>
                                <P>(A) The corporate names of the buyer and any brokers.</P>
                                <P>(B) A copy of any contracts related to the trade.</P>
                                <P>(C) The fleet, vehicle or engine families that generated fuel consumption credits for the trade, including the number of fuel consumption credits from each family.</P>
                                <P>(ii) As the buyer, the manufacturer or entity must include the following information in its report:</P>
                                <P>(A) The corporate names of the seller and any brokers.</P>
                                <P>(B) A copy of any contracts related to the trade.</P>
                                <P>(C) How the manufacturer or entity intends to use the fuel consumption credits, including the number of fuel consumption credits it intends to apply to each vehicle family (if known).</P>
                                <P>
                                    (i) 
                                    <E T="03">Public information.</E>
                                     Based upon information submitted by manufacturers and EPA, NHTSA will publish fuel consumption standards and performance results.
                                </P>
                                <P>
                                    (j) 
                                    <E T="03">Information received from EPA.</E>
                                     NHTSA will receive information from EPA as specified in 40 CFR 1036.755 and 1037.755.
                                </P>
                            </SECTION>
                            <SECTION>
                                <SECTNO>§ 535.9 </SECTNO>
                                <SUBJECT>Enforcement approach.</SUBJECT>
                                <P>
                                    (a) 
                                    <E T="03">Compliance.</E>
                                     (1) NHTSA will assess compliance with fuel consumption standards each year, based upon EPA final verified data submitted to NHTSA for its heavy-duty vehicle fuel efficiency program established pursuant to 49 U.S.C. 32902(k). NHTSA may conduct verification testing throughout a given model year in order to validate data received from manufacturers and will discuss any potential issues with EPA and the manufacturer.
                                </P>
                                <P>
                                    (2) Credit values in gallons are calculated based on the final CO
                                    <E T="52">2</E>
                                     emissions and fuel consumption data submitted by manufacturers and verified/validated by EPA.
                                </P>
                                <P>
                                    (3) NHTSA will verify a manufacturer's credit balance in each 
                                    <PRTPAGE P="57511"/>
                                    averaging set for each given model year. The average set balance is based upon the engines or vehicles performance above or below the applicable regulatory subcategory standards in each respective averaging set and any credits that are traded into or out of an averaging set during the model year.
                                </P>
                                <P>(i) If the balance is positive, the manufacturer is designated as having a credit surplus.</P>
                                <P>(ii) If the balance is negative, the manufacturer is designated as having a credit deficit.</P>
                                <P>(4) NHTSA will provide written notification to the manufacturer that has a negative balance for any averaging set for each model year. The manufacturer will be required to confirm the negative balance and submit a plan indicating how it will allocate existing credits or earn, and/or acquire by trade credits, or else be liable for a civil penalty as determined in paragraph (b) of this section. The manufacturer must submit a plan within 60 days of receiving agency notification.</P>
                                <P>(5) Credit shortfall within an averaging set may be carried forward only three years, and if not offset by earned or traded credits, the manufacturer may be liable for a civil penalty as described in paragraph (b) of this section.</P>
                                <P>(6) Credit allocation plans received from a manufacturer will be reviewed and approved by NHTSA. NHTSA will approve a credit allocation plan unless it determines that the proposed credits are unavailable or that it is unlikely that the plan will result in the manufacturer earning sufficient credits to offset the subject credit shortfall. If a plan is approved, NHTSA will revise the respective manufacturer's credit account accordingly by identifying which existing or traded credits are being used to address the credit shortfall, or by identifying the manufacturer's plan to earn future credits for addressing the respective credit shortfall. If a plan is rejected, NHTSA will notify the respective manufacturer and request a revised plan. The manufacturer must submit a revised plan within 14 days of receiving agency notification. The agency will provide a manufacturer one opportunity to submit a revised credit allocation plan before it initiates civil penalty proceedings.</P>
                                <P>(7) For purposes of this regulation, NHTSA will treat the use of future credits for compliance, as through a credit allocation plan, as a deferral of civil penalties for non-compliance with an applicable fuel consumption standard.</P>
                                <P>
                                    (8) If NHTSA receives and approves a manufacturer's credit allocation plan to earn future credits within the following three model years in order to comply with regulatory obligations, NHTSA will defer levying civil penalties for non-compliance until the date(s) when the manufacturer's approved plan indicates that credits will be earned or acquired to achieve compliance, and upon receiving confirmed CO
                                    <E T="52">2</E>
                                     emissions and fuel consumption data from EPA. If the manufacturer fails to acquire or earn sufficient credits by the plan dates, NHTSA will initiate civil penalty proceedings.
                                </P>
                                <P>(9) In the event that NHTSA fails to receive or is unable to approve a plan for a non-compliant manufacturer due to insufficiency or untimeliness, NHTSA may initiate civil penalty proceedings.</P>
                                <P>(10) In the event that a manufacturer fails to report accurate fuel consumption data for vehicles or engines covered under this rule, noncompliance will be assumed until corrected by submission of the required data, and NHTSA may initiate civil penalty proceedings.</P>
                                <P>
                                    (b) 
                                    <E T="03">Civil penalties.</E>
                                     (1) 
                                    <E T="03">Generally.</E>
                                     NHTSA may assess a civil penalty for any violation of this part under 49 U.S.C. 32902(k). This section states the procedures for assessing civil penalties for violations of § 535.5. The provisions of 5 U.S.C. 554, 556, and 557 do not apply to any proceedings conducted pursuant to this section.
                                </P>
                                <P>
                                    (2) 
                                    <E T="03">Initial determination of noncompliance.</E>
                                     An action for civil penalties is commenced by the execution of a Notice of Violation. A determination by NHTSA's Office of Enforcement of noncompliance with applicable fuel consumption standards utilizing the certified and reported CO
                                    <E T="52">2</E>
                                     emissions and fuel consumption data provided by the Environmental Protection Agency as described in this part, and after considering all the flexibilities available under § 535.7, underlies a Notice of Violation. If NHTSA Enforcement determines that a manufacturer's averaging set of vehicles or engines fails to comply with the applicable fuel consumption standard(s) by generating a credit shortfall, the chassis, vehicle or engine manufacturer, as relevant, shall be subject to a civil penalty.
                                </P>
                                <P>
                                    (3) 
                                    <E T="03">Numbers of violations and maximum civil penalties.</E>
                                     Any violation shall constitute a separate violation with respect to each vehicle or engine within the applicable regulatory averaging set. The maximum civil penalty is not more than $37,500.00 per vehicle or engine. The maximum civil penalty under this section for a related series of violations shall be determined by multiplying $37,500.00 times the vehicle or engine production volume for the model year in question within the regulatory averaging set. NHTSA may adjust this civil penalty amount to account for inflation.
                                </P>
                                <P>
                                    (4) 
                                    <E T="03">Factors for determining penalty amount.</E>
                                     In determining the amount of any civil penalty proposed to be assessed or assessed under this section, NHTSA shall take into account the gravity of the violation, the size of the violator's business, the violator's history of compliance with applicable fuel consumption standards, the actual fuel consumption performance related to the applicable standards, the estimated cost to comply with the regulation and applicable standards, the quantity of vehicles or engines not complying, and the effect of the penalty on the violator's ability to continue in business. The “estimated cost to comply with the regulation and applicable standards,” will be used to ensure that penalties for non-compliance will not be less than the cost of compliance.
                                </P>
                                <P>
                                    (5) 
                                    <E T="03">NHTSA enforcement report of determination of non-compliance.</E>
                                     (i) If NHTSA Enforcement determines that a violation has occurred, NHTSA Enforcement may prepare a report and send the report to the NHTSA Chief Counsel.
                                </P>
                                <P>(ii) The NHTSA Chief Counsel will review the report prepared by NHTSA Enforcement to determine if there is sufficient information to establish a likely violation.</P>
                                <P>(iii) If the Chief Counsel determines that a violation has likely occurred, the Chief Counsel may issue a Notice of Violation to the party.</P>
                                <P>(iv) If the Chief Counsel issues a Notice of Violation, he or she will prepare a case file with recommended actions. A record of any prior violations by the same party shall be forwarded with the case file.</P>
                                <P>
                                    (6) 
                                    <E T="03">Notice of violation.</E>
                                     (i) The Notice of Violation will contain the following information:
                                </P>
                                <P>(A) The name and address of the party;</P>
                                <P>(B) The alleged violation(s) and the applicable fuel consumption standard(s) violated;</P>
                                <P>(C) The amount of the proposed penalty and basis for that amount;</P>
                                <P>(D) The place to which, and the manner in which, payment is to be made;</P>
                                <P>
                                    (E) A statement that the party may decline the Notice of Violation and that if the Notice of Violation is declined within 30 days of the date shown on the Notice of Violation, the party has the right to a hearing, if requested within 30 days of the date shown on the Notice of 
                                    <PRTPAGE P="57512"/>
                                    Violation, prior to a final assessment of a penalty by a Hearing Officer; and
                                </P>
                                <P>(F) A statement that failure to either pay the proposed penalty or to decline the Notice of Violation and request a hearing within 30 days of the date shown on the Notice of Violation will result in a finding of violation by default and that NHTSA will proceed with the civil penalty in the amount proposed on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart.</P>
                                <P>(ii) The Notice of Violation may be delivered to the party by:</P>
                                <P>(A) Mailing to the party (certified mail is not required);</P>
                                <P>(B) Use of an overnight or express courier service; or</P>
                                <P>(C) Facsimile transmission or electronic mail (with or without attachments) to the party or an employee of the party.</P>
                                <P>(iii) At any time after the Notice of Violation is issued, NHTSA and the party may agree to reach a compromise on the payment amount.</P>
                                <P>(iv) Once a penalty amount is paid in full, a finding of “resolved with payment” will be entered into the case file.</P>
                                <P>(v) If the party agrees to pay the proposed penalty, but has not made payment within 30 days of the date shown on the Notice of Violation, NHTSA will enter a finding of violation by default in the matter and NHTSA will proceed with the civil penalty in the amount proposed on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart.</P>
                                <P>(vi) If within 30 days of the date shown on the Notice of Violation a party fails to pay the proposed penalty on the Notice of Violation, and fails to request a hearing, then NHTSA will enter a finding of violation by default in the case file, and will assess the civil penalty in the amount set forth on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart.</P>
                                <P>(vii) NHTSA's order assessing the civil penalty following a party's default is a final agency action.</P>
                                <P>
                                    (7) 
                                    <E T="03">Hearing Officer.</E>
                                     (i) If a party timely requests a hearing after receiving a Notice of Violation, a Hearing Officer shall hear the case.
                                </P>
                                <P>(ii) The Hearing Officer will be appointed by the NHTSA Administrator, and is solely responsible for the case referred to him or her. The Hearing Officer shall have no other responsibility, direct or supervisory, for the investigation of cases referred for the assessment of civil penalties. The Hearing Officer shall have no duties related to the light-duty fuel economy or medium- and heavy-duty fuel efficiency programs.</P>
                                <P>(iii) The Hearing Officer decides each case on the basis of the information before him or her.</P>
                                <P>
                                    (8) 
                                    <E T="03">Initiation of action before the Hearing Officer.</E>
                                     (i) After the Hearing Officer receives the case file from the Chief Counsel, the Hearing Officer notifies the party in writing of:
                                </P>
                                <P>(A) The date, time, and location of the hearing and whether the hearing will be conducted telephonically or at the DOT Headquarters building in Washington, DC;</P>
                                <P>(B) The right to be represented at all stages of the proceeding by counsel as set forth in paragraph (b)(9) of this section;</P>
                                <P>(C) The right to a free copy of all written evidence in the case file.</P>
                                <P>(ii) On the request of a party, or at the Hearing Officer's direction, multiple proceedings may be consolidated if at any time it appears that such consolidation is necessary or desirable.</P>
                                <P>
                                    (9) 
                                    <E T="03">Counsel.</E>
                                     A party has the right to be represented at all stages of the proceeding by counsel. A party electing to be represented by counsel must notify the Hearing Officer of this election in writing, after which point the Hearing Officer will direct all further communications to that counsel. A party represented by counsel bears all of its own attorneys' fees and costs.
                                </P>
                                <P>
                                    (10) 
                                    <E T="03">Hearing location and costs.</E>
                                     (i) Unless the party requests a hearing at which the party appears before the Hearing Officer in Washington, DC, the hearing may be held telephonically. In Washington, DC, the hearing is held at the headquarters of the U.S. Department of Transportation.
                                </P>
                                <P>(ii) The Hearing Officer may transfer a case to another Hearing Officer at a party's request or at the Hearing Officer's direction.</P>
                                <P>(iii) A party is responsible for all fees and costs (including attorneys' fees and costs, and costs that may be associated with travel or accommodations) associated with attending a hearing.</P>
                                <P>
                                    (11) 
                                    <E T="03">Hearing procedures.</E>
                                     (i) There is no right to discovery in any proceedings conducted pursuant to this subpart.
                                </P>
                                <P>(ii) The material in the case file pertinent to the issues to be determined by the Hearing Officer is presented by the Chief Counsel or his or her designee.</P>
                                <P>(iii) The Chief Counsel may supplement the case file with information prior to the hearing. A copy of such information will be provided to the party no later than 3 business days before the hearing.</P>
                                <P>(iv) At the close of the Chief Counsel's presentation of evidence, the party has the right to examine respond to and rebut material in the case file and other information presented by the Chief Counsel. In the case of witness testimony, both parties have the right of cross-examination.</P>
                                <P>(v) In receiving evidence, the Hearing Officer is not bound by strict rules of evidence. In evaluating the evidence presented, the Hearing Officer must give due consideration to the reliability and relevance of each item of evidence.</P>
                                <P>(vi) At the close of the party's presentation of evidence, the Hearing Officer may allow the introduction of rebuttal evidence that may be presented by the Chief Counsel.</P>
                                <P>(vii) The Hearing Officer may allow the party to respond to any rebuttal evidence submitted.</P>
                                <P>(viii) After the evidence in the case has been presented, the Chief Counsel and the party may present arguments on the issues in the case. The party may also request an opportunity to submit a written statement for consideration by the Hearing Officer and for further review. If granted, the Hearing Officer shall allow a reasonable time for submission of the statement and shall specify the date by which it must be received. If the statement is not received within the time prescribed, or within the limits of any extension of time granted by the Hearing Officer, it need not be considered by the Hearing Officer.</P>
                                <P>(ix) A verbatim transcript of the hearing will not normally be prepared. A party may, solely at its own expense, cause a verbatim transcript to be made. If a verbatim transcript is made, the party shall submit two copies to the Hearing Officer not later than 15 days after the hearing. The Hearing Officer shall include such transcript in the record.</P>
                                <P>
                                    (12) 
                                    <E T="03">Determination of violations and assessment of civil penalties.</E>
                                     (i) Not later than 30 days following the close of the hearing, the Hearing Officer shall issue a written decision on the Notice of Violation, based on the hearing record. This may be extended by the Hearing officer if the submissions by the Chief Counsel or the party are voluminous. The decision shall address each alleged violation, and may do so collectively. For each alleged violation, the decision shall find a violation or no violation and provide a basis for the finding. The decision shall set forth the basis for the Hearing Officer's assessment of a civil penalty, or decision not to assess a civil penalty. In determining the amount of the civil penalty, the gravity of the violation, the size of the violator's 
                                    <PRTPAGE P="57513"/>
                                    business, the violator's history of compliance with applicable fuel consumption standards, the actual fuel consumption performance related to the applicable standard, the estimated cost to comply with the regulation and applicable standard, the quantity of vehicles or engines not complying, and the effect of the penalty on the violator's ability to continue in business. The assessment of a civil penalty by the Hearing Officer shall be set forth in an accompanying final order. The Hearing Officer's written final order is a final agency action.
                                </P>
                                <P>(ii) If the Hearing Officer assesses civil penalties in excess of $1,000,000, the Hearing Officer's decision shall contain a statement advising the party of the right to an administrative appeal to the Administrator within a specified period of time. The party is advised that failure to submit an appeal within the prescribed time will bar its consideration and that failure to appeal on the basis of a particular issue will constitute a waiver of that issue in its appeal before the Administrator.</P>
                                <P>(iii) The filing of a timely and complete appeal to the Administrator of a Hearing Officer's order assessing a civil penalty shall suspend the operation of the Hearing Officer's penalty, which shall no longer be a final agency action.</P>
                                <P>(iv) There shall be no administrative appeals of civil penalties assessed by a Hearing Officer of less than $1,000,000.</P>
                                <P>
                                    (13) 
                                    <E T="03">Appeals of civil penalties in excess of $1,000,000.</E>
                                     (i) A party may appeal the Hearing Officer's order assessing civil penalties over $1,000,000 to the Administrator within 21 days of the date of the issuance of the Hearing Officer's order.
                                </P>
                                <P>(ii) The Administrator will review the decision of the Hearing Officer de novo, and may affirm the decision of the hearing officer and assess a civil penalty, or</P>
                                <P>(iii) The Administrator may:</P>
                                <P>(A) Modify a civil penalty;</P>
                                <P>(B) Rescind the Notice of Violation; or</P>
                                <P>(C) Remand the case back to the Hearing Officer for new or additional proceedings.</P>
                                <P>(iv) In the absence of a remand, the decision of the Administrator in an appeal is a final agency action.</P>
                                <P>
                                    (14) 
                                    <E T="03">Collection of assessed or compromised civil penalties.</E>
                                     (i) Payment of a civil penalty, whether assessed or compromised, shall be made by check, postal money order, or electronic transfer of funds, as provided in instructions by the agency. A payment of civil penalties shall not be considered a request for a hearing.
                                </P>
                                <P>(ii) The party must remit payment of any assessed civil penalty to NHTSA within 30 days after receipt of the Hearing Officer's order assessing civil penalties, or, in the case of an appeal to the Administrator, within 30 days after receipt of the Administrator's decision on the appeal.</P>
                                <P>(iii) The party must remit payment of any compromised civil penalty to NHTSA on the date and under such terms and conditions as agreed to by the party and NHTSA. Failure to pay may result in NHTSA entering a finding of violation by default and assessing a civil penalty in the amount proposed in the Notice of Violation without processing the violation under the hearing procedures set forth in this part.</P>
                                <P>
                                    (c) 
                                    <E T="03">Changes in corporate ownership and control.</E>
                                     Manufacturers must inform NHTSA of corporate relationship changes to ensure that credit accounts are identified correctly and credits are assigned and allocated properly.
                                </P>
                                <P>(1) In general, if two manufacturers merge in any way, they must inform NHTSA how they plan to merge their credit accounts. NHTSA will subsequently assess corporate fuel consumption and compliance status of the merged fleet instead of the original separate fleets.</P>
                                <P>(2) If a manufacturer divides or divests itself of a portion of its automobile manufacturing business, it must inform NHTSA how it plans to divide the manufacturer's credit holdings into two or more accounts. NHTSA will subsequently distribute holdings as directed by the manufacturer, subject to provision for reasonably anticipated compliance obligations.</P>
                                <P>(3) If a manufacturer is a successor to another manufacturer's business, it must inform NHTSA how it plans to allocate credits and resolve liabilities per 49 CFR part 534.</P>
                            </SECTION>
                        </PART>
                    </REGTEXT>
                    <SIG>
                        <DATED>Dated: August 9, 2011.</DATED>
                        <NAME>Ray LaHood,</NAME>
                        <TITLE>Secretary, Department of Transportation.</TITLE>
                        <DATED>Dated: August 9, 2011.</DATED>
                        <NAME>Lisa P. Jackson,</NAME>
                        <TITLE>Administrator, Environmental Protection Agency.</TITLE>
                    </SIG>
                </SUPLINF>
                <FRDOC>[FR Doc. 2011-20740 Filed 9-14-11; 8:45 am]</FRDOC>
                <BILCOD>BILLING CODE 4910-59-P</BILCOD>
            </RULE>
        </RULES>
    </NEWPART>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Rules and Regulations</UNITNAME>
    <NEWPART>
        <PTITLE>
            <PRTPAGE P="57515"/>
            <PARTNO>Part III</PARTNO>
            <AGENCY TYPE="P">Department of Energy</AGENCY>
            <CFR>10 CFR Part 430</CFR>
            <TITLE> Energy Conservation Program: Energy Conservation Standards for Residential Refrigerators, Refrigerator-Freezers, and Freezers; Energy Efficiency Program for Consumer Products: Test Procedures for Residential Refrigerators, Refrigerator-Freezers, and Freezers; Final Rules</TITLE>
        </PTITLE>
        <RULES>
            <RULE>
                <PREAMB>
                    <PRTPAGE P="57516"/>
                    <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
                    <CFR>10 CFR Part 430</CFR>
                    <DEPDOC>[Docket Number EE-2008-BT-STD-0012]</DEPDOC>
                    <RIN>RIN 1904-AB79</RIN>
                    <SUBJECT>Energy Conservation Program: Energy Conservation Standards for Residential Refrigerators, Refrigerator-Freezers, and Freezers</SUBJECT>
                    <AGY>
                        <HD SOURCE="HED">AGENCY:</HD>
                        <P>Office of Energy Efficiency and Renewable Energy, Department of Energy.</P>
                    </AGY>
                    <ACT>
                        <HD SOURCE="HED">ACTION:</HD>
                        <P>Final rule.</P>
                    </ACT>
                    <SUM>
                        <HD SOURCE="HED">SUMMARY:</HD>
                        <P>The Energy Policy and Conservation Act (EPCA) prescribes energy conservation standards for various consumer products and commercial and industrial equipment, including refrigerators, refrigerator-freezers, and freezers. EPCA also requires the U.S. Department of Energy (DOE) to determine if more stringent, amended standards for these products are technologically feasible and economically justified, and would save a significant amount of energy. In this final rule, DOE is adopting more stringent energy conservation standards for refrigerators, refrigerator-freezers, and freezers. It has determined that the amended energy conservation standards for these products would result in the significant conservation of energy and are technologically feasible and economically justified.</P>
                    </SUM>
                    <EFFDATE>
                        <HD SOURCE="HED">DATES:</HD>
                        <P>The effective date of this rule is November 14, 2011. Compliance with the amended standards established for refrigerators, refrigerator-freezers, and freezers in today's final rule is September 15, 2014.</P>
                    </EFFDATE>
                    <ADD>
                        <HD SOURCE="HED">ADDRESSES:</HD>
                        <P>
                            For access to the docket to read background documents, the technical support document, transcripts of the public meetings in this proceeding, or comments received, visit the U.S. Department of Energy, Resource Room of the Building Technologies Program, 950 L'Enfant Plaza, SW., 6th Floor, Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. Please call Ms. Brenda Edwards at the above telephone number for additional information regarding visiting the Resource Room. You may also obtain copies of certain previous rulemaking documents in this proceeding (
                            <E T="03">i.e.,</E>
                             framework document, notice of public meeting and announcement of a preliminary technical support document (TSD), notice of proposed rulemaking), draft analyses, public meeting materials, and related test procedure documents from the Office of Energy Efficiency and Renewable Energy's Web site at: 
                            <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/residential/refrigerators_freezers.html.</E>
                        </P>
                    </ADD>
                    <FURINF>
                        <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                        <P>
                            Lucas Adin, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121, 202-287-1317, e-mail: 
                            <E T="03">Lucas.Adin@ee.doe.gov</E>
                             or Michael Kido, U.S. Department of Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 20585-0121, (202) 586-9507, e-mail: 
                            <E T="03">Micahel.Kido@hq.doe.gov.</E>
                        </P>
                    </FURINF>
                </PREAMB>
                <SUPLINF>
                    <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                    <EXTRACT>
                        <HD SOURCE="HD1">Table of Contents</HD>
                        <FP SOURCE="FP-2">I. Summary of the Final Rule and Its Benefits</FP>
                        <FP SOURCE="FP-2">II. Introduction</FP>
                        <FP SOURCE="FP1-2">A. Authority</FP>
                        <FP SOURCE="FP1-2">B. Background</FP>
                        <FP SOURCE="FP1-2">1. Current Standards</FP>
                        <FP SOURCE="FP1-2">2. History of Standards Rulemaking for Refrigerators, Refrigerator-Freezers, and Freezers</FP>
                        <FP SOURCE="FP-2">III. General Discussion</FP>
                        <FP SOURCE="FP1-2">A. Test Procedures</FP>
                        <FP SOURCE="FP1-2">1. Test Procedure Rulemaking Schedule</FP>
                        <FP SOURCE="FP1-2">2. Adjustment of the Energy Standards for the New Test Procedure</FP>
                        <FP SOURCE="FP1-2">a. Products with Variable Anti-Sweat Heater Control</FP>
                        <FP SOURCE="FP1-2">b. Products With Multiple Defrost Cycle Types</FP>
                        <FP SOURCE="FP1-2">c. Amendments To Capture Precooling Energy Use</FP>
                        <FP SOURCE="FP1-2">d. Test Procedures for Special Compartments</FP>
                        <FP SOURCE="FP1-2">3. Standby and Off Mode Energy Use</FP>
                        <FP SOURCE="FP1-2">B. Technological Feasibility</FP>
                        <FP SOURCE="FP1-2">1. General</FP>
                        <FP SOURCE="FP1-2">2. Maximum Technologically Feasible Levels</FP>
                        <FP SOURCE="FP1-2">C. Energy Savings</FP>
                        <FP SOURCE="FP1-2">1. Determination of Savings</FP>
                        <FP SOURCE="FP1-2">2. Significance of Savings</FP>
                        <FP SOURCE="FP1-2">D. Economic Justification</FP>
                        <FP SOURCE="FP1-2">1. Specific Criteria</FP>
                        <FP SOURCE="FP1-2">a. Economic Impact on Manufacturers and Consumers</FP>
                        <FP SOURCE="FP1-2">b. Life-Cycle Costs</FP>
                        <FP SOURCE="FP1-2">c. Energy Savings</FP>
                        <FP SOURCE="FP1-2">d. Lessening of Utility or Performance of Products</FP>
                        <FP SOURCE="FP1-2">e. Impact of Any Lessening of Competition</FP>
                        <FP SOURCE="FP1-2">f. Need for National Energy Conservation</FP>
                        <FP SOURCE="FP1-2">g. Other Factors</FP>
                        <FP SOURCE="FP1-2">2. Rebuttable Presumption</FP>
                        <FP SOURCE="FP-2">IV. Methodology and Discussion</FP>
                        <FP SOURCE="FP1-2">A. Market and Technology Assessment</FP>
                        <FP SOURCE="FP1-2">1. Exclusion of Wine Coolers From This Rulemaking</FP>
                        <FP SOURCE="FP1-2">2. Product Classes</FP>
                        <FP SOURCE="FP1-2">a. General Discussion Regarding Added Product Classes</FP>
                        <FP SOURCE="FP1-2">b. Possible Combination of Product Class 2 With 1, and Class 12 With 11</FP>
                        <FP SOURCE="FP1-2">c. All-Refrigerators and Basic Refrigerators</FP>
                        <FP SOURCE="FP1-2">d. Built-In Refrigeration Products</FP>
                        <FP SOURCE="FP1-2">e. Modification of the Definition for Compact Products</FP>
                        <FP SOURCE="FP1-2">f. Icemaking</FP>
                        <FP SOURCE="FP1-2">B. Screening Analysis</FP>
                        <FP SOURCE="FP1-2">1. Discussion of Comments</FP>
                        <FP SOURCE="FP1-2">a. Compressors</FP>
                        <FP SOURCE="FP1-2">b. Alternative Refrigerants</FP>
                        <FP SOURCE="FP1-2">c. Alternative Foam-Blowing Agents</FP>
                        <FP SOURCE="FP1-2">d. Vacuum-Insulated Panels</FP>
                        <FP SOURCE="FP1-2">2. Technologies Considered</FP>
                        <FP SOURCE="FP1-2">C. Engineering Analysis</FP>
                        <FP SOURCE="FP1-2">1. Discussion of Comments</FP>
                        <FP SOURCE="FP1-2">2. Adjustment of the Baseline Energy Use Equations</FP>
                        <FP SOURCE="FP1-2">D. Markups To Determine Product Cost</FP>
                        <FP SOURCE="FP1-2">E. Energy Use Analysis</FP>
                        <FP SOURCE="FP1-2">F. Life-Cycle Cost and Payback Period Analyses</FP>
                        <FP SOURCE="FP1-2">1. Product Cost</FP>
                        <FP SOURCE="FP1-2">2. Installation Cost</FP>
                        <FP SOURCE="FP1-2">3. Annual Energy Consumption</FP>
                        <FP SOURCE="FP1-2">4. Energy Prices</FP>
                        <FP SOURCE="FP1-2">5. Energy Price Projections</FP>
                        <FP SOURCE="FP1-2">6. Maintenance and Repair Costs</FP>
                        <FP SOURCE="FP1-2">7. Product Lifetime</FP>
                        <FP SOURCE="FP1-2">8. Discount Rates</FP>
                        <FP SOURCE="FP1-2">9. Compliance Date of Amended Standards</FP>
                        <FP SOURCE="FP1-2">10. Base Case Efficiency Distribution</FP>
                        <FP SOURCE="FP1-2">11. Inputs to Payback Period Analysis</FP>
                        <FP SOURCE="FP1-2">12. Rebuttable-Presumption Payback Period</FP>
                        <FP SOURCE="FP1-2">G. National Impact Analysis—National Energy Savings and Net Present Value Analysis</FP>
                        <FP SOURCE="FP1-2">1. Shipments</FP>
                        <FP SOURCE="FP1-2">2. Forecasted Efficiency in the Base Case and Standards Cases</FP>
                        <FP SOURCE="FP1-2">3. Installed Cost per Unit</FP>
                        <FP SOURCE="FP1-2">4. Site-to-Source Energy Conversion</FP>
                        <FP SOURCE="FP1-2">5. Discount Rates</FP>
                        <FP SOURCE="FP1-2">6. Benefits From Effects of Standards on Energy Prices</FP>
                        <FP SOURCE="FP1-2">H. Consumer Subgroup Analysis</FP>
                        <FP SOURCE="FP1-2">I. Manufacturer Impact Analysis</FP>
                        <FP SOURCE="FP1-2">1. Comments From Interested Parties</FP>
                        <FP SOURCE="FP1-2">2. GRIM Key Inputs</FP>
                        <FP SOURCE="FP1-2">a. Product and Capital Conversion Costs</FP>
                        <FP SOURCE="FP1-2">b. Markup Scenarios</FP>
                        <FP SOURCE="FP1-2">3. Manufacturer Interviews</FP>
                        <FP SOURCE="FP1-2">J. Employment Impact Analysis</FP>
                        <FP SOURCE="FP1-2">K. Utility Impact Analysis</FP>
                        <FP SOURCE="FP1-2">L. Environmental Assessment</FP>
                        <FP SOURCE="FP1-2">M. Monetizing Carbon Dioxide and Other Emissions Impacts</FP>
                        <FP SOURCE="FP1-2">1. Social Cost of Carbon</FP>
                        <FP SOURCE="FP1-2">a. Monetizing Carbon Dioxide Emissions</FP>
                        <FP SOURCE="FP1-2">b. Social Cost of Carbon Values Used in Past Regulatory Analyses</FP>
                        <FP SOURCE="FP1-2">c. Current Approach and Key Assumptions</FP>
                        <FP SOURCE="FP1-2">2. Valuation of Other Emissions Reductions</FP>
                        <FP SOURCE="FP-2">V. Discussion of Other Comments</FP>
                        <FP SOURCE="FP1-2">A. Demand Response</FP>
                        <FP SOURCE="FP1-2">B. Energy Standard Round-Off</FP>
                        <FP SOURCE="FP1-2">C. Trial Standard Levels and Proposed Standards</FP>
                        <FP SOURCE="FP1-2">1. Efficiency Levels</FP>
                        <FP SOURCE="FP1-2">2. Maximum Energy Use Equations</FP>
                        <FP SOURCE="FP-2">VI. Analytical Results</FP>
                        <FP SOURCE="FP1-2">A. Trial Standard Levels</FP>
                        <FP SOURCE="FP1-2">B. Economic Justification and Energy Savings</FP>
                        <FP SOURCE="FP1-2">1. Economic Impacts on Individual Consumers</FP>
                        <FP SOURCE="FP1-2">
                            a. Life-Cycle Cost and Payback Period
                            <PRTPAGE P="57517"/>
                        </FP>
                        <FP SOURCE="FP1-2">b. Consumer Subgroup Analysis</FP>
                        <FP SOURCE="FP1-2">c. Rebuttable Presumption Payback</FP>
                        <FP SOURCE="FP1-2">2. Economic Impacts on Manufacturers</FP>
                        <FP SOURCE="FP1-2">a. Cash-Flow Analysis Results</FP>
                        <FP SOURCE="FP1-2">b. Impacts on Employment</FP>
                        <FP SOURCE="FP1-2">c. Impacts on Manufacturing Capacity</FP>
                        <FP SOURCE="FP1-2">d. Impacts on Sub-Group(s) of Manufacturers</FP>
                        <FP SOURCE="FP1-2">e. Cumulative Regulatory Burden</FP>
                        <FP SOURCE="FP1-2">3. National Impact Analysis</FP>
                        <FP SOURCE="FP1-2">a. Significance of Energy Savings</FP>
                        <FP SOURCE="FP1-2">b. Net Present Value of Consumer Costs and Benefits</FP>
                        <FP SOURCE="FP1-2">c. Indirect Impacts on Employment</FP>
                        <FP SOURCE="FP1-2">4. Impact on Utility or Performance of Products</FP>
                        <FP SOURCE="FP1-2">5. Impact of Any Lessening of Competition</FP>
                        <FP SOURCE="FP1-2">6. Need of the Nation To Conserve Energy</FP>
                        <FP SOURCE="FP1-2">7. Other Factors</FP>
                        <FP SOURCE="FP1-2">C. Conclusion</FP>
                        <FP SOURCE="FP1-2">1. Standard-Size Refrigerator-Freezers</FP>
                        <FP SOURCE="FP1-2">2. Standard-Size Freezers</FP>
                        <FP SOURCE="FP1-2">3. Compact Refrigeration Products</FP>
                        <FP SOURCE="FP1-2">4. Built-In Refrigeration Products</FP>
                        <FP SOURCE="FP1-2">5. Summary of Benefits and Costs (Annualized) of Amended Standards</FP>
                        <FP SOURCE="FP-2">VII. Procedural Issues and Regulatory Review</FP>
                        <FP SOURCE="FP1-2">A. Review Under Executive Order 12866 and 13563</FP>
                        <FP SOURCE="FP1-2">B. Review Under the Regulatory Flexibility Act</FP>
                        <FP SOURCE="FP1-2">C. Review Under the Paperwork Reduction Act</FP>
                        <FP SOURCE="FP1-2">D. Review Under the National Environmental Policy Act of 1969</FP>
                        <FP SOURCE="FP1-2">E. Review Under Executive Order 13132</FP>
                        <FP SOURCE="FP1-2">F. Review Under Executive Order 12988</FP>
                        <FP SOURCE="FP1-2">G. Review Under the Unfunded Mandates Reform Act of 1995</FP>
                        <FP SOURCE="FP1-2">H. Review Under the Treasury and General Government Appropriations Act, 1999</FP>
                        <FP SOURCE="FP1-2">I. Review Under Executive Order 12630</FP>
                        <FP SOURCE="FP1-2">J. Review Under the Treasury and General Government Appropriations Act, 2001</FP>
                        <FP SOURCE="FP1-2">K. Review Under Executive Order 13211</FP>
                        <FP SOURCE="FP1-2">L. Review Under the Information Quality Bulletin for Peer Review</FP>
                        <FP SOURCE="FP1-2">M. Congressional Notification</FP>
                        <FP SOURCE="FP-2">VIII. Approval of the Office of the Secretary</FP>
                    </EXTRACT>
                    <HD SOURCE="HD1">I. Summary of the Final Rule and Its Benefits</HD>
                    <P>
                        The Energy Policy and Conservation Act (42 U.S.C. 6291, 
                        <E T="03">et seq.;</E>
                         EPCA or the Act), as amended, provides that any new or amended energy conservation standard DOE prescribes for certain consumer products, such as residential refrigerators, refrigerator-freezers, and freezers (collectively referred to in this document as “refrigeration products”), shall be designed to “achieve the maximum improvement in energy efficiency * * * which the Secretary determines is technologically feasible and economically justified.” (42 U.S.C. 6295(o)(2)(A)) The new or amended standard must result in the significant conservation of energy. (42 U.S.C. 6295(o)(3)(B)) In accordance with these and other statutory provisions discussed in this notice, DOE is adopting amended energy conservation standards for refrigeration products. The standards in today's final rule, which are the maximum allowable energy use expressed as a function of the calculated adjusted volume of a given product, are shown in Table I.1. These standards apply to all products listed in Table I.1 and manufactured in, or imported into, the United States starting in 2014.
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,xls72,xls72">
                        <TTITLE>Table I.1—Refrigeration Product Energy Conservation Standards (Effective Starting 2014)</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class</CHED>
                            <CHED H="1">Equations for maximum energy use (kWh/yr)</CHED>
                            <CHED H="2">
                                Based on AV
                                <LI>
                                    (ft 
                                    <SU>3</SU>
                                    )
                                </LI>
                            </CHED>
                            <CHED H="2">
                                Based on av
                                <LI>(L)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1. Refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost</ENT>
                            <ENT>7.99AV + 225.0</ENT>
                            <ENT>0.282av + 225.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1A. All-refrigerators—manual defrost</ENT>
                            <ENT>6.79AV + 193.6</ENT>
                            <ENT>0.240av + 193.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2. Refrigerator-freezers—partial automatic defrost</ENT>
                            <ENT>7.99AV + 225.0</ENT>
                            <ENT>0.282av + 225.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3. Refrigerator-freezers—automatic defrost with top-mounted freezer without an automatic icemaker</ENT>
                            <ENT>8.07AV + 233.7</ENT>
                            <ENT>0.285av + 233.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3-BI. Built-in refrigerator-freezer—automatic defrost with top-mounted freezer without an automatic icemaker</ENT>
                            <ENT>9.15AV + 264.9</ENT>
                            <ENT>0.323av + 264.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3I. Refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>8.07AV + 317.7</ENT>
                            <ENT>0.285av + 317.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3I-BI. Built-in refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>9.15AV + 348.9</ENT>
                            <ENT>0.323av + 348.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3A. All-refrigerators—automatic defrost</ENT>
                            <ENT>7.07AV + 201.6</ENT>
                            <ENT>0.250av + 201.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3A-BI. Built-in All-refrigerators—automatic defrost</ENT>
                            <ENT>8.02AV + 228.5</ENT>
                            <ENT>0.283av + 228.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4. Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker</ENT>
                            <ENT>8.51AV + 297.8</ENT>
                            <ENT>0.301av + 297.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker</ENT>
                            <ENT>10.22AV + 357.4</ENT>
                            <ENT>0.361av + 357.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4I. Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>8.51AV + 381.8</ENT>
                            <ENT>0.301av + 381.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4I-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>10.22AV + 441.4</ENT>
                            <ENT>0.361av + 441.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5. Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker</ENT>
                            <ENT>8.85AV + 317.0</ENT>
                            <ENT>0.312av + 317.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker</ENT>
                            <ENT>9.40AV + 336.9</ENT>
                            <ENT>0.332av + 336.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5I. Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>8.85AV + 401.0</ENT>
                            <ENT>0.312av + 401.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5I-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>9.40AV + 420.9</ENT>
                            <ENT>0.332av + 420.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5A. Refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service</ENT>
                            <ENT>9.25AV + 475.4</ENT>
                            <ENT>0.327av + 475.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5A-BI. Built-in refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service</ENT>
                            <ENT>9.83AV + 499.9</ENT>
                            <ENT>0.347av + 499.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6. Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service</ENT>
                            <ENT>8.40AV + 385.4</ENT>
                            <ENT>0.297av + 385.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7. Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                            <ENT>8.54AV + 432.8</ENT>
                            <ENT>0.302av + 432.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                            <ENT>10.25AV + 502.6</ENT>
                            <ENT>0.362av + 502.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">8. Upright freezers with manual defrost</ENT>
                            <ENT>5.57AV + 193.7</ENT>
                            <ENT>0.197av + 193.7</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57518"/>
                            <ENT I="01">9. Upright freezers with automatic defrost without an automatic icemaker</ENT>
                            <ENT>8.62AV + 228.3</ENT>
                            <ENT>0.305av + 228.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9I. Upright freezers with automatic defrost with an automatic icemaker</ENT>
                            <ENT>8.62AV + 312.3</ENT>
                            <ENT>0.305av + 312.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9-BI. Built-In Upright freezers with automatic defrost without an automatic icemaker</ENT>
                            <ENT>9.86AV + 260.9</ENT>
                            <ENT>0.348av + 260.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9I-BI. Built-in upright freezers with automatic defrost with an automatic icemaker</ENT>
                            <ENT>9.86AV + 344.9</ENT>
                            <ENT>0.348av + 344.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10. Chest freezers and all other freezers except compact freezers</ENT>
                            <ENT>7.29AV + 107.8</ENT>
                            <ENT>0.257av + 107.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10A. Chest freezers with automatic defrost</ENT>
                            <ENT>10.24AV + 148.1</ENT>
                            <ENT>0.362av + 148.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">11. Compact refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost</ENT>
                            <ENT>9.03AV + 252.3</ENT>
                            <ENT>0.319av + 252.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">11A. Compact all-refrigerators—manual defrost</ENT>
                            <ENT>7.84AV + 219.1</ENT>
                            <ENT>0.277av + 219.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">12. Compact refrigerator-freezers—partial automatic defrost</ENT>
                            <ENT>5.91AV + 335.8</ENT>
                            <ENT>0.209av + 335.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13. Compact refrigerator-freezers—automatic defrost with top-mounted freezer</ENT>
                            <ENT>11.80AV + 339.2</ENT>
                            <ENT>0.417av + 339.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13I. Compact refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker</ENT>
                            <ENT>11.80AV + 423.2</ENT>
                            <ENT>0.417av + 423.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13A. Compact all-refrigerators—automatic defrost</ENT>
                            <ENT>9.17AV + 259.3</ENT>
                            <ENT>0.324av + 259.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">14. Compact refrigerator-freezers—automatic defrost with side-mounted freezer</ENT>
                            <ENT>6.82AV + 456.9</ENT>
                            <ENT>0.241av + 456.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">14I. Compact refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker</ENT>
                            <ENT>6.82AV + 540.9</ENT>
                            <ENT>0.241av + 540.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">15. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer</ENT>
                            <ENT>11.80AV + 339.2</ENT>
                            <ENT>0.417av + 339.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">15I. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker</ENT>
                            <ENT>11.80AV + 423.2</ENT>
                            <ENT>0.417av + 423.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">16. Compact upright freezers with manual defrost</ENT>
                            <ENT>8.65AV + 225.7</ENT>
                            <ENT>0.306av + 225.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">17. Compact upright freezers with automatic defrost</ENT>
                            <ENT>10.17AV + 351.9</ENT>
                            <ENT>0.359av + 351.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">18. Compact chest freezers</ENT>
                            <ENT>9.25AV + 136.8</ENT>
                            <ENT>0.327av + 136.8</ENT>
                        </ROW>
                        <TNOTE>AV = adjusted volume in cubic feet; av = adjusted volume in liters.</TNOTE>
                    </GPOTABLE>
                    <P>DOE's analyses indicate that the amended standards would save a significant amount of energy-an estimated 4.84 quads of cumulative energy over 30 years (2014 through 2043). This amount is equivalent to three times the total energy used annually for refrigeration products in U.S. homes.</P>
                    <P>
                        The cumulative national net present value (NPV) of total consumer costs and savings of the amended standards for products shipped in 2014-2043, in 2009$, ranges from $6.4 to $10.4 billion (at a 7-percent discount rate) to $28.1 to $36.1 billion (at a 3-percent discount rate).
                        <SU>1</SU>
                        <FTREF/>
                         The NPV is the estimated total value of future operating-cost savings during the analysis period, minus the estimated increased product costs, discounted to 2010. The industry net present value (INPV) is the sum of the discounted cash flows to the industry from the base year through the end of the analysis period (2010 to 2043). Using a real discount rate of 7.2 percent, DOE estimates that INPV for manufacturers of all refrigeration products in the base case is $3.731 billion in 2009$. By adopting the amended standards, DOE expects that manufacturers may lose 15 to 24 percent of their INPV, or approximately $0.573 to $0.887 billion. Using a 7-percent discount rate, the NPV of consumer costs and savings from today's amended standards would amount to 4 to 16 times the total estimated industry losses. Using a 3-percent discount rate, the NPV would amount to 26 to 60 times the total estimated industry losses.
                    </P>
                    <FTNT>
                        <P>
                            <SU>1</SU>
                             DOE uses discount rates of 7 and 3 percent based on guidance from the Office of Management and Budget. See section IV.G for further information.
                        </P>
                    </FTNT>
                    <P>
                        The projected economic impacts of the amended standards on individual consumers are generally positive. For example, the estimated average life-cycle cost (LCC) savings are $42 for top-mount refrigerator-freezers, $22 for bottom-mount refrigerator-freezers, $57 for side-by-side refrigerator-freezers, $195 for upright freezers, $69 for chest freezers, $14 for compact refrigerators, $12 for compact freezers, and from $2 to $71 for built-in refrigeration products, depending on the product class.
                        <SU>2</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>2</SU>
                             The LCC is the total consumer expense over the life of a product, consisting of purchase and installation costs plus operating costs (expenses for energy use, maintenance and repair). To compute the operating costs, DOE discounts future operating costs to the time of purchase and sums them over the lifetime of the product. The sources and methods used to derive purchase, installation and operating costs are described in section IV.F of this notice.
                        </P>
                    </FTNT>
                    <P>
                        In addition, the amended standards are projected to have significant environmental benefits. The energy saved is in the form of electricity and DOE expects the energy savings from the amended standards to eliminate the need for approximately 4.8 gigawatts (GW) of generating capacity by 2043. The savings would result in cumulative greenhouse gas emission reductions of 344 million metric tons (Mt) 
                        <SU>3</SU>
                        <FTREF/>
                         of carbon dioxide (CO
                        <E T="52">2</E>
                        ) in 2014-2043. During this period, the amended standards would result in emissions reductions 
                        <SU>4</SU>
                        <FTREF/>
                         of 277,000 short tons (tons) of nitrogen oxides (NO
                        <E T="52">X</E>
                        ) and 1.45 tons of mercury (Hg).
                    </P>
                    <FTNT>
                        <P>
                            <SU>3</SU>
                             A metric ton is equivalent to 1.1 short tons. Results for NO
                            <E T="52">X</E>
                             and Hg are given in short tons.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>4</SU>
                             DOE calculates emissions reductions relative to the most recent version of the 
                            <E T="03">Annual Energy Outlook</E>
                             (
                            <E T="03">AEO</E>
                            ) Reference case forecast. This forecast accounts for regulatory emissions reductions through 2008, including the Clean Air Interstate Rule (CAIR, 70 FR 25162 (May 12, 2005)), but not the Clean Air Mercury Rule (CAMR, 70 FR 28606 (May 18, 2005)). Subsequent regulations, including the proposed CAIR replacement rule, the Clean Air Transport Rule (75 FR 45210 (Aug. 2, 2010)), do not appear in the forecast. DOE notes that a new CAIR rule has recently been finalized. See 
                            <E T="03">http://www.epa.gov/crossstaterule/</E>
                            .
                        </P>
                    </FTNT>
                    <P>
                        The value of the CO
                        <E T="52">2</E>
                         reductions is calculated using a range of values per metric ton of CO
                        <E T="52">2</E>
                         (otherwise known as the Social Cost of Carbon, or SCC) developed by a recent interagency process. The derivation of the SCC values is discussed in section IV.M. DOE estimates the present monetary value of the CO
                        <E T="52">2</E>
                         emissions reduction is between $2.8 and $27.5 billion, expressed in 2009$ and discounted to 2010. DOE also estimates that the present monetary value of the NO
                        <E T="52">X</E>
                         emissions reduction, expressed in 2009$ and discounted to 2010, is between $35 and $360 million at a 7-percent discount 
                        <PRTPAGE P="57519"/>
                        rate, and between $87 and $890 million at a 3-percent discount rate.
                        <SU>5</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>5</SU>
                             The range of values at each discount rate reflects use of low and high estimates of the benefits of avoiding one ton of NO
                            <E T="52">X</E>
                             emissions. With respect to mercury, DOE is aware of multiple agency efforts to determine the appropriate range of values used in evaluating the potential economic benefits of reduced Hg emissions. DOE has decided to await further guidance regarding consistent valuation and reporting of Hg emissions before it once again monetizes Hg in its rulemakings.
                        </P>
                    </FTNT>
                    <P>Table I.2 summarizes the national economic costs and benefits expected to result from today's standards for refrigeration products.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,xs52,12">
                        <TTITLE>Table I.2—Summary of National Economic Benefits and Costs of Refrigeration Product Energy Conservation Standards</TTITLE>
                        <BOXHD>
                            <CHED H="1">Category</CHED>
                            <CHED H="1">
                                Present value
                                <LI>
                                    <E T="03">billion 2009$</E>
                                </LI>
                            </CHED>
                            <CHED H="1">
                                Discount rate
                                <LI>(percent)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW RUL="s" EXPSTB="02">
                            <ENT I="21">
                                <E T="02">Benefits</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Operating Cost Savings</ENT>
                            <ENT>
                                21.7
                                <LI>55.4</LI>
                            </ENT>
                            <ENT>
                                7
                                <LI>3</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $4.9/t)*
                            </ENT>
                            <ENT>2.8</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $22.1/t)*
                            </ENT>
                            <ENT>9.0</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $36.3/t)*
                            </ENT>
                            <ENT>13.5</ENT>
                            <ENT>2.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $67.1/t)*
                            </ENT>
                            <ENT>27.5</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                 Reduction Monetized Value (at $447/ton)*
                            </ENT>
                            <ENT>
                                0.035
                                <LI>0.087</LI>
                            </ENT>
                            <ENT>
                                7
                                <LI>3</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                 Reduction Monetized Value (at $4,591/ton)*
                            </ENT>
                            <ENT>
                                0.36
                                <LI>0.89</LI>
                            </ENT>
                            <ENT>
                                7
                                <LI>3</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Total Benefits†</ENT>
                            <ENT>30.9</ENT>
                            <ENT>7</ENT>
                        </ROW>
                        <ROW RUL="s,s,s">
                            <ENT I="22"> </ENT>
                            <ENT>64.9</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="02">
                            <ENT I="21">
                                <E T="02">Costs</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Incremental Installed Costs</ENT>
                            <ENT>11.3 to 15.3</ENT>
                            <ENT>7</ENT>
                        </ROW>
                        <ROW RUL="s,s,s">
                            <ENT I="22"> </ENT>
                            <ENT>19.3 to 27.3</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="02">
                            <ENT I="21">
                                <E T="02">Net Benefits</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                Including CO
                                <E T="52">2</E>
                                 and NO
                                <E T="52">X</E>
                                †
                            </ENT>
                            <ENT>
                                15.6 to 19.5
                                <LI>37.5 to 45.5</LI>
                            </ENT>
                            <ENT>
                                7
                                <LI>3</LI>
                            </ENT>
                        </ROW>
                        <TNOTE>
                            * The CO
                            <E T="52">2</E>
                             values represent global monetized values of the SCC in 2010 under several scenarios. The values of $4.9, $22.1, and $36.3 per metric ton (t) are the averages of SCC distributions calculated using 5%, 3%, and 2.5% discount rates, respectively. The value of $67.1/t represents the 95th percentile of the SCC distribution calculated using a 3% discount rate.
                        </TNOTE>
                        <TNOTE>** The range of results for incremental product costs reflects the range of product price forecasts discussed in section IV.G.3.</TNOTE>
                        <TNOTE>
                            † Total Benefits for both the 3% and 7% cases are derived using the SCC value calculated at a 3% discount rate, and the average of the low and high NO
                            <E T="52">X</E>
                             values used in DOE's analysis.
                        </TNOTE>
                    </GPOTABLE>
                    <P>
                        The benefits and costs of today's standards, for products sold in 2014-2043, can also be expressed in terms of annualized values. The annualized monetary values are the sum of (1) the annualized national economic value, expressed in 2009$, of the benefits from operating products that meet the amended standards (consisting primarily of operating cost savings from using less energy, minus increases in equipment purchase and installation costs, which is another way of representing consumer NPV), and (2) the annualized monetary value of the benefits of emission reductions, including CO
                        <E T="52">2</E>
                         emission reductions.
                        <SU>6</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>6</SU>
                             DOE used a two-step calculation process to convert the time-series of costs and benefits into annualized values. First, DOE calculated a present value in 2010, the year used for discounting the NPV of total consumer costs and savings, for the time-series of costs and benefits using discount rates of three and seven percent for all costs and benefits except for the value of CO
                            <E T="52">2</E>
                             reductions. For the latter, DOE used a range of discount rates, as shown in Table I.3. From the present value, DOE then calculated the fixed annual payment over a 30-year period (2014 through 2043) that yields the same present value. This payment includes benefits to consumers which accrue after 2043 from the refrigerators purchased from 2014 to 2043. Costs incurred by manufacturers, some of which may be incurred prior to 2014 in preparation for the rule, are not directly included, but are indirectly included as part of incremental equipment costs. The extent of these costs and benefits depends on the projected price trends of refrigerators since consumer demand of refrigerators is a function of refrigerator prices. The fixed annual payment is the annualized value. Although DOE calculated annualized values, this does not imply that the time-series of cost and benefits from which the annualized values were determined is a steady stream of payments.
                        </P>
                    </FTNT>
                    <P>
                        Although adding the value of consumer savings to the values of emission reductions provides a valuable perspective, two issues should be considered. First, the national operating savings are domestic U.S. consumer monetary savings that occur as a result of market transactions while the value of CO
                        <E T="52">2</E>
                         reductions is based on a global value. Second, the assessments of operating cost savings and SCC are performed with different methods that use different time frames for analysis. The national operating cost savings is measured for the lifetime of refrigeration products shipped in 2014-2043. The SCC values, on the other hand, reflect the present value of future climate-related impacts resulting from the emission of one ton of carbon dioxide in each year. These impacts continue well beyond 2100.
                    </P>
                    <P>
                        Estimates of annualized benefits and costs of today's standards are shown in Table I.3. The results under the primary estimate, expressed in 2009$, are as follows. Using a 7-percent discount rate and the SCC series having a value of $22.1/ton in 2010, the cost of the standards in today's rule is $1,167 to $1,569 million per year in increased equipment costs, while the annualized benefits are $2,275 million per year in reduced equipment operating costs, $515 million in CO
                        <E T="52">2</E>
                         reductions, and $21 million in reduced NO
                        <E T="52">X</E>
                         emissions. In this case, the net benefit amounts to $1,241 to $1,643 million per year. Using a 3-percent discount rate and the SCC series having a value of $22.1/ton in 2010, the cost of the standards in 
                        <PRTPAGE P="57520"/>
                        today's rule is $1,081 to $1,526 million per year in increased equipment costs, while the benefits are $3,160 million per year in reduced operating costs, $515 million in CO
                        <E T="52">2</E>
                         reductions, and $28 million in reduced NO
                        <E T="52">X</E>
                         emissions. In this case, the net benefit amounts to $2,176 to $2,622 million per year.
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,xs80,xs60,xs60,xs60">
                        <TTITLE>Table I.3—Annualized Benefits and Costs of Amended Standards for Refrigeration Products Shipped in 2014-2043 *</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Discount rate</CHED>
                            <CHED H="1">Monetized (million 2009$/year)</CHED>
                            <CHED H="2">
                                Primary
                                <LI>estimate *</LI>
                            </CHED>
                            <CHED H="2">
                                Low net benefits 
                                <LI>estimate *</LI>
                            </CHED>
                            <CHED H="2">
                                High net 
                                <LI>benefits </LI>
                                <LI>estimate *</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">
                                <E T="02">Benefits:</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Operating Cost Savings</ENT>
                            <ENT>7%</ENT>
                            <ENT>2275</ENT>
                            <ENT>1996</ENT>
                            <ENT>2560.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>3160</ENT>
                            <ENT>2720</ENT>
                            <ENT>3596.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction at $4.9/t **
                            </ENT>
                            <ENT>5%</ENT>
                            <ENT>162</ENT>
                            <ENT>162</ENT>
                            <ENT>162.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction at $22.1/t **
                            </ENT>
                            <ENT>3%</ENT>
                            <ENT>515</ENT>
                            <ENT>515</ENT>
                            <ENT>515.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction at $36.3/t **
                            </ENT>
                            <ENT>2.5%</ENT>
                            <ENT>772</ENT>
                            <ENT>772</ENT>
                            <ENT>772.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction at $67.1/t **
                            </ENT>
                            <ENT>3%</ENT>
                            <ENT>1567</ENT>
                            <ENT>1567</ENT>
                            <ENT>1567.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                NO
                                <E T="52">X</E>
                                 Reduction at $2,519/ton **
                            </ENT>
                            <ENT>7%</ENT>
                            <ENT>21</ENT>
                            <ENT>21</ENT>
                            <ENT>21.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>28</ENT>
                            <ENT>28</ENT>
                            <ENT>28.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Total (Operating Cost Savings, CO
                                <E T="52">2</E>
                                 Reduction and NO
                                <E T="52">X</E>
                                 Reduction) †
                            </ENT>
                            <ENT>
                                7% plus CO
                                <E T="52">2</E>
                                 range
                                <LI>7%</LI>
                            </ENT>
                            <ENT>
                                2457 to 3863
                                <LI>2810</LI>
                            </ENT>
                            <ENT>
                                2178 to 3584
                                <LI>2531</LI>
                            </ENT>
                            <ENT>
                                2742 to 4148.
                                <LI>3095.</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>3703</ENT>
                            <ENT>3263</ENT>
                            <ENT>4139.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                3% plus CO
                                <E T="52">2</E>
                                 range
                            </ENT>
                            <ENT>3350 to 4755</ENT>
                            <ENT>2910 to 4315</ENT>
                            <ENT>3786 to 5192.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">
                                <E T="02">Costs:</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Incremental Product Costs</ENT>
                            <ENT>7%</ENT>
                            <ENT>1167 to 1569</ENT>
                            <ENT>1480</ENT>
                            <ENT>1232.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>1081 to 1526</ENT>
                            <ENT>1430</ENT>
                            <ENT>1147.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">
                                <E T="02">Net Benefits:</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total †</ENT>
                            <ENT>
                                7% plus CO
                                <E T="52">2</E>
                                 range
                            </ENT>
                            <ENT>888 to 2696</ENT>
                            <ENT>698 to 2103</ENT>
                            <ENT>1511 to 2916.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>7%</ENT>
                            <ENT>1241 to 1643</ENT>
                            <ENT>1051</ENT>
                            <ENT>1863.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>2176 to 2622</ENT>
                            <ENT>1832</ENT>
                            <ENT>2993.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                3% plus CO
                                <E T="52">2</E>
                                 range
                            </ENT>
                            <ENT>1823 to 3674</ENT>
                            <ENT>1479 to 2885</ENT>
                            <ENT>2640 to 4045.</ENT>
                        </ROW>
                        <TNOTE> *This table presents the annualized costs and benefits associated with refrigerators shipped between 2014 and 2043. These results include benefits to consumers which accrue after 2043 from the refrigerators purchased from 2014 to 2043. Costs incurred by manufacturers, some of which may be incurred prior to 2014 in preparation for the rule, are not directly included, but are indirectly included as part of incremental equipment costs. The extent of these costs and benefits depends on the projected price trends of refrigerators since consumer demand of refrigerators is a function of refrigerator prices. The extent of the costs and benefits will depend on the projected price trends of refrigerators, as the consumer demand for refrigerators is a function of refrigerator prices. The Primary, Low Benefits, and High Benefits Estimates utilize forecasts of energy prices and housing starts from the AEO2010 Reference case, Low Estimate, and High Estimate, respectively. In addition, incremental product costs reflect a medium decline rate for projected product price trends in the Primary Estimate, a low decline rate for projected product price trends using a Low Benefits Estimate, and a high decline rate for projected product price trends using a High Benefits Estimate. The different techniques used to derive projected price trends for each estimate are explained in section IV.G.3. In the Primary estimate, the range of results for incremental product costs reflects the range of projected price trends.</TNOTE>
                        <TNOTE>
                            ** The CO
                            <E T="52">2</E>
                             values represent global monetized values (in 2009$) of the SCC in 2010 under several scenarios. The values of $4.9, $22.1, and $36.3 per metric ton are the averages of SCC distributions calculated using 5%, 3%, and 2.5% discount rates, respectively. The value of $67.1/t represents the 95th percentile of the SCC distribution calculated using a 3% discount rate. The value for NO
                            <E T="52">X</E>
                             (in 2009$) is the average of the low and high values used in DOE's analysis.
                        </TNOTE>
                        <TNOTE>
                            † Total Benefits for both the 3% and 7% cases are derived using the SCC value calculated at a 3% discount rate, which is $22.1/t in 2010 (in 2009$). In the rows labeled as “7% plus CO
                            <E T="52">2</E>
                             range” and “3% plus CO
                            <E T="52">2</E>
                             range,” the operating cost and NO
                            <E T="52">X</E>
                             benefits are calculated using the labeled discount rate, and those values are added to the full range of CO
                            <E T="52">2</E>
                             values.
                        </TNOTE>
                    </GPOTABLE>
                    <P>DOE has concluded that the standards in today's rule represent the maximum improvement in energy efficiency that is both technologically feasible and economically justified, and would result in the significant conservation of energy. DOE further notes that products achieving these standard levels are already commercially available for at least some, if not most, product classes covered by today's ruling. Based on the analyses described above, DOE found the benefits of today's standards to the Nation (energy savings, positive NPV of consumer benefits, consumer LCC savings, and emission reductions) outweigh the burdens (loss of INPV for manufacturers and LCC increases for some consumers).</P>
                    <HD SOURCE="HD1">II. Introduction</HD>
                    <P>The following section briefly discusses the statutory authority underlying today's final rule as well as some of the relevant historical background related to the establishment of standards for refrigeration products.</P>
                    <HD SOURCE="HD2">A. Authority</HD>
                    <P>
                        Title III of EPCA sets forth a variety of provisions designed to improve energy efficiency. Part A of title III (42 U.S.C. 6291-6309) provides for the Energy Conservation Program for Consumer Products Other than Automobiles.
                        <SU>7</SU>
                        <FTREF/>
                         EPCA covers consumer products and certain commercial equipment (referred to collectively hereafter as “covered products”), including the types of refrigeration products that are the subject of this rulemaking. (42 U.S.C. 6292(a)(1)) EPCA prescribed energy conservation standards for these products (42 U.S.C. 6295(b)(1)-(2)), and directed DOE to conduct three cycles of rulemakings to determine whether to amend these standards. (42 U.S.C. 6295(b)(3)(A)(i), (b)(3)(B)-(C), and (b)(4)) As explained in further detail in section 0, this rulemaking satisfies the third round of amendments under 42 U.S.C. 6295(b). (DOE notes that under 42 U.S.C. 6295(m), the agency must periodically review its already established energy conservation standards for a covered product. Under this requirement, the 
                        <PRTPAGE P="57521"/>
                        next review that DOE would need to conduct would occur six years from the issuance of a final rule establishing or amending a standard for a covered product.)
                    </P>
                    <FTNT>
                        <P>
                            <SU>7</SU>
                             This part was titled Part B in EPCA, but was subsequently codified as Part A in the U.S. Code for editorial reasons.
                        </P>
                    </FTNT>
                    <P>
                        Under the Act, DOE's energy conservation program for covered products consists essentially of four parts: (1) Testing, (2) labeling, (3) the establishment of Federal energy conservation standards, and (4) certification and enforcement procedures. The Federal Trade Commission (FTC) is generally responsible for labeling issues for consumer products, and DOE implements the remainder of the program. Section 323 of the Act (codified at 42 U.S.C. 6293) authorizes DOE, subject to certain criteria and conditions, to develop test procedures to measure the energy efficiency, energy use, or estimated annual operating cost of each covered product. Manufacturers of covered products must use the prescribed DOE test procedure as the basis for certifying to DOE that their products comply with the applicable energy conservation standards adopted under EPCA and when making representations to the public regarding the energy use or efficiency of those products. (42 U.S.C. 6293(c) and 6295(s)) Similarly, DOE must use these test procedures to determine whether the products comply with standards adopted under EPCA. 
                        <E T="03">Id.</E>
                         The test procedures for refrigeration products currently appear at title 10, Code of Federal Regulations (CFR), part 430, subpart B, appendices A1 and B1, respectively. (These procedures have recently been amended and recodified as part of new Appendices A and B, which will, pending further comment from interested parties, be required to be used when certifying compliance with the standards detailed in today's final rule. See 75 FR 78810 (December 16, 2010)).
                    </P>
                    <P>EPCA prescribes specific criteria for DOE to consider when amending standards for covered products. As indicated above, any amended standard for a covered product must be designed to achieve the maximum improvement in energy efficiency that is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) EPCA precludes DOE from adopting any standard that would not result in the significant conservation of energy. (42 U.S.C. 6295(o)(3)) Moreover, DOE may not prescribe a standard for certain products, including refrigeration products, (1) if no test procedure has been established for that product, or (2) if DOE determines by rule that the amended standard is not technologically feasible or economically justified. (42 U.S.C. 6295(o)(3)(A)-(B)) The Act also provides that, in deciding whether an amended standard is economically justified, DOE must determine whether the benefits of the standard exceed its burdens. (42 U.S.C. 6295(o)(2)(B)(i)) DOE must do so after receiving comments on the proposed standard, and by considering, to the greatest extent practicable, the following seven factors:</P>
                    <P>1. The economic impact of the standard on manufacturers and consumers of the products subject to the standard;</P>
                    <P>2. The savings in operating costs throughout the estimated average life of the covered products in the type (or class) compared to any increase in the price, initial charges, or maintenance expenses for the covered products that are likely to result from the imposition of the standard;</P>
                    <P>3. The total projected amount of energy savings likely to result directly from the imposition of the standard;</P>
                    <P>4. Any lessening of the utility or the performance of the covered products likely to result from the imposition of the standard;</P>
                    <P>5. The impact of any lessening of competition, as determined in writing by the Attorney General, that is likely to result from the imposition of the standard;</P>
                    <P>6. The need for national energy conservation; and</P>
                    <P>7. Other factors the Secretary of Energy (Secretary) considers relevant. (42 U.S.C. 6295(o)(2)(B)(i)(I)-(VII))</P>
                    <P>EPCA also contains what is known as an “anti-backsliding” provision, which prevents DOE from prescribing any amended standard that either increases the maximum allowable energy use or decreases the minimum required energy efficiency of a covered product. (42 U.S.C. 6295(o)(1)) Also, DOE may not prescribe a new standard if interested persons have established by a preponderance of the evidence that the standard is likely to result in the unavailability in the United States of any covered product type (or class) with performance characteristics, features, sizes, capacities, and volumes that are substantially the same as those generally available in the United States. (42 U.S.C. 6295(o)(4))</P>
                    <P>
                        Further, EPCA establishes a rebuttable presumption that a standard is economically justified if the Secretary finds that the additional cost to the consumer of purchasing a product complying with an energy conservation standard level will be less than three times the value of the energy savings during the first year that the consumer will receive as a result of the standard, as calculated under the applicable test procedure. See 42 U.S.C. 6295(o)(2)(B)(iii).
                        <SU>8</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>8</SU>
                             In this context, the presumption provides a legal finding that the criteria under 42 U.S.C. 6295(o)(2) have been met if the specified level of savings within the first year occur. To ensure that it has fully examined the potential costs and benefits of a given level, DOE routinely conducts a full analysis of the potential standards it considers.
                        </P>
                    </FTNT>
                    <P>
                        Additionally, 42 U.S.C. 6295(q)(1) specifies the requirements for setting classes of a covered product. In such cases, DOE may specify a different standard level than that which applies generally to such type or class of products “for any group of covered products which have the same function or intended use” if one of two conditions is met: (A) The specific group of products for which a class category would apply consume a different kind of energy from that consumed by other covered products within such type (or class); or (B) that specific group of products has a capacity or other performance-related feature which other products within such type (or class) do not have and such feature justifies a higher or lower standard” than applies or will apply to the other products within that type or class. 
                        <E T="03">Id.</E>
                         In determining whether a performance-related feature justifies a different standard for a group of products, DOE must “consider such factors as the utility to the consumer of such a feature” and other factors DOE deems appropriate. 
                        <E T="03">Id.</E>
                         Any rule prescribing such a standard must include an explanation of the basis on which such higher or lower level was established. (42 U.S.C. 6295(q)(2))
                    </P>
                    <P>Federal energy conservation requirements generally supersede State laws or regulations concerning energy conservation testing, labeling, and standards. (42 U.S.C. 6297(a)-(c)) DOE can, however, grant waivers of Federal preemption for particular State laws or regulations in accordance with the procedures and other provisions of section 327(d) of the Act. (42 U.S.C. 6297(d))</P>
                    <P>
                        Section 310(3) of the Energy Independence and Security Act of 2007 (EISA 2007; Pub. L. 110-140 (codified at 42 U.S.C. 6295(gg))) amended EPCA to require that energy conservation standards address standby mode and off mode energy use. Specifically, when DOE adopts a standard for a covered product after July 1, 2010, it must, if justified by the criteria for adoption of standards in section 325(o) of EPCA (42 U.S.C. 6295(o)), incorporate standby mode and off mode energy use into the standard, if feasible, or adopt a separate 
                        <PRTPAGE P="57522"/>
                        standard for such energy use for that product. (42 U.S.C. 6295(gg)(3)(A)-(B)) DOE's current (and recently amended) test procedures and current standards for refrigeration products address standby and off mode energy use, as do the amended standards adopted in this final rule. Standby and off mode energy use is measured by the test procedures and integrated into the energy use metric, thus separate metrics for these quantities are not needed.
                    </P>
                    <P>DOE has also reviewed this regulation pursuant to Executive Order 13563 (76 FR 3281, Jan. 21, 2011). EO 13563 is supplemental to, and explicitly reaffirms the principles, structures, and definitions governing regulatory review established in, Executive Order 12866. To the extent permitted by law, agencies are required by Executive Order 13563 to: (1) Propose or adopt a regulation only upon a reasoned determination that its benefits justify its costs (recognizing that some benefits and costs are difficult to quantify); (2) tailor regulations to impose the least burden on society, consistent with obtaining regulatory objectives, taking into account, among other things, and to the extent practicable, the costs of cumulative regulations; (3) select, in choosing among alternative regulatory approaches, those approaches that maximize net benefits (including potential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity); (4) to the extent feasible, specify performance objectives, rather than specifying the behavior or manner of compliance that regulated entities must adopt; and (5) identify and assess available alternatives to direct regulation, including providing economic incentives to encourage the desired behavior, such as user fees or marketable permits, or providing information upon which choices can be made by the public.</P>
                    <P>DOE emphasizes as well that Executive Order 13563 requires agencies “to use the best available techniques to quantify anticipated present and future benefits and costs as accurately as possible.” In its guidance, the Office of Information and Regulatory Affairs has emphasized that such techniques may include “identifying changing future compliance costs that might result from technological innovation or anticipated behavioral changes.” For the reasons stated in the preamble, DOE believes that today's final rule is consistent with these principles, including that, to the extent permitted by law, agencies adopt a regulation only upon a reasoned determination that its benefits justify its costs and select, in choosing among alternative regulatory approaches, those approaches that maximize net benefits.</P>
                    <P>
                        Given the range of inputs and parameters analyzed in this rulemaking, there may be multiple standards that would maximize annualized net benefits.
                        <SU>9</SU>
                        <FTREF/>
                         For some product classes, depending on different assumptions, the standard that maximized annualized net benefits could fall within a range of TSLs. Five different TSLs were considered for each product class grouping with high and low values for the maximum annualized net benefits estimated for each TSL. For standard-size refrigerator-freezers, the TSL with maximum annualized net benefits with the highest value was TSL 3, although certain values for maximum annualized net benefits fell within the ranges estimated for TSL 1 to TSL 3. For standard-size freezers, the maximum annualized net benefits fell within the calculated ranges for TSL 3 to TSL 4. However, DOE noted that even using the low end of this range, efficiency levels are significantly higher than the most efficient products already available on the market (see Section VI.C.2). Therefore, DOE selected TSL 2, which DOE also notes corresponds to the recommended level in the Joint Comments. For compact refrigeration products, the maximum annualized net benefits fell within the calculated ranges for TSL 1 to TSL 3, and DOE selected TSL 2. With respect to compact refrigeration products, DOE estimates an approximately 10 percent increase in total installation costs as a result of the standard. Because DOE was unable to estimate the income subgroup LCC effects due to lack of data, the agency believes choosing a TSL on the lower end of the range of estimated cost impacts (
                        <E T="03">i.e.,</E>
                         TSL 2) would provide a more conservative approach to minimize any potentially negative consumer welfare impacts on lower income consumers. For built-in refrigeration products, the TSL with maximum annualized net benefits was TSL 2, and DOE selected TSL 2. Therefore, consistent with EO 13563, the energy efficiency standards adopted herein by DOE achieves maximum net benefits.
                    </P>
                    <FTNT>
                        <P>
                            <SU>9</SU>
                             The maximum annualized net benefits included monetized emissions savings.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">B. Background</HD>
                    <P>The following discussion provides some background information describing the events leading up to today's final rule.</P>
                    <HD SOURCE="HD3">1. Current Standards</HD>
                    <P>
                        In a final rule published on April 28, 1997 (1997 Final Rule), DOE prescribed energy conservation standards for refrigeration products manufactured on or after July 1, 2001. 62 FR 23102. This 1997 rule set the energy conservation standards that are currently in place and completed the second round of rulemaking to amend the standards for refrigeration products required under 42 U.S.C. 6295(b)(3)(B)-(C). The current standards consist of separate equations for each product class. Each equation provides a means to calculate the maximum levels of energy use permitted under the regulations. These levels vary based on the storage volume of the refrigeration product and on the particular characteristics and features included in a given product (
                        <E T="03">i.e.,</E>
                         based on product class). 10 CFR 430.32(a). The current standards are set forth in Table II.1. DOE notes that the standard levels denoted in the additional product classes listed as 5A and 10A were established by the Office of Hearings and Appeals (OHA) through that Office's exception relief process, and are applicable to basic models of those types if their manufacturer has applied for and been granted exception relief for them by OHA.
                    </P>
                    <PRTPAGE P="57523"/>
                    <GPOTABLE COLS="02" OPTS="L2,i1" CDEF="s100,xs108">
                        <TTITLE>Table II.1—Federal Energy Efficiency Standards for Refrigerators, Refrigerator-Freezers, and Freezers</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class</CHED>
                            <CHED H="1">
                                Energy standard equations for maximum energy use 
                                <LI>(kWh/yr)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW RUL="s">
                            <ENT I="22"> </ENT>
                            <ENT O="oi0">Made Effective by the 1997 Final Rule</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1. Refrigerators and refrigerator-freezers with manual defrost</ENT>
                            <ENT>
                                8.82AV+248.4
                                <LI>0.31av+248.4</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2. Refrigerator-freezers—partial automatic defrost</ENT>
                            <ENT>
                                8.82AV+248.4
                                <LI>0.31av+248.4</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3. Refrigerator-freezers—automatic defrost with top-mounted freezer without through-the-door ice service and all-refrigerator—automatic defrost</ENT>
                            <ENT>
                                9.80AV+276.0
                                <LI>0.35av+276.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4. Refrigerator-freezers—automatic defrost with side-mounted freezer without through-the-door ice service</ENT>
                            <ENT>
                                4.91AV+507.5
                                <LI>0.17av+507.5</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5. Refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service</ENT>
                            <ENT>
                                4.60AV+459.0
                                <LI>0.16av+459.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6. Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service</ENT>
                            <ENT>
                                10.20AV+356.0
                                <LI>0.36av+356.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7. Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                            <ENT>
                                10.10AV+406.0 
                                <LI>0.36av+406.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">8. Upright freezers with manual defrost</ENT>
                            <ENT>
                                7.55AV+258.3 
                                <LI>0.27av+258.3</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9. Upright freezers with automatic defrost</ENT>
                            <ENT>
                                12.43AV+326.1 
                                <LI>0.44av+326.1</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10. Chest freezers and all other freezers except compact freezers</ENT>
                            <ENT>
                                9.88AV+143.7 
                                <LI>0.35av+143.7</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">11. Compact refrigerators and refrigerator-freezers with manual defrost</ENT>
                            <ENT>
                                10.70AV+299.0 
                                <LI>0.38av+299.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">12. Compact refrigerator-freezer—partial automatic defrost</ENT>
                            <ENT>
                                7.00AV+398.0 
                                <LI>0.25av+398.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13. Compact refrigerator-freezers—automatic defrost with top-mounted freezer and compact all-refrigerator—automatic defrost</ENT>
                            <ENT>
                                12.70AV+355.0 
                                <LI>0.45av+355.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">14. Compact refrigerator-freezers—automatic defrost with side-mounted freezer</ENT>
                            <ENT>
                                7.60AV+501.0 
                                <LI>0.27av+501.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">15. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer</ENT>
                            <ENT>
                                13.10AV+367.0 
                                <LI>0.46av+367.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">16. Compact upright freezers with manual defrost</ENT>
                            <ENT>
                                9.78AV+250.8 
                                <LI>0.35av+250.8</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">17. Compact upright freezers with automatic defrost</ENT>
                            <ENT>
                                11.40AV+391.0 
                                <LI>0.40av+391.0</LI>
                            </ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">18. Compact chest freezers</ENT>
                            <ENT>
                                10.45AV+152.0 
                                <LI>0.37av+152.0</LI>
                            </ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="21">Product Class</ENT>
                            <ENT O="oi0">Made Effective Through OHA Exception Relief</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5A. Refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service</ENT>
                            <ENT>
                                5.0AV+539.0 
                                <LI>0.18av+539.0</LI>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10A. Chest freezers with automatic defrost</ENT>
                            <ENT>
                                14.76AV+211.5 
                                <LI>0.52av+211.5</LI>
                            </ENT>
                        </ROW>
                        <TNOTE>
                            AV: Adjusted Volume in ft
                            <SU>3</SU>
                            ; av: Adjusted Volume in liters (L).
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">2. History of Standards Rulemaking for Refrigerators, Refrigerator-Freezers, and Freezers</HD>
                    <P>The amendments made to EPCA by the National Appliance Energy Conservation Act of 1987 (NAECA; Pub. L. 100-12) included mandatory energy conservation standards for refrigeration products and requirements that DOE conduct two cycles of rulemakings to determine whether to amend these standards. (42 U.S.C. 6295(b)(1), (2), (3)(A)(i), and (3)(B)-(C)) DOE completed the first of these rulemaking cycles in 1989 and 1990 by adopting amended performance standards for all refrigeration products manufactured on or after January 1, 1993. 54 FR 47916 (November 17, 1989); 55 FR 42845 (October 24, 1990). As indicated above, DOE completed a second rulemaking cycle to amend the standards for refrigeration products by issuing a final rule in 1997, which adopted the current standards for these products. 62 FR 23102 (April 28, 1997).</P>
                    <P>
                        In 2005, DOE granted a petition, submitted by a coalition of state governments, utility companies, consumer and low-income advocacy groups, and environmental and energy efficiency organizations, requesting a rulemaking to amend the standards for residential refrigerator-freezers.
                        <SU>10</SU>
                        <FTREF/>
                         DOE then conducted limited analyses to examine the technological and economic feasibility of amended standards at the ENERGY STAR levels that were in effect for 2005 for the two most popular product classes of refrigerator-freezers. These analyses not only identified potential energy savings, benefits and burdens from such standards, but also assessed other issues related to them. Most recently, DOE has undertaken this rulemaking to satisfy 
                        <PRTPAGE P="57524"/>
                        the statutory requirement that DOE publish a final rule to determine whether to amend the standards for refrigeration products manufactured in 2014. (42 U.S.C. 6295(b)(4)) The limited 2005 analyses served as background for the more extensive analysis conducted for this rulemaking.
                    </P>
                    <FTNT>
                        <P>
                            <SU>10</SU>
                             The petition, submitted June 1, 2004, can be viewed at 
                            <E T="03">http://www.standardsasap.org/documents/rfdoe.pdf</E>
                             (last accessed August 18, 2010) and is in the docket as item No. 117.
                        </P>
                    </FTNT>
                    <P>
                        DOE initiated this rulemaking by making available on its Web site a framework document for refrigeration products, a PDF copy of which is available at 
                        <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/refrigerator_freezer_framework.pdf</E>
                        ). DOE also published a notice announcing the availability of the framework document and a public meeting to discuss the document. It also requested public comment on the document. 73 FR 54089 (September 18, 2008). The framework document described the procedural and analytical approaches that DOE anticipated using to evaluate energy conservation standards for refrigeration products and identified various issues to resolve during the rulemaking.
                    </P>
                    <P>On September 29, 2008, DOE held the framework document public meeting and discussed the issues detailed in the framework document. DOE also described the analyses that it planned to conduct during the rulemaking. Through the public meeting, DOE sought feedback from interested parties on these subjects and provided information regarding the rulemaking process that DOE would follow. Interested parties discussed the following major issues at the public meeting: Test procedure revisions; product classes; technology options; approaches to the engineering, life-cycle cost, and payback period analyses; efficiency levels analyzed in the engineering analysis; and the approach for estimating typical energy consumption. At the meeting, and during the related comment period, DOE received many comments that helped it identify and resolve issues involved in this rulemaking.</P>
                    <P>
                        DOE then gathered additional information and performed preliminary analyses for the purpose of developing potential amended energy conservation standards for refrigeration products. This process culminated in DOE's public announcement of the preliminary analysis public meeting. 74 FR 58915 (November 16, 2009) (the November 2009 notice) At that meeting, which was held on December 10, 2009, DOE discussed the following matters: The product classes DOE analyzed; the analytical framework, models, and tools that DOE was using to evaluate standards; the results of the preliminary analyses performed by DOE; and potential standard levels that DOE could consider. DOE also invited written and verbal comments on these subjects and announced the availability on its Web site of a preliminary technical support document (preliminary TSD) it had prepared to inform interested parties and enable them to provide comments. 
                        <E T="03">Id.</E>
                         (The preliminary TSD is available at 
                        <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/ref_frz_prenopr_prelim_tsd.pdf</E>
                        ) DOE also sought views concerning other relevant issues that participants believed would affect energy conservation standards for refrigeration products, or that merited addressing in the Notice of Proposed Rulemaking (NOPR). 
                        <E T="03">Id.</E>
                         at 58917-18.
                    </P>
                    <P>The preliminary TSD provided an overview of the activities DOE undertook in developing potential standards for refrigeration products, and discussed the comments DOE received in response to the framework document. It also described the analytical framework that DOE used, including a description of the methodology, the analytical tools, and the relationships among the various analyses that are part of the rulemaking. The preliminary TSD presented and described in detail each analysis DOE had performed up to that point, including descriptions of inputs, sources, methodologies, and results. These analyses included a market and technology assessment, a screening analysis, an engineering analysis, an energy use analysis, a markups analysis, a life-cycle cost analysis, a payback period (PBP) analysis, a shipments analysis, a national impact analysis, and a preliminary manufacturer impact analysis. See the NOPR for an overview of these assessments and analyses. 75 FR 59470, 59477 (September 27, 2010).</P>
                    <P>
                        At the preliminary analysis meeting, DOE presented the methodologies and results of the analyses set forth in the preliminary TSD. Major topics discussed at the meeting included test procedure revisions, product classes (including wine coolers, all-refrigerators,
                        <SU>11</SU>
                        <FTREF/>
                         and built-in refrigeration products), the use of alternative foam blowing agents and refrigerants, engineering analysis tools, the use of vacuum insulated panels (VIPs), mark-ups, field energy consumption, life-cycle cost inputs, efficiency distribution forecasts, and trial standard level selection criteria. DOE also discussed plans for conducting the NOPR analyses. Comment received in response to the November 2009 notice, helped shape DOE's resolution of the issues raised in the preliminary analysis meeting.
                    </P>
                    <FTNT>
                        <P>
                            <SU>11</SU>
                             An “all-refrigerator” is defined as “an electric refrigerator which does not include a compartment for the freezing and long time storage of food at temperatures below 32 °F (0.0 °C). It may include a compartment of 0.50 cubic feet capacity (14.2 liters) or less for the freezing and storage of ice.” (10 CFR part 430, subpart B, appendix A1, section 1.4).
                        </P>
                    </FTNT>
                    <P>
                        In response to the preliminary analysis, DOE also received a comment submitted jointly by groups representing manufacturers (Association of Home Appliance Manufacturers, Whirlpool, General Electric Company (GE), Electrolux, LG Electronics, BSH, Alliance Laundry, Viking Range, Sub Zero-Wolf, Friedrich A/C, U-Line, Samsung, Sharp Electronics, Miele, Heat Controller, AGA Marvel, Brown Stove, Haier, Fagor America, Airwell Group, Arcelik, Fisher &amp; Paykel, Scotsman Ice, Indesit, Kuppersbusch, Kelon, DeLonghi); energy and environmental advocates (American Council for an Energy Efficient Economy, Appliance Standards Awareness Project, Natural Resources Defense Council, Alliance to Save Energy, Alliance for Water Efficiency, Northwest Power and Conservation Council, Northeast Energy Efficiency Partnerships); and consumer groups (Consumer Federation of America, National Consumer Law Center). This collective set of comments, which DOE refers to in this notice as the “Joint Comments,” 
                        <SU>12</SU>
                        <FTREF/>
                         recommended specific energy conservation standards for refrigeration products that, in the commenters' view, would satisfy the requirements under EPCA. According to this submission, negotiations between these various groups commenced in the spring of 2010, resulting in a finalized agreement with recommended standards on July 30, 2010. (Joint Comments, No. 52 at p. 8) Those recommended standards were reported in percentages of energy use reductions and in annual energy use based on the test procedure then in place but after DOE had published its NOPR proposing to amend that procedure. (Id. See also 75 FR 29824 (May 27, 2010)) DOE neither organized nor was a member of the group but made its contractors available to perform data processing. Consistent with its legal obligations when developing an energy conservation standard, DOE provided the public with the opportunity to comment on the proposed levels that DOE considered adopting for refrigeration products in 
                        <PRTPAGE P="57525"/>
                        the NOPR, which mirror those recommended in the Joint Comments.
                    </P>
                    <FTNT>
                        <P>
                            <SU>12</SU>
                             DOE Docket No. EERE-2008-BT-STD-0012, Comment 49. DOE considered the Joint Comments to supersede earlier comments by the listed parties regarding issues subsequently discussed in the Joint Comments.
                        </P>
                    </FTNT>
                    <P>
                        DOE published the NOPR on September 27, 2010. 75 FR 59470. The NOPR and its accompanying NOPR TSD described the analyses that DOE conducted after the preliminary analyses, including revisions of analyses to address stakeholder comments. The additional analyses performed during the NOPR phase included the consumer subgroup analysis, manufacturer impact analysis, employment impact analysis, utility impact analysis, environmental analysis, and regulatory impact analysis. The NOPR discussed all of the NOPR analyses in depth, including the revision of analyses initially conducted in the preliminary analysis phase. (see 75 FR at 59485-59530 (September 27, 2010)) DOE held a public meeting to discuss the NOPR on October 14, 2010. At the meeting, DOE presented its analyses and raised issues for comment. The issues discussed at the meeting included the measurement changes associated with the new test procedures under consideration, product classes, product class definitions, status of specific technologies (
                        <E T="03">e.g.</E>
                         high-efficiency compressors, VIPs, and isobutane refrigerant), max-tech levels, energy use equation slope changes, adjustments to the methodology for field energy use estimates, maintenance costs, efficiency distributions, energy standard round-off, impacts on small manufacturers, setting built-in standards at levels determined to have negative consumer impacts, and DOE's treatment of emissions reductions. DOE considered comments received at the public meeting and during the NOPR comment period in finalizing the standards.
                    </P>
                    <P>As discussed in greater detail in section IV.F.1 below, after publishing the NOPR, DOE more carefully examined trends in product prices and the possible impact of such trends on its analyses. On February 22, 2011, DOE published a notice of data availability (NODA) that discussed the approach it was considering to use in its forecasts of product prices. 76 FR 9696. DOE requested comments on the information provided in the NODA, and several stakeholders responded, including some that had not commented on the NOPR.</P>
                    <P>Table II.2 below lists the stakeholders that provided comments on the NOPR and the NODA.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s100,r25,xls40,12C,xs64">
                        <TTITLE>Table II.2—Stakeholders Providing Comments on the NOPR and NODA</TTITLE>
                        <BOXHD>
                            <CHED H="1">Name</CHED>
                            <CHED H="1">Acronym</CHED>
                            <CHED H="1">Type *</CHED>
                            <CHED H="1">NOPR oral comments</CHED>
                            <CHED H="1">
                                Written 
                                <LI>comments</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Air-Conditioning, Heating, and Refrigeration Institute</ENT>
                            <ENT>AHRI</ENT>
                            <ENT>IR</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">American Council for an Energy Efficient Economy</ENT>
                            <ENT>ACEEE</ENT>
                            <ENT>EA</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">American Gas Association</ENT>
                            <ENT>AGA</ENT>
                            <ENT>UA</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">American Public Power Association</ENT>
                            <ENT>APPA</ENT>
                            <ENT>UA</ENT>
                            <ENT/>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Appliance Standards Awareness Project (ASAP)</ENT>
                            <ENT>ASAP</ENT>
                            <ENT>EA</ENT>
                            <ENT>✓</ENT>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                Appliance Standards Awareness Project (ASAP) and Others 
                                <SU>13</SU>
                            </ENT>
                            <ENT>Joint Advocates' Comment (JAC)</ENT>
                            <ENT>EA, CA</ENT>
                            <ENT/>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Association of Home Appliance Manufacturers</ENT>
                            <ENT>AHAM</ENT>
                            <ENT>IR</ENT>
                            <ENT>✓</ENT>
                            <ENT>NOPR, NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">California Investor-Owned Utilities</ENT>
                            <ENT>IOUs</ENT>
                            <ENT>U</ENT>
                            <ENT/>
                            <ENT>NOPR, NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Consumer Federation of America</ENT>
                            <ENT>CFA</ENT>
                            <ENT>CA</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Earthjustice</ENT>
                            <ENT>Earthjustice</ENT>
                            <ENT>EA</ENT>
                            <ENT>✓</ENT>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Edison Electric Institute</ENT>
                            <ENT>EEI</ENT>
                            <ENT>UA</ENT>
                            <ENT/>
                            <ENT>NOPR, NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Electrolux Home Products</ENT>
                            <ENT>Electrolux</ENT>
                            <ENT>M</ENT>
                            <ENT>✓</ENT>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">General Electric Consumer and Industrial</ENT>
                            <ENT>GE</ENT>
                            <ENT>M</ENT>
                            <ENT>✓</ENT>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Ingersoll Rand Residential Solutions</ENT>
                            <ENT>Ingersoll Rand</ENT>
                            <ENT>M</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">National Consumer Law Center</ENT>
                            <ENT>NCLC</ENT>
                            <ENT>CA</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Natural Resources Defense Council</ENT>
                            <ENT>NRDC</ENT>
                            <ENT>EA</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Northeast Energy Efficiency Partnerships</ENT>
                            <ENT>NEEP</ENT>
                            <ENT>EA</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Northwest Energy Efficiency Alliance</ENT>
                            <ENT>NEEA</ENT>
                            <ENT>EA</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Northwest Power and Conservation Council</ENT>
                            <ENT>NPCC</ENT>
                            <ENT>UA</ENT>
                            <ENT>✓</ENT>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">People's Republic of China WTO/TBT National Notification &amp; Enquiry Center</ENT>
                            <ENT>PRC</ENT>
                            <ENT>FG</ENT>
                            <ENT/>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Portland General Electric Company</ENT>
                            <ENT>PGEC</ENT>
                            <ENT>U</ENT>
                            <ENT/>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Sacramento Municipal Utility District</ENT>
                            <ENT>SMUD</ENT>
                            <ENT>U</ENT>
                            <ENT/>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Southern Company</ENT>
                            <ENT>SC</ENT>
                            <ENT>U</ENT>
                            <ENT/>
                            <ENT>NOPR, NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Sub Zero-Wolf, Inc</ENT>
                            <ENT>Sub Zero</ENT>
                            <ENT>M</ENT>
                            <ENT/>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Traulsen</ENT>
                            <ENT>Traulsen</ENT>
                            <ENT>M</ENT>
                            <ENT/>
                            <ENT>NODA</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Whirlpool Corporation</ENT>
                            <ENT>Whirlpool</ENT>
                            <ENT>M</ENT>
                            <ENT>✓</ENT>
                            <ENT>NOPR</ENT>
                        </ROW>
                        <TNOTE>* IR: Industry Representative; M: Manufacturer; EA: Efficiency/Environmental Advocate; CA: Consumer Advocate; CS: Component Supplier: TE: Technical Expert: I: Individual; U: Utility; UA: Utility Advocate; FG: Foreign Government Agency.</TNOTE>
                    </GPOTABLE>
                    <P>
                        DOE
                        <FTREF/>
                         notes that comments from the PRC indicated that it received notice of the September 27th NOPR on October 27, 2010, which permitted the Chinese government less than 60 days to provide comment on the proposed regulation. In DOE's view, the publication of the September 2010 proposal, along with its immediate availability on the Government Printing Office's Web site (
                        <E T="03">http://www.gpoaccess.gov</E>
                        ), provided any interested party with the specified 60 days of comment period. In future, however, to accommodate the PRC's concerns, and to the extent feasible, DOE may examine possible steps to ensure the availability of its proposals to interested foreign parties.
                    </P>
                    <FTNT>
                        <P>
                            <SU>13</SU>
                             Appliance Standards Awareness Project (ASAP), Alliance to Save Energy (ASE), American Council for an Energy-Efficient Economy (ACEEE), Consumer Federation of America (CFA), National Consumer Law Center (NCLC), Natural Resources Defense Council (NRDC), Northeast Energy Efficiency Partnerships (NEEP), and Northwest Energy Efficiency Alliance (NEEA).
                        </P>
                    </FTNT>
                    <HD SOURCE="HD1">III. General Discussion</HD>
                    <P>
                        The following section discusses various technical aspects related to this rulemaking. In particular, it addresses aspects involving the test procedures for refrigeration products, the technological feasibility of potential standards to assign to these products, and the potential energy savings and economic justification for prescribing the 
                        <PRTPAGE P="57526"/>
                        amended standards for refrigeration products.
                    </P>
                    <HD SOURCE="HD2">A. Test Procedures</HD>
                    <P>
                        As noted above, DOE's current test procedures for refrigeration products appear at 10 CFR part 430, subpart B, appendices A1 (for refrigerators and refrigerator-freezers) and B1 (for freezers). DOE recently published a notice containing both the test procedure final rule (affecting products manufactured prior to 2014) and an interim final rule (for products manufactured starting in 2014). The final/interim final rule notice amended Appendices A1 and B1 (which affect pre-2014 products) and created new Appendices A and B (which affect products starting in 2014). Appendix A applies to refrigerators and refrigerator-freezers covered by today's amended standards (
                        <E T="03">i.e.,</E>
                         those manufactured or  after the 2014 compliance date prescribed by today's rule) and Appendix B applies to freezers covered by today's amended standards. 75 FR 78810 (December 16, 2010) (this notice contains both the final and interim final rules that detail the test procedures for refrigeration products). The new Appendices A and B share many of the same revisions and additions made in Appendices A1 and B1, but also include additional revisions not made in Appendices A1 and B1. See 
                        <E T="03">id.</E>
                         at 78817-78818 DOE notes, however, that because the new Appendices A and B were issued as an interim final rule, these additional amendments may be subject to possible adjustment based on comments that DOE receives. DOE had previously provided commenters with 60 days within which to provide additional feedback regarding the interim final rule. 
                        <E T="03">Id.</E>
                         at 78810. DOE may reopen this comment period for a limited period of time after the publication of today's standards final rule.
                    </P>
                    <P>EPCA requires DOE to consider during a test procedure rulemaking whether test procedure amendments alter the measured energy use of products, and, if so, to amend the energy standards. (42 U.S.C. 6293(e)(1)-(2)) In this case, DOE simultaneously considered the impacts of any measured energy changes within the context of the standards rulemaking required by statute. Section III.A.0 discusses the adjustment of the final energy conservation standard with respect to any test procedure changes. The approach used to implement this adjustment is also discussed in the Section 0 below.</P>
                    <HD SOURCE="HD3">1. Test Procedure Rulemaking Schedule</HD>
                    <P>The NOPR analysis documents were published, and the NOPR public meeting was held, prior to publication of the final rule describing the amended test procedure on which the analysis was based. The test procedure final/interim final rule was issued and DOE made copies available to all interested parties prior to the end of the energy conservation standard NOPR comment period.</P>
                    <P>
                        AHAM and GE both commented that, despite DOE's May 2010 publication of its proposed test procedure, it is difficult to prepare comments on an energy standard when the final test procedure is not yet known. (AHAM, Public Meeting Transcript, No. 67 at p. 18; GE, Public Meeting Transcript, No. 67 at p. 37) AHAM clarified that determination of the impact on energy use measurement of the test procedure changes cannot be done without having a final test procedure (AHAM, Public Meeting Transcript, No. 67 at p. 13-14, 35) In written comments, AHAM argued that because the test procedure final/interim final rule was not issued until November 24, 2010, manufacturers did not have a sufficient opportunity to test products to evaluate the impacts of the final test procedure changes—as a result, AHAM claimed it was not able to comment on the proposed energy standard equations (AHAM, No. 73 at pp. 1-2) 
                        <SU>14</SU>
                        <FTREF/>
                         GE commented that the industry wanted to know the final test procedure before starting test work to determine whether the energy standard adjustments implemented by DOE in the NOPR sufficiently represent all of the test procedure changes. (GE, Public Meeting Transcript, No. 67 at p. 46-47) AHAM also asked whether any rulemaking process options allowed under EPCA could be considered to give the industry more time to assess the test procedure impacts. (AHAM, Public Meeting Transcript, No. 67 at p. 37-38)
                    </P>
                    <FTNT>
                        <P>
                            <SU>14</SU>
                             The rule was issued on November 23, 2010, not November 24 as indicated in AHAM's comments.
                        </P>
                    </FTNT>
                    <P>DOE notes that the test procedure NOPR was published May 27, 2010, roughly two months prior to the completion of negotiations conducted by industry and advocates in creating the standards recommended in their joint comments. 75 FR 29824 (May 27, 2010). In developing those consensus standards, the industry and other stakeholders had knowledge of DOE's test procedure proposals and ample time to consider adjustments to the negotiated standards to address the proposals for today's final rule. DOE also notes that stakeholders have had several months since the publication of the test procedure NOPR to quantify the impacts of the proposed test procedure amendments. DOE again asked stakeholders at the energy conservation standard NOPR public meeting for information that would help quantify these impacts. None was provided and participants gave no indication that they had performed any such testing. In the absence of such information, DOE has developed its own information to finalize the energy conservation standards, as described in section III.A.0.</P>
                    <P>DOE notes that under EPCA, an amended or new energy conservation standard may not be prescribed unless a test procedure for the regulated product has been prescribed. See 42 U.S.C. 6295(o)(3). DOE has met this requirement.</P>
                    <P>
                        In response to AHAM's request regarding additional time to evaluate the test procedure impacts, DOE has issued the test procedure amendments affecting products starting in 2014 as an interim final rule. This approach resulted in providing interested parties with an additional 60 days to comment on the interim final rule's amendments. 75 FR at 78810 (December 16, 2010). Additionally, as already indicated, DOE plans to provide interested parties with additional time to comment on the interim final rule. Notice of that limited reopening of the comment period will be provided in the 
                        <E T="04">Federal Register</E>
                        .
                    </P>
                    <HD SOURCE="HD3">2. Adjustment of the Energy Standards for the New Test Procedure</HD>
                    <P>
                        As described above, DOE amended its test procedures for refrigeration products. These amendments will impact the measured energy use. DOE's amended standard levels incorporated adjustments (called a “crosswalk”) to reflect these changes in energy use measurements. DOE described the crosswalk process in its September 2010 NOPR. See 75 FR at 59502-59505 (September 27, 2010). In short, DOE applied the crosswalk to the baseline (current energy standard) equations, thus developing baseline energy use equations using the new test procedure. DOE applied the percentage energy use reductions representing the new energy standards to these baseline equations to determine the new energy standards. The NOPR also indicated that DOE tentatively concluded that the only test procedure changes that would be likely to impact measured energy use are those associated with compartment temperatures and the volume measurement method. 75 FR at 59505 (September 27, 2010). The term “NOPR crosswalk” refers to this set of energy 
                        <PRTPAGE P="57527"/>
                        standard adjustments addressing these two test procedure changes.
                    </P>
                    <P>Commenters addressed both (a) the NOPR crosswalk addressing test procedure changes in compartment temperatures and volume measurements and (b) the additional test procedure changes that could affect energy use measurements. The NOPR public meeting was held on October 14, 2010, before the publication of the test procedure final/interim final rule. Hence, stakeholder comments from the meeting addressed the proposed test procedure, rather than the final one that DOE ultimately adopted.</P>
                    <P>Whirlpool indicated that it could not comment on the proposed standard levels prior to publication of the test procedure and comprehensive testing to determine the impact of the test procedure changes. (Whirlpool, No. 74 at p. 7) GE echoed this comment, indicating that it is essential to have the final test procedure to allow evaluation of the impacts of the test procedure changes in order to be able to comment effectively on the proposed standard levels. (GE, No. 76 at p. 1) AHAM commented that the NOPR crosswalk is partly theoretical since it uses extrapolation and analysis to determine adjustments for some product classes. (AHAM, Public Meeting Transcript, No. 67 at p. 17) AHAM also commented that it “is critical” to do testing to determine the impact of the test procedure changes, and that the industry was not provided sufficient time between issuance of the final/interim final rule and the end of the comment period to conduct such testing. (AHAM, 73 at p. 2)</P>
                    <P>The IOUs supported DOE's approach for adjustment of the energy standards to address test procedure changes. In light of the limited time available to complete the rulemaking, the IOUs commented that DOE's approach was appropriate in spite of comments by parties at the public meeting calling for additional testing to perform a crosswalk. (IOUs, No. 77 at p. 2)</P>
                    <P>DOE notes that the NOPR crosswalk was based primarily on data provided by AHAM—which DOE described in detail in its TSD. See chapter 5, “Engineering Analysis”, section 5.4.2. Because AHAM did not initially provide data for all product classes, DOE conducted additional analysis and developed estimates to supplement the gaps present in AHAM's data. These additional steps helped DOE to establish appropriate crosswalks for the remaining product classes. DOE first presented this process in its preliminary TSD, which DOE posted on its Web site in November 2009. Stakeholders have had more than twelve months to comment on the crosswalks for these remaining product classes, but have not done so.</P>
                    <P>Numerous commenters identified other test procedure changes that they believed would affect the measured energy use of refrigeration products and offered their views on how to address them in a final crosswalk. AHAM first indicated that the NOPR crosswalk does not represent all of the measurement impacts of the test procedure modifications. (AHAM, Public Meeting Transcript, No. 67 at p. 16; AHAM, No. 73 at p. 2) It asserted that there are many test procedure changes and that some of these changes, other than those changes affecting compartment temperature and volume calculation, can impact measured energy use. (AHAM asserted that the impact of these changes cannot be determined as a sum of the impacts of the individual changes, but did not provide data illustrating this assertion, nor did AHAM explain why an additive approach is not reasonable. (Id. at p. 35-36)) To this end, AHAM identified four specific proposed test procedure changes that it believed would impact measured energy use: (1) Test procedures addressing products with variable anti-sweat heater control, (2) use of the highest energy use position for special compartments, (3) modification of the long-time-defrost test procedure to capture precooling energy use, and (4) test procedures addressing products with multiple defrost cycle types. (Id. at 42-43) DOE notes that AHAM identified these same four additional test procedure changes in its comments on the test procedure rulemaking NOPR (AHAM, Test Procedure for Residential Refrigerators, Refrigerator-Freezers, and Freezers, Docket Number EERE-2009-BT-TP-0003, No. 16 at p. 3) In its written comments, AHAM indicated that the final test procedure that DOE developed for products with variable anti-sweat heater control does not alter measured energy use, since DOE adopted the procedure provided in waivers already granted to companies who manufacture products with such features. (AHAM, No. 73 at p. 3)</P>
                    <P>Whirlpool asserted that applying the highest energy usage setting for special compartments, including procedures designed to capture precooling energy and to address products that use multiple defrost cycles, will alter measured energy use. (Whirlpool, No. 74 at p. 7)</P>
                    <P>
                        The IOUs agreed that there were additional test procedure changes that could alter measured energy use that had not been considered in establishing the proposed standards, including test procedures for products with variable anti-sweat heater control, new procedures to capture precooling energy use, and new procedures for special compartments. The IOUs recommended that the energy standards should be adjusted to account for these test procedure changes. They noted that if the measured impacts of these test procedure changes have not been determined through testing, DOE should estimate their impact and direction of the impact (positive or negative). They added that if these impacts are small or applicable to only a small portion of the market, DOE should not adjust the baseline energy use equations 
                        <SU>15</SU>
                        <FTREF/>
                         to avoid the risk of backsliding on the standard levels. (IOUs, No. 77 at p. 2) The IOUs indicated that they did not have any additional data regarding the impacts of the test procedure changes. (Id.)
                    </P>
                    <FTNT>
                        <P>
                            <SU>15</SU>
                             The baseline energy use equations represent energy use for baseline products (i.e. products which are minimally compliant using the current test procedure) when tested using the new test procedure.
                        </P>
                    </FTNT>
                    <P>GE generally noted the importance of conducting tests to evaluate the impacts of the test procedure changes. It also expressed concerns that a number of the test procedure changes may have significant measurement impacts. GE did not, however, specifically identify these test procedure changes. (GE, Public Meeting Transcript, No. 67 at pp. 36-37) Whirlpool commented that the test procedures addressing products with variable anti-sweat heater controls represent a significant test burden (in some cases, an additional week of test time) and could impact the measured energy use of a given product. (Whirlpool, Public Meeting Transcript, No. 67 at pp. 44-45) Whirlpool further identified electric heaters and/or fans in special compartments that may be used to prevent freezing in such compartments as a factor in the potential energy use measurement impact of the test procedure amendments for special compartments. (Id.)</P>
                    <P>
                        When asked by DOE whether there are any manufacturer data that quantify the impacts of the cited additional test procedure amendments, AHAM indicated that they did not have such data. Instead, AHAM cited DOE's own statement from the refrigeration product test procedure rulemaking public meeting presentation discussing the NOPR that the amendments to capture defrost precooling energy use would increase energy use 2 percent for one tested product (AHAM, Public Meeting Transcript, No. 67 at pp. 44, 45-46, 43) 
                        <PRTPAGE P="57528"/>
                        AHAM further stressed the importance of evaluating the entire modified test procedure rather than investigating the potential impacts from individual changes, because the measurement impacts of the changes may not be additive. (Id. at pp. 26-27) However, AHAM did not provide data illustrating or supporting this assertion, nor did AHAM explain why an additive approach is not reasonable.
                    </P>
                    <P>Stakeholders also commented on the approach used to apply the projected energy measurement impacts to the energy conservation standards. When asked by DOE during the public meeting if the crosswalk should apply to the population average of the minimally compliant products, AHAM agreed, indicating that the Joint Agreement used the words “average” and “minimally compliant”, but that the crosswalk should also be based on evaluating low-volume and high-volume products to properly reflect capacity impacts. (AHAM, Public Meeting Transcript, No. 67 at pp. 33-34) ASAP also agreed that the crosswalk should apply to the “average”. (ASAP, Public Meeting Transcript, No. 67 at p. 34) DOE agrees that a shipment-weighted average approach for applying the energy use measurement impacts of test procedure changes is appropriate and is consistent with the requirements of EPCA. (42 U.S.C. 6293(e)(2)) Consistent with this approach, and the requirements of 42 U.S.C. 6293(e)(2), DOE applied a shipment-weighted approach, which provides the best indication across all shipped products of the magnitude of the impact.</P>
                    <P>AHAM also commented that anti-backsliding considerations would not apply because the changes in test procedures and energy standards will take effect simultaneously. (AHAM, Public Meeting Transcript, No. 67 at p. 41) DOE notes that amending a test procedure without an accompanying energy standard rulemaking that increases stringency may result in an increase in the maximum allowable energy use for some products. Such a change would not be allowed if the anti-backsliding provisions of EPCA (42 U.S.C. 6295(o)(1)) applied to any particular product rather than to the average for the product class population. However, such considerations do not apply in this case, as indicated by AHAM, because the test procedure and energy standard changes will occur simultaneously.</P>
                    <P>
                        DOE notes that it has received no new information from stakeholders quantifying the changes in measured energy use associated with any of the test procedure changes. Hence, DOE adjusted its standards using the data discussed above that AHAM provided during the preliminary analysis phase, as well as supplemental data and analysis (
                        <E T="03">e.g.</E>
                         testing DOE conducted during the rulemaking) that DOE developed on its own.
                    </P>
                    <HD SOURCE="HD3">a. Products With Variable Anti-Sweat Heater Control</HD>
                    <P>DOE amended its test procedures to require the use of the procedure currently being used by manufacturers under waivers that DOE granted. This procedure, along with a change to assure the consistency of compartment temperatures during testing, will be required to establish compliance with the 2014 standards for variable anti-sweat heater control-equipped products. The change involves the description of the conditions that apply to the anti-sweat heater wattages used in the calculation of the anti-sweat heater adjustment factor: the wattages will apply to a 0 °F freezer compartment temperature and a 39 °F fresh food compartment temperature, rather than the 5 °F and 45 °F, respectively, used in the waivers. 75 FR at 78828-78830 (December 16, 2010). DOE considers that the adjustments made to the energy conservation standards to account for compartment temperature changes also apply to the adjustment factor for anti-sweat heaters operating with variable control. Hence, no additional energy standard adjustment is needed to address this test procedure amendment.</P>
                    <HD SOURCE="HD3">b. Products With Multiple Defrost Cycle Types</HD>
                    <P>
                        DOE amended the test procedure to address products with multiple defrost cycle types. 
                        <E T="03">Id.</E>
                         at 78836-78838. As explained in the test procedure final rule, the previous procedure could not ensure that the entire defrost energy used for such products would be sufficiently captured. DOE received one test procedure waiver petition for such products, from Samsung, requesting waiver of the current test procedure of Appendix A1 for products manufactured before 2014. 76 FR 16760 (March 25, 2011). The waiver petition requests use of the same test procedure to address multiple defrost cycle types that was set forth in the test procedure interim final rule for Appendix A. Samsung did not provide information regarding the change in measured energy use associated with the modified test procedure. Furthermore, they indicated that the current energy efficiency standards are adequate, and they did not request adjustment of the standards for the products that are the subject of the waiver petition. 
                        <E T="03">Id.</E>
                         at p. 16763. DOE is unaware of any other manufacturer who employs this type of design. Accordingly, DOE is unaware of any impact on the measured energy use of these multiple defrost cycle products associated with this test procedure amendment.
                    </P>
                    <HD SOURCE="HD3">c. Amendments To Capture Precooling Energy Use</HD>
                    <P>
                        DOE amended the test procedure for products with long-time or variable defrost to capture precooling and partial recovery energy use. 
                        <E T="03">Id.</E>
                         at 78832-78836. Testing performed during the engineering phase of this rulemaking indicates that capturing precooling energy use would yield an impact of roughly two percent of the total measured energy use. Additionally, the impact of capturing the energy from full temperature recovery (
                        <E T="03">i.e.</E>
                         extending the test period until the compartment temperatures have recovered to their steady-state levels) for products exhibiting partial recovery may comprise another 0.5 percent of total measured energy use for those products that do not achieve a full temperature recovery within the test period prescribed by the current test procedure. Of the nine refrigerator-freezers tested during the engineering analysis phase, two of these units incorporated precooling. These units fell into current product classes 5 (refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service) and 7 (refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service). DOE is unaware of any significant percentage of products that currently do not fully recover temperature within the time period allotted by the current test procedure. DOE has adjusted the energy standard levels for these and related product classes using the observed measurement impact for capturing precooling energy use and applying that measured impact consistently with the frequency with which this feature has been observed in this group of tested products. The adjustment details are described in detail in section 0 below.
                    </P>
                    <HD SOURCE="HD3">d. Test Procedures for Special Compartments</HD>
                    <P>
                        DOE amended the test procedures to require that products with special compartments using the addition of heat (“heat addition”) as a form of temperature control be tested twice. The energy use measurement of such products will be an average of measurements made with the special compartment temperature controls set in the warmest position for the first test 
                        <PRTPAGE P="57529"/>
                        and in the coldest position for the second test. 
                        <E T="03">Id.</E>
                         at 78825-78826. Of the eleven refrigerator-freezers purchased for reverse engineering analysis performed during the engineering analysis phase, two had special compartments with separate temperature control. Neither of these products used heat addition for controlling special compartment temperatures. In examining features of refrigeration products on manufacturer Web sites, DOE found that the prevalence of special compartments in standard-size refrigerator-freezers comprised 20 percent of the models examined. 
                        <E T="03">Id.</E>
                         at 78823. Because of the limited nature of these data, DOE conducted further study of products that employ heat addition.
                    </P>
                    <P>
                        DOE identified thirteen basic models that have heated special compartments. In this assessment, DOE concluded that special compartments use heaters for temperature control if the high end of their controllable temperature range is significantly higher than typical fresh food compartment temperatures. DOE considered typical fresh food compartment temperature to be the default settings set at the factory. These default settings are in the 37 °F to 39 °F range. (see, 
                        <E T="03">e.g.,</E>
                         GE Bottom Freezer Refrigerators, No. 78 at p. 4; LG Owner's Manual LFX28978**, No. 79 at p. 23) The controllable temperature range of heated special compartments typically reaches temperatures of up to 41 °F or 42 °F. By comparison, special compartments that rely on cooling air to manage temperatures do not exceed the typical fresh food compartment temperature range. (See, 
                        <E T="03">e.g.,</E>
                         GE Bottom Freezer Refrigerators, No. 78 at p. 18; Use and Care Guide Electrolux 242046401, No. 80 at p. 18) The thirteen products identified include products from current products classes 5 (refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service), 5A (refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service), and 7 (refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service). (Heated Special Compartments Web Pages, No. 81)
                    </P>
                    <P>DOE does not have information on shipment weighting for these products. As a proxy for shipment weighting, DOE instead determined the percentage of available products represented by the identified products with heated special compartments for each of the represented product classes. To do this, DOE considered the number of available products listed in the California Energy Commission (CEC) database, adjusted to account for out-of-date product listings. The details of this approach are described in the TSD in chapter 5, section 5.4.2.6. The calculated percentages of products having heated special compartments are 10.6 percent for current product class 5A, 1.5 percent for current product class 5, and 0.7 percent for current product class 7. DOE used these percentages to adjust the standards for these product classes. The determination of the adjustment is discussed in greater depth in section 0 below.</P>
                    <P>DOE initially conducted analysis, described below in section IV.C.2, to estimate what the projected impact from the relevant test procedures would be on the measured energy use for a product with a heated special compartment. Initial estimates indicated that the change would increase measured energy use by 5.9 percent for this type of product. DOE also conducted testing for two of the thirteen products that were identified as having heated special compartments. These tests compared the measured energy use not including icemaking energy use when tested using the interim final test procedures set forth in the new Appendix A with a modified test procedure in which the heated special compartment is tested only in its coldest setting. For both of these tests, the Appendix A requirement to average measurements representing the coldest and warmest setting of the compartment resulted in higher energy use. The impacts were 6.5 percent for one product and 1.7 percent for the other—the average impact determined for these tests was 4.1 percent, which is somewhat lower than the estimated 5.9 percent impact.</P>
                    <P>After reviewing these results, DOE determined that, because the test data represent only two products, the uncertainty associated with the average of the measured impacts is fairly high. As a result, DOE concluded that the more conservative approach of basing its adjustment of the energy standard on the calculation rather than the limited testing data is appropriate to ensure that the final standard is not overly aggressive. Taking such an approach is consistent in this instance with EPCA's prohibition to make subsequent adjustments that would increase the permitted energy usage (or reduce the energy efficiency) of a regulated product. See 42 U.S.C. 6295(o)(1). Accordingly, as described in greater detail in section IV.C.2, the results of the more conserevative calculation were used to adjust the energy standard.</P>
                    <HD SOURCE="HD3">3. Standby and Off Mode Energy Use</HD>
                    <P>DOE notes that EPCA, as amended by EISA 2007, requires DOE to amend its test procedures for all covered products, including those for refrigeration products, to include a measurement for standby mode and off mode energy consumption, except where current test procedures fully address such energy consumption. (42 U.S.C. 6295(gg)(2)) As indicated above, DOE's test procedures for refrigeration products, both the previous and recently amended versions, already fully address standby and off mode energy use. Whirlpool agreed with this assessment. (Whirlpool, No. 74 at p. 7) No commenters challenged this assessment. Because the test procedures address standby and off mode energy use, the energy conservation standards, which are based on the test procedures, also address this energy use.</P>
                    <HD SOURCE="HD2">B. Technological Feasibility</HD>
                    <HD SOURCE="HD3">1. General</HD>
                    <P>In each standards rulemaking, DOE conducts a screening analysis based on information gathered on all current technology options and prototype designs that have the potential to improve product or equipment efficiency. To conduct the analysis, DOE typically develops a list of design options for consideration in consultation with manufacturers, design engineers, and other interested parties. DOE then determines which of these options are technologically feasible. DOE considers a design option to be technologically feasible if it is currently in use by the relevant industry or if a working prototype exists. See 10 CFR part 430, subpart C, appendix A, section 4(a)(4)(i) (providing that “[t]echnologies incorporated in commercially available products or in working prototypes will be considered technologically feasible.”)</P>
                    <P>
                        Once DOE has determined that particular design options are technologically feasible, it evaluates each one using the following additional screening criteria: (1) Practicability to manufacture, install, or service; (2) adverse impacts on product utility or availability; and (3) adverse impacts on health or safety. (10 CFR part 430, subpart C, appendix A, section 4(a)(4)). Section IV.B of this notice discusses the results of the screening analysis for refrigeration products, namely, the designs DOE considered, those it screened out, and those that are the basis for the trial standard levels (TSLs) in this rulemaking. For further details on the screening analysis for this rulemaking, see chapter 4, Screening Analysis, of the NOPR TSD.
                        <PRTPAGE P="57530"/>
                    </P>
                    <HD SOURCE="HD3">2. Maximum Technologically Feasible Levels</HD>
                    <P>When DOE proposes to adopt (or not adopt) an amended standard for a type or class of covered product, it must “determine the maximum improvement in energy efficiency or maximum reduction in energy use that is technologically feasible” for such product. (42 U.S.C. 6295(p)(1)) Accordingly, DOE determined the maximum technologically feasible (“max-tech”) reductions in energy use for refrigeration products in the engineering analysis.</P>
                    <P>As described in the preliminary TSD, DOE conducted a full analysis of a set of product classes that comprise a large percentage of product shipments in the market today. DOE's approach for extending amended standard levels established for these product classes to the non-analyzed product classes is described in chapter 2, Analytical Framework, of the preliminary TSD, in section 2.15. Similarly, this section of today's rule reports the max-tech efficiency levels for the fully analyzed product classes, which include Classes 3 (refrigerator-freezer—automatic defrost with top-mounted freezer without through-the-door ice service), 5 (refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service), 7 (refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service), 9 (upright freezers with automatic defrost), 10 (chest freezers), 11 (compact refrigerators and refrigerator-freezers with manual defrost), 18 (compact chest freezers), 3A-BI (built-in all-refrigerators—automatic defrost), 5-BI (built-in Refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service), 7-BI (built-in Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service, and 9-BI (built-in upright freezers with automatic defrost). DOE considers the max-tech levels for these product classes to be representative of the max-tech levels of similar product classes. For example, product class 7 can be considered to represent product class 4 (refrigerator-freezers—automatic defrost with side-mounted freezer without through-the-door ice service) because they are both side-mount refrigerator-freezers, the only difference being the through-the-door ice feature of product class 7.</P>
                    <P>
                        In determining the max-tech efficiency levels of the directly analyzed product classes, DOE used the amended test procedures that would apply once manufacturers are required to meet the new standard. The efficiency levels are defined as reductions in that portion of the energy use not associated with icemaking. As described in section III.A, above, the energy use associated with icemaking under the amended test procedure is a fixed quantity not correlated with an efficiency level. Separating this fixed quantity of energy use from the established efficiency level allows a more direct comparison of products, irrespective of whether a given product is equipped with an automatic icemaker. This approach also allows DOE to compare the efficiency levels based on the amended test procedure (
                        <E T="03">i.e.,</E>
                         projections of possible energy use reductions) against the energy use based on the existing test procedure and current standard.
                        <SU>16</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>16</SU>
                             In other words, a product with energy usage that is a certain percentage below the current energy standard should remain the same percentage below the baseline energy use under the proposed test procedure after subtracting icemaking energy use. Hence, the max-tech levels expressed as a percentage of energy use reduction should be the same for both sets of test procedures.
                        </P>
                    </FTNT>
                    <P>
                        DOE used the full set of design options considered applicable to these directly analyzed product classes to determine their max-tech efficiency levels. (See chapter 5 of the NOPR TSD, section 5.4.4.) Table III.1 lists the max-tech levels that DOE determined for this rulemaking. The table also presents the max-tech levels that are commercially available. The max-tech levels differ from those presented in the preliminary TSD and are generally lower (
                        <E T="03">i.e.,</E>
                         the percent energy use reductions are lower for the NOPR analysis, thus, the max-tech energy use is higher). The reduction in the max-tech efficiency levels is due to the revisions DOE implemented in the NOPR engineering analysis to address new information obtained during this phase of the rulemaking (see the discussion of changes made to the engineering analysis in the NOPR, Table IV.10. 75 FR 59470, 59501-59502 (September 27, 2010)). DOE obtained the new information through NOPR phase interviews with manufacturers.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="xs40,r100,12,12">
                        <TTITLE>Table III.1—Max-Tech Efficiency Levels for the Refrigeration Products Rulemaking</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class</CHED>
                            <CHED H="1">Description</CHED>
                            <CHED H="1">
                                Efficiency level (percent
                                <LI>energy use reduction)</LI>
                            </CHED>
                            <CHED H="2">DOE analysis (percent)</CHED>
                            <CHED H="2">
                                Max tech
                                <LI>commercially</LI>
                                <LI>available</LI>
                                <LI>(percent)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW RUL="s" EXPSTB="03">
                            <ENT I="21">
                                <E T="02">Standard-Size Refrigerator-Freezers</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">3</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with top-mounted freezer without through-the-door ice service</ENT>
                            <ENT>36</ENT>
                            <ENT>30</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service</ENT>
                            <ENT>36</ENT>
                            <ENT>33</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">7</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                            <ENT>33</ENT>
                            <ENT>32</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="03">
                            <ENT I="21">
                                <E T="02">Standard-Size Freezers</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">9</ENT>
                            <ENT>Upright freezers with automatic defrost</ENT>
                            <ENT>44</ENT>
                            <ENT>27</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">10</ENT>
                            <ENT>Chest freezers and all other freezers except compact freezers</ENT>
                            <ENT>41</ENT>
                            <ENT>16</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="03">
                            <ENT I="21">
                                <E T="02">Compact Products</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">11</ENT>
                            <ENT>Compact refrigerators and refrigerator-freezers with manual defrost</ENT>
                            <ENT>59</ENT>
                            <ENT>27</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">18</ENT>
                            <ENT>Compact chest freezers</ENT>
                            <ENT>42</ENT>
                            <ENT>23</ENT>
                        </ROW>
                        <ROW RUL="s" EXPSTB="03">
                            <PRTPAGE P="57531"/>
                            <ENT I="21">
                                <E T="02">Built-In Products</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">3A-BI</ENT>
                            <ENT>Built-In All-refrigerators—automatic defrost</ENT>
                            <ENT>28</ENT>
                            <ENT>31</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5-BI</ENT>
                            <ENT>Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service</ENT>
                            <ENT>27</ENT>
                            <ENT>27</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7-BI</ENT>
                            <ENT>Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                            <ENT>22</ENT>
                            <ENT>21</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9-BI</ENT>
                            <ENT>Built-In Upright freezers with automatic defrost</ENT>
                            <ENT>27</ENT>
                            <ENT>27</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>The max-tech efficiency levels identified for commercially available products are, in most cases, different from the max-tech levels shown in Table III.1. The levels in Table III.1 are significantly higher than the commercially available max-tech levels for product classes 9 (upright freezers with automatic defrost), 10 (chest freezers), 11 (compact refrigerators and refrigerator-freezers with manual defrost), and 18 (compact chest freezers). DOE determined that higher max-tech levels for these products were possible because available products generally do not use all of the energy efficient design options considered in the DOE max-tech analyses. Prototypes with the DOE max-tech levels have not been identified, but the design options are all used in commercially available products.</P>
                    <P>DOE determined the max-tech levels using a program initially developed by the Environmental Protection Agency (EPA) called the Efficient Refrigerator Analysis program (known simply as the ERA) to conduct energy modeling. DOE conducted this energy modeling for specific products examined during the engineering analysis. DOE created energy models for the existing products and adjusted these models to represent modified designs using the screened-in design options. The max-tech levels represent the most efficient design option combinations applicable for the analyzed products. This process is described in Chapter 5 of the NOPR TSD. See NOPR TSD, sections 5.4.4 and 5.7. DOE considered different sets of design options for each product class, as indicated in Table III.2.</P>
                    <HD SOURCE="HD1">Table III.2 Design Options Considered for Max Tech</HD>
                    <GPH SPAN="3" DEEP="274">
                        <GID>ER15SE11.108</GID>
                    </GPH>
                    <P>
                        DOE requested comments on its max-tech efficiency levels and on the evaluated groups of design options DOE's analyses indicated would be necessary to employ to achieve these levels. 75 FR at 59484 (September 27, 2010). Sub Zero commented that DOE's analysis leading to the max-tech feasible levels is reasonable. (Sub Zero, No. 69 
                        <PRTPAGE P="57532"/>
                        at p. 1) Sub Zero also commented that many of the design options still available to improve the efficiency of freestanding products have already been used in built-in products that are available on the market.
                    </P>
                    <P>Whirlpool commented that some of the design option combinations may not be practical, that the resulting efficiency gains may not be additive, and that the combinations may not be cost-effective. Whirlpool also commented that it does not believe that DOE has met the obligation to demonstrate the technical and economic feasibility of these combinations. (Whirlpool, No. 74 at p. 1). Whirlpool did not identify the specific combinations that it believed to be impractical. Accordingly, DOE has not adjusted its max-tech analysis. DOE adds that max-tech efficiency levels are not required to be cost-effective levels, but that DOE is required by EPCA to determine the maximum improvement that is technologically feasible, and to explain why the standard is not set at this level, if it is not. (42 U.S.C. 6295(p)(1))</P>
                    <HD SOURCE="HD2">C. Energy Savings</HD>
                    <HD SOURCE="HD3">1. Determination of Savings</HD>
                    <P>
                        DOE used its National Impact Analysis (NIA) spreadsheet model to estimate the energy savings from amended standards for the refrigeration products covered by this rulemaking.
                        <SU>17</SU>
                        <FTREF/>
                         For each TSL, DOE forecasted energy savings beginning in 2014, the year that manufacturers would be required to comply with amended standards, and ending in 2043. DOE quantified the energy savings attributable to each TSL as the difference in energy consumption between the standards case and the base case. The base case represents the forecast of energy consumption in the absence of amended mandatory efficiency standards and considers market demand for more-efficient products.
                    </P>
                    <FTNT>
                        <P>
                            <SU>17</SU>
                             The NIA spreadsheet model is described in section IV.G of this rule.
                        </P>
                    </FTNT>
                    <P>
                        The NIA spreadsheet model calculates the electricity savings in “site energy” expressed in kilowatt-hours (kWh). Site energy is the energy directly consumed by refrigeration products at the locations where they are used. DOE reports national energy savings on an annual basis in terms of the aggregated source (primary) energy savings, which is the savings in the energy that is used to generate and transmit the site energy. (See TSD chapter 10.) To convert site energy to source energy, DOE derived annual conversion factors from the model used to prepare the Energy Information Administration's (EIA) 
                        <E T="03">Annual Energy Outlook 2010 (AEO2010).</E>
                    </P>
                    <HD SOURCE="HD3">2. Significance of Savings</HD>
                    <P>
                        As noted above, DOE must adopt a standard for a covered product that results in “significant” energy savings. 42 U.S.C. 6295(o)(3)(B). While the term “significant” is not defined in the Act, the U.S. Court of Appeals, in 
                        <E T="03">Natural Resources Defense Council</E>
                         v.
                        <E T="03"> Herrington,</E>
                         768 F.2d 1355, 1373 (D.C. Cir. 1985), indicated that Congress intended “significant” energy savings in this context to be savings that were not “genuinely trivial.” The energy savings for all of the TSLs considered in this rulemaking are nontrivial, and, therefore, DOE considers them “significant” within the meaning of section 325 of EPCA.
                    </P>
                    <HD SOURCE="HD2">D. Economic Justification</HD>
                    <HD SOURCE="HD3">1. Specific Criteria</HD>
                    <P>As noted in section II.A, EPCA provides seven factors for DOE to consider when evaluating whether a potential energy conservation standard is economically justified. (42 U.S.C. 6295(o)(2)(B)(i)) The following sections discuss how DOE has addressed each of those seven factors in this rulemaking.</P>
                    <HD SOURCE="HD3">a. Economic Impact on Manufacturers and Consumers</HD>
                    <P>
                        As required by EPCA, DOE considered the economic impact of potential standards on consumers and manufacturers. (42 U.S.C. 6295(o)(2)(B)(i)(I)) For consumers, DOE measured the economic impact as the change in installed cost and life-cycle operating costs (
                        <E T="03">i.e.,</E>
                         the change in LCC). (
                        <E T="03">See</E>
                         section 0, section 0 and chapter 8 of the final rule TSD.) DOE investigated the impacts on manufacturers through the manufacturer impact analysis (MIA). (
                        <E T="03">See</E>
                         section 0 and section 0 of today's final rule, and chapter 12 of the final rule TSD accompanying this rule.) The economic impact on consumers and manufacturers is discussed in detail in the NOPR. See 75 FR at 59484-59485, 59512-59516, 59519-59526, 59532-59537, and 59537-59549 (September 27, 2010).
                    </P>
                    <P>For individual consumers, measures of economic impact include the changes in life-cycle cost (LCC) and payback period (PBP) associated with new or amended standards. The LCC, which is separately specified in EPCA as one of the seven factors to be considered in determining the economic justification for a new or amended standard, 42 U.S.C. 6295(o)(2)(B)(i)(II), is discussed in the following section. For consumers in the aggregate, DOE also calculates the national net present value of the economic impacts on consumers over the forecast period used in a particular rulemaking.</P>
                    <HD SOURCE="HD3">b. Life-Cycle Costs</HD>
                    <P>The LCC is the sum of the purchase price of a product (including its installation) and the operating expense (including energy and maintenance and repair expenditures) discounted over the lifetime of the product. The LCC savings for the considered efficiency levels are calculated relative to a base case that reflects likely trends in the absence of amended standards. The LCC analysis requires a variety of inputs, such as product prices, product energy consumption, energy prices, maintenance and repair costs, product lifetime, and consumer discount rates. DOE assumed in its analysis that consumers will purchase the products affected by this rule in 2014.</P>
                    <P>To account for uncertainty and variability in specific inputs, such as product lifetime and discount rate, DOE uses a distribution of values with probabilities attached to each value. A distinct advantage of this approach is that DOE can identify the percentage of consumers estimated to receive LCC savings or experience an LCC increase, in addition to the average LCC savings associated with a particular standard level. Aside from identifying ranges of impacts, DOE evaluates the LCC impacts of potential standards on identifiable subgroups of consumers that may be disproportionately affected by a national standard, such as low-income people or the elderly.</P>
                    <HD SOURCE="HD3">c. Energy Savings</HD>
                    <P>While the significant conservation of energy is a separate statutory requirement for imposing an energy conservation standard, in determining the economic justification of a standard, DOE must consider the total projected energy savings that are expected to result directly from the standard. 42 U.S.C. 6295(o)(2)(B)(i)(III). DOE uses the NIA spreadsheet results in its consideration of total projected energy savings.</P>
                    <HD SOURCE="HD3">d. Lessening of Utility or Performance of Products</HD>
                    <P>
                        In establishing product classes, and in evaluating design options and the impact of potential standard levels, DOE sought to develop standards for refrigeration products that would not lessen the utility or performance of these products. None of the TSLs presented in today's final rule would substantially reduce the utility or performance of the products under 
                        <PRTPAGE P="57533"/>
                        consideration in the rulemaking. However, the cost premium for features that increase energy use, such as multiple drawers, may increase, thus shifting their availability to higher-priced products. 42 U.S.C. 6295(o)(2)(B)(i)(IV).
                    </P>
                    <HD SOURCE="HD3">e. Impact of Any Lessening of Competition</HD>
                    <P>EPCA requires DOE to consider any lessening of competition that is likely to result from setting new or amended standards for a covered product. Consistent with its obligations under EPCA, DOE sought the views of the United States Department of Justice (DOJ). DOE asked DOJ to provide a written determination of the impact, if any, of any lessening of competition likely to result from the amended standards, together with an analysis of the nature and extent of such impact. 42 U.S.C. 6295(o)(2)(B)(i)(V) and (B)(ii).</P>
                    <P>To assist DOJ in making such a determination, DOE provided DOJ with copies of both the NOPR and NOPR TSD for review. DOJ did not provide DOE with comments on this rulemaking. Accordingly, DOE concludes that today's final rule would not be likely to lead to a lessening of competition.</P>
                    <HD SOURCE="HD3">f. Need for National Energy Conservation</HD>
                    <P>Certain benefits of the amended standards are likely to be reflected in improvements to the security and reliability of the Nation's energy system. Reductions in the demand for electricity may also result in reduced costs for maintaining the reliability of the Nation's electricity system. DOE conducts a utility impact analysis to estimate how standards may affect the Nation's needed power generation capacity.</P>
                    <P>Energy savings from the amended standards are also likely to result in environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases associated with energy production. DOE reported the environmental effects from the amended standards for refrigeration products, and from each TSL it considered, in the environmental assessment contained in chapter 15 in the NOPR TSD. DOE also reported estimates of the economic value of emissions reductions resulting from the considered TSLs.</P>
                    <HD SOURCE="HD3">g. Other Factors</HD>
                    <P>EPCA allows the Secretary of Energy, in determining whether a standard is economically justified, to consider any other factors that the Secretary deems to be relevant. (42 U.S.C. 6295(o)(2)(B)(i)(VII)) In developing this final rule, DOE also considered the comments of the stakeholders, including those raised in the Joint Comments, which DOE believes sets forth a statement by interested persons that are fairly representative of relevant points of view (including representatives of manufacturers of covered products, States, and efficiency advocates) and contains recommendations with respect to an energy conservation standard that are in accordance with 42 U.S.C. 6295(o).</P>
                    <HD SOURCE="HD3">2. Rebuttable Presumption</HD>
                    <P>As set forth in 42 U.S.C. 6295(o)(2)(B)(iii), EPCA creates a rebuttable presumption that an energy conservation standard is economically justified if the additional cost to the consumer of a product that meets the standard is less than three times the value of the first-year of energy savings resulting from the standard, as calculated under the applicable DOE test procedure. DOE's LCC and PBP analyses generate values used to calculate the payback period for consumers of potential amended energy conservation standards. These analyses include, but are not limited to, the 3-year payback period contemplated under the rebuttable presumption test. However, DOE routinely conducts an economic analysis that considers the full range of impacts to the consumer, manufacturer, Nation, and environment, as required under 42 U.S.C. 6295(o)(2)(B)(i). The results of this analysis serve as the basis for DOE to definitively evaluate the economic justification for a potential standard level (thereby supporting or rebutting the results of any preliminary determination of economic justification). The rebuttable presumption payback calculation is discussed in section IV.F.12 and chapter 8 of the final rule TSD.</P>
                    <HD SOURCE="HD1">IV. Methodology and Discussion</HD>
                    <P>
                        DOE used two spreadsheet tools to estimate the impact of today's amended standards. The first spreadsheet calculates LCCs and payback periods of new energy conservation standards. The second one provides shipments forecasts, and then calculates national energy savings and net present value impacts of new energy conservation standards. DOE also assessed manufacturer impacts, largely through use of the Government Regulatory Impact Model (GRIM). The two spreadsheets are available online at the rulemaking Web site: 
                        <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/residential/refrigerators_freezers.html.</E>
                    </P>
                    <P>
                        Additionally, DOE estimated the impacts on utilities and the environment stemming from energy efficiency standards for refrigeration products. DOE used a version of EIA's National Energy Modeling System (NEMS) for the utility and environmental analyses. The NEMS model simulates the energy sector of the U.S. economy. EIA uses NEMS to prepare its 
                        <E T="03">Annual Energy Outlook,</E>
                         a widely known energy forecast for the United States. The version of NEMS used for appliance standards analysis is called NEMS-BT 
                        <SU>18</SU>
                        <FTREF/>
                        , and is based on the 
                        <E T="03">AEO</E>
                         version with minor modifications.
                        <SU>19</SU>
                        <FTREF/>
                         The NEMS-BT offers a sophisticated picture of the effect of standards because it accounts for the interactions between the various energy supply and demand sectors and the economy as a whole.
                    </P>
                    <FTNT>
                        <P>
                            <SU>18</SU>
                             BT stands for DOE's Building Technologies Program.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>19</SU>
                             The EIA allows the use of the name “NEMS” to describe only an 
                            <E T="03">AEO</E>
                             version of the model without any modification to code or data. Because the present analysis entails some minor code modifications and runs the model under various policy scenarios that deviate from 
                            <E T="03">AEO</E>
                             assumptions, the name “NEMS-BT” refers to the model as used here. For more information on NEMS, refer to 
                            <E T="03">The National Energy Modeling System: An Overview,</E>
                             DOE/EIA-0581 (98) (Feb.1998), available at: 
                            <E T="03">http://tonto.eia.doe.gov/FTPROOT/forecasting/058198.pdf</E>
                            .
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">A. Market and Technology Assessment</HD>
                    <P>When initiating an energy conservation standards rulemaking, DOE develops information that provides an overall picture of the market for the products concerned, including the purpose of the products, the industry structure, and market characteristics. This activity includes both quantitative and qualitative assessments, based primarily on publicly available information. The subjects addressed in the market and technology assessment for this rulemaking include product classes and manufacturers; quantities, and types of products sold and offered for sale; retail market trends; regulatory and non-regulatory programs; and technologies or design options that could improve the energy efficiency of the product(s) under examination. See chapter 3, Market and Technology Assessment, of the TSD for further discussion of the market and technology assessment.</P>
                    <P>
                        Discussion presented in this section of today's notice primarily addresses the scope of coverage of refrigeration products, the product class structure, and product class definitions. These issues were discussed during the NOPR public meeting. In response to comments raised during that meeting 
                        <PRTPAGE P="57534"/>
                        and from written comments, DOE has modified the product class structure, as discussed in section 0, below.
                    </P>
                    <HD SOURCE="HD3">1. Exclusion of Wine Coolers from This Rulemaking</HD>
                    <P>
                        The NOPR explained that wine coolers are not covered products under the definition for electric refrigerator, and hence, are not covered by this rulemaking. 75 FR at 59486 (September 27, 2010). DOE explained that it would consider initiating a future rulemaking to establish coverage and energy standards for these products. 
                        <E T="03">Id.</E>
                         Whirlpool commented that it agrees that wine coolers do not meet the definition of electric refrigerator, but that DOE should reconsider its decision not to include these products in this rulemaking. (Whirlpool, No. 74 at p. 8) GE commented that DOE should regulate these products and should consider the proper mechanism for doing so. (GE, No. 76 at p. 2) In light of the timetable prescribed by EPCA, insufficient time and resources are available for DOE to conduct the necessary analyses for these products within the context of the current rulemaking. In response to the preliminary analysis, the California Investor Owned Utilities agreed with DOE's initial decision not to include wine coolers in this rulemaking, indicating that they operate at temperatures outside the range defined for refrigerators, and that they have been covered by California's energy standards since 2002. (IOUs, No. 39 at p. 12) The IOUs submitted no new comments on this topic in response to the NOPR. Sub Zero indicated in the preliminary analysis public meeting that the California energy standard for these products has become a de-facto national standard. (Preliminary Analysis Public Meeting Transcript, No. 30 at pp. 108-109). As previously indicated, DOE will revisit the coverage of these products in the future.
                    </P>
                    <HD SOURCE="HD3">2. Product Classes</HD>
                    <P>
                        In evaluating and establishing energy conservation standards, DOE generally divides covered products into classes by the type of energy used, or by capacity or other performance-related feature that justifies a different standard for those products. (See 42 U.S.C. 6295(q)). In deciding whether a feature justifies a different standard, DOE must consider factors such as the utility of the feature to users. (
                        <E T="03">Id.</E>
                        ) DOE normally establishes different energy conservation standards for different product classes based on these criteria. DOE's regulations currently set forth 18 product classes for refrigerators, refrigerator-freezers, and freezers.
                        <SU>20</SU>
                        <FTREF/>
                         These classes are based on the following characteristics: type of unit (refrigerator, refrigerator-freezer, or freezer), size of the cabinet (standard or compact), type of defrost system (manual, partial, or automatic), presence or absence of through-the-door (TTD) ice service, and placement of the fresh food and freezer compartments for refrigerator-freezers (top, side, bottom).
                    </P>
                    <FTNT>
                        <P>
                            <SU>20</SU>
                             Title 10—Energy, Chapter II—Department of Energy, Part 430—Energy Conservation Program for Consumer Products, Subpart A—General Provisions, Section 430.32—Energy and Water Conservation Standards and Effective Dates.
                        </P>
                    </FTNT>
                    <P>DOE has created 24 new product classes to account for the increasingly wider number of variants of products. Six new product classes were discussed and proposed in the preliminary analysis phase, and an additional 13 were proposed in the NOPR. 75 FR at 59486-59487 (September 27, 2010). Table IV.1 presents the product classes established in this rulemaking, including both current and new classes. DOE changed the designation of some of the current product classes to address the division of these product classes. The subsections below provide additional details and discussion of comments relating to the product classes that have been added.</P>
                    <GPOTABLE COLS="2" OPTS="L2,i1" CDEF="s50,r200">
                        <TTITLE>Table IV.1—Product Classes for Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1">Number</CHED>
                            <CHED H="1">Product class</CHED>
                        </BOXHD>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">Classes Currently Listed in the CFR</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">1</ENT>
                            <ENT>Refrigerators and refrigerator-freezers with manual defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>Refrigerator-freezers—partial automatic defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with top-mounted freezer without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">8</ENT>
                            <ENT>Upright freezers with manual defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9</ENT>
                            <ENT>Upright freezers with automatic defrost without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10</ENT>
                            <ENT>Chest freezers with manual defrost and all other freezers except compact freezers.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">11</ENT>
                            <ENT>Compact refrigerators and refrigerator-freezers with manual defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">12</ENT>
                            <ENT>Compact refrigerator-freezers—partial automatic defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13</ENT>
                            <ENT>Compact refrigerator-freezers—automatic defrost with top-mounted freezer.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">14</ENT>
                            <ENT>Compact refrigerator-freezers—automatic defrost with side-mounted freezer.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">15</ENT>
                            <ENT>Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">16</ENT>
                            <ENT>Compact upright freezers with manual defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">17</ENT>
                            <ENT>Compact upright freezers with automatic defrost.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">18</ENT>
                            <ENT>Compact chest freezers.</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">Product Classes Introduced in the Preliminary TSD</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">1A</ENT>
                            <ENT>All-refrigerators—manual defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3A</ENT>
                            <ENT>All-refrigerators—automatic defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5A</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with bottom-mounted freezer with through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10A</ENT>
                            <ENT>Chest freezers with automatic defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">11A</ENT>
                            <ENT>Compact all-refrigerators—manual defrost.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">13A</ENT>
                            <ENT>Compact all-refrigerators—automatic defrost.</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <PRTPAGE P="57535"/>
                            <ENT I="21">
                                <E T="02">Additional Product Classes Proposed in the NOPR</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">3-BI</ENT>
                            <ENT>Built-in refrigerator-freezer—automatic defrost with top-mounted freezer without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3I</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3I-BI</ENT>
                            <ENT>Built-in refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3A-BI</ENT>
                            <ENT>Built-in all-refrigerators—automatic defrost.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4I</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4-BI</ENT>
                            <ENT>Built-in refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4I-BI</ENT>
                            <ENT>Built-in refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5I</ENT>
                            <ENT>Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5-BI</ENT>
                            <ENT>Built-in refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5I-BI</ENT>
                            <ENT>Built-in refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5A-BI</ENT>
                            <ENT>Built-in refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7-BI</ENT>
                            <ENT>Built-in refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">9-BI</ENT>
                            <ENT>Built-in upright freezers with automatic defrost without an automatic icemaker.</ENT>
                        </ROW>
                        <ROW EXPSTB="01" RUL="s">
                            <ENT I="21">
                                <E T="02">Additional Product Classes</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">9I</ENT>
                            <ENT>Upright freezers with automatic defrost with an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9I-BI</ENT>
                            <ENT>Built-in upright freezers with automatic defrost with an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13I</ENT>
                            <ENT>Compact refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">14I</ENT>
                            <ENT>Compact refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">15I</ENT>
                            <ENT>Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker.</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">a. General Discussion Regarding Added Product Classes</HD>
                    <P>
                        DOE introduced six new product classes in the preliminary TSD. Two of these, product class 5A, “automatic defrost refrigerator-freezers with bottom-mounted freezer with through-the-door ice service,” and product class 10A, “chest freezers with automatic defrost,” were identified in the framework document as product classes 19 and 20. DOE modified the designation of these product classes in order to maintain consistency with the product class designations adopted by Canada and ease the overall burden on manufacturers in ascertaining which standards to apply to these products. 
                        <E T="03">Id.</E>
                         at 59487-59488. AHAM supported adding the new product classes 5A and 10A. (AHAM, No. 73 at p. 6)
                    </P>
                    <P>
                        Four additional product classes introduced in the preliminary TSD are all-refrigerators. As described in the NOPR, the new test procedure has led DOE to establish separate product classes for these products. 
                        <E T="03">Id.</E>
                         at 59488.
                    </P>
                    <P>
                        The NOPR also proposed 13 additional new product classes. These classes are based on the incorporation of icemaking energy use into the test procedure and address the different consumer utility and energy use characteristics of built-in products. 
                        <E T="03">Id.</E>
                         at 59489-59493.
                    </P>
                    <P>
                        EPCA provides that separate product classes be based on either (A) consumption of a different kind of energy from that consumed by other covered products within such type (or class); or (B) a capacity or other performance-related feature which other products within such type (or class) do not have, where such feature justifies a higher or lower standard from that which applies to other products within such type (or class). (42 U.S.C. 6295(q)). The second of these criteria applies to all of the new product classes in this rulemaking. DOE detailed the reasons for this approach in the NOPR. 
                        <E T="03">Id.</E>
                         at 59487-59493. DOE received no comments challenging this approach.
                    </P>
                    <P>DOE also requested comment on whether any additional product classes should be established as built-in or automatic icemaker variants of products to address the range of commercially available products. Sub Zero recommended including additional product classes 9I and 9I-BI, freestanding and built-in versions of upright freezers with automatic defrost equipped with an automatic icemaker. The company asserted that such products currently are being sold (Sub Zero, No. 69 at p. 3) DOE's research confirms the existence of these two product classes (Upright Freezers with Automatic Icemakers, No. 86).</P>
                    <P>AHAM and Whirlpool recommended including product classes 9I, 9I-BI, 13I, 14I, and 15I as variants of proposed products without through-the-door ice service that may have automatic icemakers. (AHAM, No. 73 at pp. 6-7; Whirlpool, No. 74 at pp. 1-2, 3) AHAM also recommended including product class 9A, described as “upright freezers with automatic defrost with an automatic icemaker with through-the-door ice service”. (AHAM, No. 73 at pp. 6-7) DOE has adopted product classes 9I, 9I-BI, 13I, 14I, and 15I. DOE's research identified at least one existing compact bottom-freezer product with an automatic icemaker (product class 15I, Compact Products with Automatic Icemakers, No. 85 at p. 3). DOE was not able to positively identify any compact side-mount products with automatic icemakers (product class 14I), nor any compact top-mount products (product class 13I), but did identify one existing product whose product class is not clearly indicated in the manufacturer's literature that is either a 13I or 14I product. (Compact Products with Automatic Icemakers, No. 85 at p. 1)</P>
                    <P>
                        The standard levels for these classes are equal to the standards of their counterparts without an icemaker plus the addition of 84 kWh to help account for the energy consumed by the automatic icemaker. However, the suggested product class 9A is not a 
                        <PRTPAGE P="57536"/>
                        variant of any of the proposed product classes. Instead, it constitutes a new class that DOE had not considered within the context of this rulemaking. Accordingly, DOE is declining to incorporate this particular class as part of the final rule.
                    </P>
                    <P>Lastly, Whirlpool asserted that the negotiated agreement intended to combine product classes 13 and 15, and Whirlpool likewise appeared to recommend combining product classes 13I and 15I, by grouping them together in its comments. (Whirlpool, No. 74 at p. 2) Whirlpool offered no support for this view and no other comments indicated that these product classes should be combined. Hence, DOE is maintaining separate classes for Classes 13, 15, 13I, and 15I.</P>
                    <HD SOURCE="HD3">b. Possible Combination of Product Class 2 With 1, and Class 12 With 11</HD>
                    <P>
                        DOE also indicated in the NOPR that it did not propose the combination of two pairs of product classes that had been discussed in the preliminary TSD—specifically, a potential combination of product classes 1 (refrigerators and refrigerator-freezers with manual defrost) and 2 (refrigerator-freezers—partial automatic defrost) and, separately, a potential combination of product classes 11 (compact refrigerators and refrigerator-freezers with manual defrost) and 12 (compact refrigerator-freezers—partial automatic defrost). DOE requested comment on its proposal not to combine these pairs of product classes. 
                        <E T="03">Id.</E>
                         at 59493. AHAM and NPCC agreed with this proposal. (AHAM, Public Meeting Transcript, No. 67 at p. 52; AHAM, No. 73 at p. 6; NPCC, Public Meeting Transcript, No. 67 at p. 52) Whirlpool presented a table suggesting that they were opposed to keeping product classes 1 and 2 separated. (Whirlpool, No. 74 at p. 2), but noted that it had nothing substantive to add on this matter because it does not manufacture these products. (Whirlpool, No. 74 at p. 3) In light of these comments, which generally favored DOE's proposed approach, DOE is not combining these product class pairs.
                    </P>
                    <HD SOURCE="HD3">c. All-Refrigerators and Basic Refrigerators</HD>
                    <P>All-refrigerators are refrigerators that do not have a compartment for the freezing and long-term storage of food below 32 °F, but which may have a compartment not larger than 0.5 cubic foot in size for freezing and storage of ice. (10 CFR part 430, subpart B, appendix A1, section 1.2) The definition for refrigerator appears in 10 CFR 430.2 and it includes both all-refrigerators and refrigerators that are not all-refrigerators. This latter category of refrigerator, which does include a compartment for the storage of food below 32 °F, is given the name “basic refrigerator” in both AHAM standards HRF-1-1979 and HRF-1-2008. Appendix A1 and Appendix A, respectively, both reference these industry-developed definitions.</P>
                    <P>AHAM supported establishing separate product classes for all-refrigerators, indicating that these new product classes were supported in the negotiated agreement described in the Joint Comments. (AHAM, No. 73 at p. 4) However, AHAM indicated that the product classes for refrigerators that are not all-refrigerators should be renamed using “basic refrigerator” to ensure that they exclude all-refrigerators. (Id.) Whirlpool supported this view. (Whirlpool, No. 74 at p. 2)</P>
                    <P>DOE agrees with AHAM that clarifying the product class names for certain classes will improve overall clarity. DOE notes that this change affects product classes 1 (refrigerators and refrigerator-freezers with manual defrost) and 11 (compact refrigerators and refrigerator-freezers with manual defrost). (These are the product class names as proposed—and currently used in the CFR.) DOE has also considered whether to rely on referencing the definition sections of HRF-1-1979 and HRF-1-2008, as described above, to provide the definition for basic refrigerator. The definitions for basic refrigerator are the same in these standards and they read as follows:</P>
                    <EXTRACT>
                        <P>
                            3.1.1 
                            <E T="03">Basic Refrigerator</E>
                             A refrigerator which includes a low temperature compartment for the freezing and storage of ice and intended for short-term storage of food at temperatures below 32 °F (0 °C) and normally above 8 °F (^13.3 °C). It is characterized by a refrigerated surface(s) that partially encloses the low temperature compartment and cools the fresh food compartment by natural convection. It frequently has a partition (called the chiller or drip tray) which when removed or adjusted exposes an additional area of the refrigerated surface to the fresh food compartment.
                        </P>
                        <FP>HRF-1-1979, HRF-1-2008, section 3.1.1.</FP>
                    </EXTRACT>
                    <P>DOE notes two concerns regarding this definition of basic refrigerator.</P>
                    <P>First, the definition does not define a lower size limit for the low temperature compartment, nor does it specify a temperature range for it. The clause “short-term storage of food at temperatures below 32 °F” does not distinguish the temperature range of such a compartment from the compartment of an all-refrigerator that is “for freezing and storage of ice”, since freezing and storage of ice also requires temperatures less than 32 °F. As a result, it is not clear whether a product with a low temperature compartment capable of reaching temperatures less than 32 °F and above 8 °F and a size no greater than 0.5 cubic foot is an all-refrigerator or a basic refrigerator under the AHAM definition.</P>
                    <P>Second, characterizing the basic refrigerator by describing the low-temperature compartment's sides and how they transfer cooling air to the fresh food compartment could exclude some types of refrigerators from AHAM's basic refrigerator definition. For instance, a product that uses a fan to provide forced convection transfer of cooling air to the fresh food compartment from the refrigerated surfaces enclosing the low-temperature compartment would not fit the definition. If the product class were renamed using “basic refrigerators”, such products that do not fit the basic refrigerator definition would not be included within the product class. A manufacturer could claim such a product is not covered, assuming it does not meet the requirements of the all-refrigerator definition either.</P>
                    <P>To resolve these issues, DOE has decided to clarify the product class names for product classes 1 and 11, indicating that these product classes do not include all-refrigerators. The new names for these product classes are “1. Refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost” and “11. Compact refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost.” DOE has taken this approach rather than using the term “basic refrigerator” and modifying its definition, thus allowing the existing definition for basic refrigerator to retain its current meaning.</P>
                    <P>AHAM provided in its written comments a table (Table A) showing the suggested changes to all of the product class names. A similar table appears in Whirlpool's comments. In addition to the suggested name changes for product classes 1 and 11, AHAM and Whirlpool included the following suggestions.</P>
                    <P>• Inclusion of basic refrigerators in product class 3.</P>
                    <P>• Correction of the proposed name for product class 11A.</P>
                    <P>• Insertion of an “s” to pluralize “all-refrigerators” in the product class 13 name.</P>
                    <FP>(AHAM, No. 73 at p. 5; Whirlpool, No. 74 at p. 2)</FP>
                    <P>
                        DOE notes that basic refrigerators have not previously been part of product class 3 (they instead have been 
                        <PRTPAGE P="57537"/>
                        part of product class 1), which makes the incorporation of this suggestion inappropriate. DOE notes that product class 3 denotes “Refrigerator-freezers-automatic defrost with top-mounted freezer without an automatic icemaker”. Basic refrigerators do not belong in this product class because they are not refrigerator-freezers. For this reason, DOE is declining to adopt this suggestion and will retain its proposed name for this class —“refrigerator-freezers—automatic defrost with top-mounted freezer without an automatic icemaker” as proposed. However, DOE agrees with the other two suggestions and has implemented them in this final rule.
                    </P>
                    <HD SOURCE="HD3">d. Built-In Refrigeration Products</HD>
                    <P>DOE requested comment on its proposal to establish separate product classes for built-in products. 75 FR at 59492 (September 27, 2010). AHAM, Sub Zero, and Whirlpool agreed with this proposal. (AHAM, No. 73 at p. 3; Sub Zero, No. 69 at p. 2; Whirlpool, No. 74 at p. 3) DOE received no comments opposing the creation of built-in product classes.</P>
                    <P>DOE proposed to define built-in products as any refrigerator, refrigerator-freezer or freezer with 7.75 cubic feet or greater total volume and 24 inches or less depth, excluding handles and custom front panels. Such a product would also be designed to be encased on the sides and rear by cabinetry, securely fastened to adjacent cabinetry, walls or floor, and have sides that are not fully finished and not designed to be visible after installation. See 75 FR at 59492 (September 27, 2010).</P>
                    <P>AHAM and NPCC noted that the proposed definition differed from the definition developed as part of the consensus agreement and asked why it was different. (AHAM, Public Meeting Transcript, No. 67 at pp. 54-55; AHAM, No. 73 at pp. 3-4; NPCC, Public Meeting Transcript, No. 67 at pp. 53, 55) Sub Zero commented that the definition developed during the negotiations should be adopted. (Sub Zero, No. 69 at p. 3) Whirlpool also supported this view. (Whirlpool, No. 74 at p. 3) AHAM recommended that DOE adopt the consensus agreement definition. AHAM also pointed out that the most important difference between the consensus agreement definition and DOE's proposed definition is the specification in the consensus definition of what is not part of the 24-inch depth limit—specifically, the doors, panels, and/or handles. AHAM indicated that these components may extend beyond 24 inches in many built-in products. In AHAM's view, DOE's proposed definition would not account for such situations. (AHAM, No. 73 at p. 4) The JAC also commented that the proposed definition was not the same as the definition of the negotiated agreement, and suggested that DOE adopt this definition with any minor changes that DOE deems necessary. (JAC, No. 75 at p. 2)</P>
                    <P>The negotiated agreement presented to DOE included the following definition for built-in products:</P>
                    <EXTRACT>
                        <P>Definition of ‘Built-in’ product class—refrigerators, freezers and refrigerators with freezer units that are 7.75 cubic feet or greater in total volume and 24 inches or less cabinet depth not including doors, handles and custom front panels; are designed to be totally encased by cabinetry or panels attached during installation; are designed to accept a custom front panel or equipped with an integral factory-finished face; are designed to be securely fastened to adjacent cabinetry, walls or floor; and have sides which are not fully finished and are not intended to be visible after installation.</P>
                    </EXTRACT>
                    <FP>(Joint Comments, No. 52 at p. 30)</FP>
                    <P>The substantive differences between this definition and the definition DOE proposed in its NOPR are as follows.</P>
                    <P>• The 24-inch depth allowed by the Joint Comments definition does not include the door depth. Technically, this removes the depth of the door edge and the gasket, a difference expected to be typically about 2 inches.</P>
                    <P>• The Joint Comments mention being “totally encased” by cabinetry or panels, while the proposed definition mentions being encased on the sides and rear by cabinetry. DOE did not propose to use the term “totally encased” as suggested in AHAM's preliminary analysis comment because the door is not always encased. 75 FR at 59492 (September 27, 2010). The Joint Comments added “panels” to apply to the cabinetry that may encase the product.</P>
                    <P>• The Joint Comments provide that the “panels [are] attached during installation” (emphasis added).</P>
                    <P>• The Joint Comments include the clause, “are designed to accept a custom front panel or equipped with an integral factory-finished face” whereas the proposed definition did not include this clause.</P>
                    <P>• The Joint Comments indicate that the sides “are not intended to be visible after installation”, while the proposed definition uses “not designed to be”.</P>
                    <P>DOE was aware when proposing the definition that, although establishing a depth limitation is entirely consistent with built-in designs and their use, the exact dimension that would be appropriate for this limit would be subject to further refinement from stakeholder discussion and comment. DOE considers the slightly less restrictive definition of the Joint Comments to embody the consideration and consensus of interested parties regarding the appropriate dimension, and will for this reason adopt the suggested change to the depth limitation.</P>
                    <P>Regarding the use of the term “totally encased,” DOE recognizes the limitation of its initially proposed approach and that the term does not necessarily mean fully encapsulated to the extent that absolutely no surface of the delivered product is visible after installation. Hence, DOE has reverted to the use of “totally encased” to indicate encased on all surfaces but the door, which clearly needs to be accessible to consumers for the product to function properly. DOE also agrees to the addition of the term “panels” that may also serve to encase the product, such as in the case where a product is installed at the end of a row of cabinets and one of the sides is covered with a panel. Further, DOE agrees with the inclusion of the words “attached during installation” in reference to panels, since this clause clearly distinguishes a built-in product from a freestanding product, for which there would be no attachment of panels during delivery and installation.</P>
                    <P>
                        DOE is not convinced, however, that the clause “are designed to accept a custom front panel or equipped with an integral factory-finished face” helps distinguish built-in products from freestanding products, since freestanding products generally come with an integral factory-finished face that is part of the door assembly. Based on the language used in the Joint Comments definition, as well as the existence of built-in products that are not designed to accept custom front panels, DOE suspects that the purpose of including this clause is to ensure that built-in products that do not accept custom front panels are not excluded from the definition. Many built-in products have doors with a stainless steel finish (see, 
                        <E T="03">e.g., http://products.geappliances.com/ApplProducts/Dispatcher?REQUEST=SPECPAGE&amp;SKU=ZISP480DXSS&amp;SITEID=MON2&amp;TABID=2</E>
                        ). Such products are not designed to accept custom front panels, but otherwise have the same distinguishing design features of built-in products that do accept custom front panels. DOE has decided to use language to clarify that such products are not excluded from the built-in category.
                    </P>
                    <P>
                        Additionally, DOE believes that the definition proposed by the Joint Commenters in their negotiated 
                        <PRTPAGE P="57538"/>
                        agreement needs to be altered to mitigate the risk of manufacturers applying the built-in definition to a free-standing product. To address this risk, DOE is requiring that a built-in product be one that is designed, intended, and marketed exclusively in a manner that would be consistent with how a built-in product would be installed for consumer use. Factors that DOE would likely consider relevant in this context could include whether the product is sold in an unfinished state and how the product is advertised. DOE believes that by specifying these additional conditions, the definition clearly requires that a manufacturer take affirmative steps establishing the built-in nature of its products. In effect, DOE has taken the “intended” language presented in the negotiated agreement's proposal and clarified this concept by specifying the conditions that must be met for a particular model to be considered a built-in product.
                    </P>
                    <P>Because of the problems that both DOE and the industry have faced with respect to the actions taken by certain manufacturers, DOE believes that it needs to take a stronger approach than that proposed in the negotiated agreement with respect to the delineation of these products. Adopting this stronger approach helps establish a clear distinction between built-in and free-standing products. Such a distinction is necessary in light of the considerably higher energy consumption of these built-in products, a fact that DOE views with some concern. Should DOE receive reports that manufacturers are misapplying this definition or otherwise abusing it, DOE will avail itself of all other options at its disposal to correct that situation and may re-examine this definition to assess whether additional modifications are required.</P>
                    <P>Accordingly, based on the above considerations, the final definition for built-in products will read as follows:</P>
                    <EXTRACT>
                        <P>Built-in refrigerator/refrigerator-freezer/freezer means any refrigerator, refrigerator-freezer or freezer with 7.75 cubic feet or greater total volume and 24 inches or less depth not including doors, handles, and custom front panels; with sides which are not finished and not designed to be visible after installation; and that is designed, intended, and marketed exclusively (1) to be installed totally encased by cabinetry or panels that are attached during installation, (2) to be securely fastened to adjacent cabinetry, walls or floor, and (3) to either be equipped with an integral factory-finished face or accept a custom front panel.</P>
                    </EXTRACT>
                    <HD SOURCE="HD3">e. Modification of the Definition for Compact Products</HD>
                    <P>DOE proposed to eliminate the 36-inch height restriction in the definition for compact products. DOE underscored two reasons for this change. First, DOE noted that an increased height level provides no energy efficiency benefit. Second, DOE explained that the reason for this 36-inch height restriction, which applies to undercounter products, is not appropriate for the majority of compact products that are not undercounter products. DOE requested comment on this proposal. 75 FR at 59493-59494 (September 27, 2010).</P>
                    <P>
                        ASAP and AHAM both indicated that the consensus agreement did not eliminate the 36-inch height limitation for compact products. (ASAP, Public Meeting Transcript, No. 67 at pp. 57-58; AHAM, Public Meeting Transcript, No. 67 at p. 58; AHAM, No. 73 at p. 6) (DOE notes that the consensus agreement is silent on this definition. (See, generally, Joint Comments, No. 52)) Whirlpool commented that the current 36-inch limitation should be retained to maintain consistency with the consumer's view of compact, and prevent “gaming”, 
                        <E T="03">i.e.,</E>
                         circumvention. (Whirlpool, No. 74 at p. 3) The JAC agreed, noting that this limit helps to distinguish compact products from standard-size products and prevents the weakening of standards in other countries where products taller than 36” but within the 7.75 cubic foot volume limit are more prevalent. (JAC, No. 75 at p. 2)
                    </P>
                    <P>
                        Whirlpool's comments do not indicate how removing the 36-inch limitation could lead to circumvention. The new test procedure includes a modified volume calculation method that was specifically developed to limit circumvention associated with false volume claims. 75 FR at 78839-78840 (December 16, 2010). Further, given the importance of volume as an attribute important to consumers,
                        <SU>21</SU>
                        <FTREF/>
                         DOE does not believe that consumers will consider tall, but low-volume, products to be standard-size. None of the commenters took issue with any of the analysis or any of the reasons that DOE presented in the NOPR to support the decision to propose eliminating the height restriction. DOE notes that the impact of U.S. standards in other countries, while an important concern, are factors beyond the scope of DOE's authority to control. Hence, DOE is eliminating the height restriction as proposed.
                    </P>
                    <FTNT>
                        <P>
                            <SU>21</SU>
                             See, for example the discussion of the importance of product volume in the 1995 TSD supporting the rulemaking to establish the 2001 energy conservation standard, in the discussion regarding increasing insulation thickness in Section 3, page 3-6.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">f. Icemaking</HD>
                    <P>DOE requested comments on its proposal to establish product classes for products with automatic icemakers, including its proposed approach to account for icemakers in the product class structure. 75 FR at 59489 (September 27, 2010). Sub Zero expressed support for AHAM's intent to work cooperatively with DOE to develop a robust repeatable laboratory-based test procedure to measure automatic icemaking energy use. Sub Zero also encouraged DOE to conduct field surveys to provide information on consumer use of ice by icemaker type (automatic or manual), product class, demographics, time of year, etc. This information, when combined with the laboratory test and accompanying results, would allow determination of the actual energy used by consumers to make ice. (Sub Zero, No. 69 at p. 2) Sub Zero did not object to DOE's proposed product class structure to address icemaking. (Id.) DOE received no comments objecting to DOE's proposed product class structure to integrate icemaking energy use.</P>
                    <P>AHAM supported the approach proposed by DOE to integrate automatic icemaking into the product class structure. However, AHAM suggested that some additional product classes, not specifically proposed by DOE, have been sold with automatic icemakers. (AHAM, No. 73 at pp. 5-6) These added product classes were previously discussed in section IV.A.2.0 above.</P>
                    <P>AHAM also commented that products equipped with the option to install an automatic icemaker (“kitable models”) should be considered to be products with icemakers, explaining that this approach is consistent with the test procedure and that lack of clarity on this point would create confusion among manufacturers. (AHAM, No. 73 at p. 6)</P>
                    <P>
                        DOE disagrees that AHAM's suggested approach with respect to the treatment of “kitable models” would be consistent with the test procedure. If such a product is installed in a residence without the icemaker installed, it will not use the additional energy use allocated for automatic icemaking, which is set at 84 kWh in the test procedure. The added energy associated with manual icemaking is likely to be significantly less, as indicated by initial test results conducted by the National Institute for Standards and Technology (NIST). These initial results suggest that the energy use associated with the mechanisms that are used to eject ice in 
                        <PRTPAGE P="57539"/>
                        automatic icemakers is significantly greater than the energy use associated with the thermal load of freezing the ice. (NIST, Test Procedure for Residential Refrigerators, Refrigerator-Freezers, and Freezers, Docket Number EERE-2009-BT-TP-0003, Public Meeting Transcript, No. 10 at pp. 157-158) DOE agrees that some understanding of the energy use associated with manual icemaking should be developed to allow more accurate reporting of the energy use of products that do not have automatic icemakers but have freezers that allow for the freezing and storage of ice. However, prior to the development of a manual icemaking factor to account for this energy usage, better consistency with the test procedure will be maintained by certifying kitable models as two separate models (
                        <E T="03">i.e.,</E>
                         with an automatic icemaker and without an automatic icemaker), since a consumer may purchase either version.
                    </P>
                    <HD SOURCE="HD2">B. Screening Analysis</HD>
                    <P>DOE uses the following four screening criteria to determine which design options are suitable for further consideration in a standards rulemaking:</P>
                    <P>
                        1. 
                        <E T="03">Technological feasibility.</E>
                         DOE will consider technologies incorporated in commercially available products or in working prototypes to be technologically feasible.
                    </P>
                    <P>
                        2. 
                        <E T="03">Practicability to manufacture, install, and service.</E>
                         If mass production and reliable installation and servicing of a technology in commercially available products could be achieved on the scale necessary to serve the relevant market at the time the standard comes into effect, DOE would consider that technology practicable to manufacture, install, and service.
                    </P>
                    <P>
                        3. 
                        <E T="03">Adverse impacts on product utility or product availability.</E>
                         If DOE determines that a technology would significantly impact in an adverse way the utility of the product for significant subgroups of consumers or would result in the unavailability of any covered product type with performance characteristics (including reliability), features, sizes, capacities, and volumes that are substantially the same as products generally available in the United States at the time, it will not consider this technology further.
                    </P>
                    <P>
                        4. 
                        <E T="03">Adverse impacts on health or safety.</E>
                         If DOE determines that a technology will have significant adverse impacts on health or safety, it will not consider this technology further.
                    </P>
                    <P>10 CFR part 430, subpart C, appendix A, (4)(a)(4) and (5)(b)</P>
                    <P>
                        In the framework document 
                        <SU>22</SU>
                        <FTREF/>
                         and accompanying public workshop held on September 29, 2008, DOE identified the energy efficient technologies under consideration for the rulemaking analyses. These technologies are listed below in Table IV.2. Please see chapter 3 of the TSD for detailed descriptions of these technology options.
                    </P>
                    <FTNT>
                        <P>
                            <SU>22</SU>
                             Available at: 
                            <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/residential/pdfs/refrigerator_freezer_framework.pdf.</E>
                        </P>
                    </FTNT>
                    <GPOTABLE COLS="2" OPTS="L2,p1,8/9,i1" CDEF="xl100,r100">
                        <TTITLE>Table IV.2—Technologies DOE Considered for Residential Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1"> </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">
                                <E T="02">Insulation</E>
                            </ENT>
                            <ENT>
                                <E T="02">Expansion Valve</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Improved resistivity of insulation</ENT>
                            <ENT>  Improved expansion valves</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Increased insulation thickness</ENT>
                            <ENT>
                                <E T="02">Cycling Losses</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">VIPs</ENT>
                            <ENT>  Fluid control or solenoid valve</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Gas-filled panels</ENT>
                            <ENT>
                                <E T="02">Defrost System</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                <E T="02">Gasket and Door Design</E>
                            </ENT>
                            <ENT>  Reduced energy for automatic defrost</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Improved gaskets</ENT>
                            <ENT>  Adaptive defrost</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Double door gaskets</ENT>
                            <ENT>  Condenser hot gas</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Improved door face frame</ENT>
                            <ENT>
                                <E T="02">Control System</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Reduced heat load for TTD feature</ENT>
                            <ENT>  Temperature control</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                <E T="02">Anti-Sweat Heater</E>
                            </ENT>
                            <ENT>  Air-distribution control</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Condenser hot gas</ENT>
                            <ENT>
                                <E T="02">Other Technologies</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Electric heater sizing</ENT>
                            <ENT>  Alternative refrigerants</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Electric heater controls</ENT>
                            <ENT>  Component location</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                <E T="02">Compressor</E>
                            </ENT>
                            <ENT>
                                <E T="02">Alternative Refrigeration Cycles</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Improved compressor efficiency</ENT>
                            <ENT>  Lorenz-Meutzner cycle</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Variable-speed compressors</ENT>
                            <ENT>  Dual-loop system</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Linear compressors</ENT>
                            <ENT>  Two-stage system</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                <E T="02">Evaporator</E>
                            </ENT>
                            <ENT>  Control valve system</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Increased surface area</ENT>
                            <ENT>  Ejector refrigerator</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Improved heat exchange</ENT>
                            <ENT>  Tandem system</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                <E T="02">Condenser</E>
                            </ENT>
                            <ENT>
                                <E T="02">Alternative Refrigeration Systems</E>
                            </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Increased surface area</ENT>
                            <ENT>  Stirling cycle</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Improved heat exchange</ENT>
                            <ENT>  Thermoelectric</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Force convection condenser</ENT>
                            <ENT>  Thermoacoustic</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                <E T="02">Fans and Fan Motor</E>
                            </ENT>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="03">Evaporator fan and fan motor improvements</ENT>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="03">Condenser fan and fan motor improvements</ENT>
                            <ENT/>
                        </ROW>
                    </GPOTABLE>
                    <P>DOE requested, but did not receive, any comments at either the framework workshop or during the framework comment period that identified additional technologies that DOE should consider. Likewise, DOE received no comments recommending additional technologies during the preliminary analysis or NOPR public meetings or comment periods.</P>
                    <P>
                        As described in chapter 4 of the TSD, Screening Analysis, DOE screened out several of the technologies listed in Table IV.2 from consideration in this rulemaking based on one or more of the screening criteria described above. A summary of the screening analysis identifying technologies that were screened out and the EPCA criteria used for the screening is presented in Table IV.3. The checkmarks in the table indicate which screening criteria were used to screen out the listed technologies. For greater detail 
                        <PRTPAGE P="57540"/>
                        regarding the screening analysis, see chapter 4 of the TSD.
                    </P>
                    <HD SOURCE="HD1">Table IV.3 Summary of Screening Analysis</HD>
                    <GPH SPAN="3" DEEP="390">
                        <GID>ER15SE11.109</GID>
                    </GPH>
                    <P>In addition to this screening, DOE did not analyze a number of technologies in the engineering analysis because they were judged unsuitable for improving the measured energy use of refrigeration products for one or more of the following reasons:</P>
                    <P>• Technology already used in baseline products and incapable of generating additional energy efficiency or reducing energy consumption;</P>
                    <P>• Technology does not reduce energy use; or</P>
                    <P>• Insufficient data available demonstrating benefit of the technology.</P>
                    <P>The technologies not analyzed for these reasons include Improved Expansion Valves, Off-Cycle Valves, Reduced Energy for Automatic Defrost, Condenser Hot Gas Defrost, Reduced Heat Load for TTD Feature, Warm Liquid or Hot Gas Refrigerant Anti-Sweat Heating, Electric Anti-Sweat Heater Sizing, Electronic Temperature Control, Air Distribution Control, Fan Blade Improvements, and Dual Loop System. Chapter 4 of the NOPR TSD discusses in greater detail the reasons for not analyzing these technologies.</P>
                    <HD SOURCE="HD3">1. Discussion of Comments</HD>
                    <P>DOE discussed several screening issues in the NOPR. These issues are summarized, along with comments responding to the NOPR, in the sections below.</P>
                    <HD SOURCE="HD3">a. Compressors</HD>
                    <P>DOE explained in the NOPR that the proprietary status of a technology is not a screening criterion. 75 FR at 59495 (September 27, 2010). However, DOE pointed out that selected technologies may be screened out if their proprietary status constrains their supply, and that DOE must consider “the impact of any lessening of competition * * * that is likely to result from the imposition of the standard” (42 U.S.C. 6295(o)(2)(B)(i)(V)). DOE indicated in the NOPR that it considered potential supply issues of high-efficiency single-speed and variable speed compressors, but concluded that the compressor performance levels analyzed would not likely be subject to significant supply constraints that would merit omitting the consideration of this particular design option. DOE requested comment on this position. Id.</P>
                    <P>
                        Sub Zero commented that, as a smaller manufacturer, it may have more difficulty obtaining high-efficiency and variable speed compressors as compressor vendors ramp up to meet refrigeration product manufacturer demands in 2014. In its view, because of the proposed increased stringency of the standards, larger companies will demand many more of these compressors than they are currently 
                        <PRTPAGE P="57541"/>
                        using. (Sub Zero, No. 69 at p. 3) While it is difficult to predict the events that will occur up to the 2014 transition, DOE notes that it reached its tentative conclusion based on its NOPR phase investigation that indicated the compressor industry has been working to develop high efficiency and variable speed compressors for the residential refrigeration market for many years. (See, 
                        <E T="03">e.g., http://www.panasonic.com/industrial/includes/pdf/invertercompressors-improvingefficiency.pdf,</E>
                         a discussion of Panasonic's development of variable speed compressors, including initial introduction of variable speed compressors in refrigerators in 1996.) These efforts led DOE to believe that the refrigeration industry has had sufficient lead time to prepare for the possible increased demands for higher efficiency and variable speed compressors. Although the submitted comments reiterated the concerns of certain stakeholders, none contained information that would help justify altering the analysis DOE conducted regarding the projected supply of compressors available to manufacturers.
                    </P>
                    <P>Whirlpool concurred with DOE's findings that availability of high-efficiency and variable-speed compressors will expand to meet demand, but indicated that prices might increase. (Whirlpool, No. 74 at p. 3) Whirlpool did not, however, provide any specific information about compressor prices that would allow DOE to accurately revise its analysis to address this comment. Accordingly, the analysis was not altered in this respect.</P>
                    <HD SOURCE="HD3">b. Alternative Refrigerants</HD>
                    <P>Most refrigeration products sold in the U.S. currently use HFC-134a refrigerant, a hydrofluorocarbon (HFC) with a high global warming potential (GWP).</P>
                    <P>
                        The NOPR described comments from several stakeholders made in response to the preliminary analysis. These comments indicated that the DOE analysis should acknowledge the widespread acceptance of hydrocarbon refrigerants in other parts of the world and the growing interest in their use in the U.S. 
                        <E T="03">Id.</E>
                         at 59496. The NOPR cited the ongoing consideration of these refrigerants for use in residential refrigerators, particularly isobutane, in Underwriters Laboratories' (UL's) ongoing revision of UL Standard 250, “Household Refrigerators and Freezers” (UL 250), and in the EPA's proposed rule (see 75 FR 25799 (May 10, 2010)) to add this refrigerant to its list of allowed substances under the Significant New Alternatives Policy (SNAP) program. DOE explained in the NOPR that the EPA proposal calls for a total charge limit of 57 g of isobutane. 
                        <E T="03">Id.</E>
                         at 25803 (May 10, 2010). Neither effort has been finalized at the time of the preparation of this notice.
                    </P>
                    <P>The NOPR explained that DOE's consideration of isobutane refrigerant was based on the 57 g limit proposed by the EPA, and that this limit was sufficient to allow consideration of the use of isobutane refrigerant only for compact refrigerators, based on the refrigerant charge amounts of the reverse-engineered products. The preliminary analyses for compact refrigerators, which did not include isobutane refrigerant as a design option, were adjusted during the NOPR phase to include this design option. DOE acknowledged in the NOPR that multiple sealed systems could potentially be used in larger products without exceeding the charge limit per sealed system, but that it rejected this approach due to the potential reduction of consumer utility associated with the extra space that the additional sealed system would require. 75 FR at 59496-7 (September 27, 2010). DOE notes that the EPA's SNAP proposal did not clearly specify whether the 57 gram limit was intended to apply to each sealed system or each appliance. 75 FR at 25803 (May 10, 2010).</P>
                    <P>DOE requested comment on its approach in considering isobutane only for compact refrigerators.</P>
                    <P>Whirlpool commented that many compact and full-size refrigerators using hydrocarbon refrigerants are sold all over the world, but that the safety threshold in the U.S. is higher than many other countries. Whirlpool noted the possible tradeoffs of venting versus capturing and transporting flammable refrigerants—venting such refrigerants must be done with caution, but it alleviates the need for transport of flammable refrigerants, which may represent even greater risk, since many pounds of refrigerant captured from many products would be transported (as opposed to ounces that are in each individual product), and the duration of transport is much greater than the duration of the venting procedure. Capture and transport, however, avoid release of the refrigerant, thus limiting the small global warming impact of these refrigerants and avoiding concerns associated with volatile organic compound releases. Whirlpool suggested that DOE contact the Consumer Product Safety Commission and/or UL regarding the safety aspects related to the use of these refrigerants. (Whirlpool, No. 74 at p. 4) DOE's assessment of the use of isobutane did not extend to determination of the servicing approach. DOE notes that Section 608 of the Clean Air Act generally prohibits any person in the course of maintaining an appliance to knowingly vent refrigerants from that appliance. See generally, 42 U.S.C. 7671g. EPA regulations at 40 CFR part 82, subpart F, further clarify this prohibition and permit only de minimis releases where good faith attempts to recycle or recover refrigerants are made.</P>
                    <P>GE criticized DOE's approach. First, GE indicated that the UL standard and the EPA proposal are based on charge limits per sealed system, not per product, and that DOE did not fully consider the potential to use dual system designs to implement a switch to isobutane refrigerant. Second, GE commented that the lack of information regarding refrigeration product technologies using isobutane refrigerant stems to a large extent from the fact that this refrigerant currently is not allowed for use in these products. GE asserted that when the EPA SNAP approval is finalized, much more information will become available as products are commercialized. (GE, Public Meeting Transcript, No. 67 at pp. 60-61) In written comments, GE highlighted recent activities related to the introduction of isobutane products, including the EPA SNAP rulemaking and GE's own plans to start selling an isobutane product. It also mentioned that manufacturers will have to redesign products to use this new refrigerant, thus reiterating its view that assessing current products does not provide a complete picture of the potential use of isobutane. (GE, No. 76 at p. 2)</P>
                    <P>Sub Zero commented that some studies show that isobutane, when limited to a charge of 57 to 60 grams, is suitable for products up to 18 cubic feet in volume. Further, using multiple separate refrigeration systems, each limited to 57 to 60 grams, would allow the use of isobutane in many full-size products. Sub Zero also highlighted the current uncertainty about potential future regulation of HFC refrigerants and blowing agents, and suggested that the industry could potentially be compelled to use alternative substances by 2014, which would require significant additional capital investment. The company requested that DOE recognize in this rulemaking the possible impacts of new requirements for refrigerants and blowing agents on system efficiency and insulating performance when setting the standards. (Sub Zero, No. 69 at p. 4)</P>
                    <P>
                        AHAM cited three issues with DOE's treatment of isobutane in the NOPR:
                        <PRTPAGE P="57542"/>
                    </P>
                    <P>• There is a pending EPA Significant New Alternatives Policy (SNAP) decision that would approve hydrocarbons for household use and is expected to lead to sale of full-size refrigeration products in the U.S. that use isobutane refrigerant.</P>
                    <P>• DOE's review of the suitability of isobutane was based on review of existing products rather than future products.</P>
                    <P>• DOE concluded that the UL limit of 50 grams would apply to the entire product rather than to each refrigeration system of a product, thus overlooking the possibility that multiple systems could be used to produce full-size products using isobutane.</P>
                    <FP>(AHAM, No. 73 at pp. 7-8)</FP>
                    <P>
                        In response, DOE agrees that a dual-system design would be an available option that could, depending on the SNAP rulemaking, permit manufacturers to use isobutane refrigerant within the limits of the UL standard and the anticipated EPA rule. DOE also acknowledges increased manufacturer interest in this approach, as exemplified by GE's stated intention to introduce such products as soon as the EPA rule is final (see, for example, GE's announcement for such a product as reported by Appliance Magazine on October 6, 2010, 
                        <E T="03">http://www.appliancemagazine.com/news.php?article=1434814&amp;zone=0&amp;first=1,</E>
                         GE Designs Isobutane Fridge for Smaller Dwellings, No. 82 at p. 1). DOE explained in the NOPR that consideration of the potential negative consumer utility impact of reduced internal volume was a key reason for not adopting isobutane refrigerant as a design option for the larger product classes. 75 FR at 59497 (September 27, 2010). Other considerations included the lack of information regarding (1) the possible emergence of new heat exchanger designs that would alleviate the need to consider dual system approaches and (2) the performance characteristics of low-charge designs using existing heater exchanger technology. As a result, although isobutane products may become available in the near future, considering the switch to isobutane refrigerant as a design option to reduce energy use could not be considered in the analysis, because of the consumer value concerns and the insufficient information regarding the energy savings characteristics and the costs of these potential new designs.
                    </P>
                    <P>Moreover, DOE notes that because the parameters of whatever limits that EPA or UL may consider are not yet final, DOE is declining to speculate what these final limits might be. Without further information regarding the elements described above, DOE cannot ascertain the overall costs and benefits that could be reasonably ascribed to an isobutane refrigerant-based design. Accordingly, in evaluating the standards set by today's final rule, DOE is continuing to retain the basic approach laid out in its NOPR and related analyses.</P>
                    <HD SOURCE="HD3">c. Alternative Foam-Blowing Agents</HD>
                    <P>DOE discussed in the NOPR the potential that legislation or newly enacted rules may restrict the use of HFC blowing agents in the future. DOE indicated that it was prepared to address this issue by evaluating the efficiency improvement and trial standard levels for products using alternative foam insulation materials, if such legislation or rules banning HFCs should be enacted or otherwise become effective. 75 FR at 59497 (September 27, 2010). As mentioned above, Sub Zero commented that DOE should recognize the potential impacts of restriction on HFC blowing agent usage in this rulemaking. (Sub Zero, No. 69 at p. 4) DOE recognizes that such restrictions may occur sometime in the future. However, as DOE explained in the NOPR, DOE believes that basing energy conservation standards on the uncertain prospect of passage of specific legislation would be speculative. Such restrictions have not emerged within the timeframe of the preparation of this final rule. Hence, DOE has not adjusted its analysis to account for this possibility.</P>
                    <HD SOURCE="HD3">d. Vacuum-Insulated Panels</HD>
                    <P>The NOPR discussed DOE's assessment of the potential issues regarding VIP supply, longevity, durability, and quality that stakeholders raised during the preliminary analysis comment period. DOE concluded that potential issues surrounding this technology do not rise to a level justifying that it be screened out. DOE requested comment on this tentative conclusion in the NOPR. 75 FR at 59497-59500 (September 27, 2010). Sub Zero commented on this topic, reiterating concerns regarding availability, quality, and potential impact on warranty costs associated with the expected increase in VIP usage. (Sub Zero, No. 69 at p. 4) Whirlpool commented in a similar fashion, indicating that VIPs are not appropriate for improving efficiency in all situations, are subject to damage during shipment from the supplier and during installation, and expressing concern about the ability of VIP suppliers and the industry to ramp up demand sufficiently. However, the comments provided no new information or arguments that would impact DOE's conclusions regarding the viability of VIPs. Hence, DOE's final analysis continues to include VIPs as a design option.</P>
                    <HD SOURCE="HD3">2. Technologies Considered</HD>
                    <P>DOE has concluded that: (1) All of the efficiency levels discussed in today's final rule are technologically feasible; (2) products at these efficiency levels could be manufactured, installed, and serviced on a scale needed to serve the relevant markets; (3) these efficiency levels would not force manufacturers to use technologies that would adversely affect product utility or availability; and (4) these efficiency levels would not adversely affect consumer health or safety. Thus, the efficiency levels that DOE analyzed and is discussing in this notice are all achievable using “screened in” technology options identified through the screening analysis. The technologies DOE considered for each group of products are shown in Table IV.4.</P>
                    <BILCOD>BILLING CODE 6450-01-P</BILCOD>
                    <HD SOURCE="HD1">IV.4 Technologies Considered by DOE for Residential Refrigeration Products, by Product Group</HD>
                    <GPH SPAN="3" DEEP="435">
                        <PRTPAGE P="57543"/>
                        <GID>ER15SE11.110</GID>
                    </GPH>
                    <P>Note 1: Increased Insulation Thickness was not considered for built-in standard-size freezers.</P>
                    <BILCOD>BILLING CODE 6450-01-C</BILCOD>
                    <HD SOURCE="HD2">C. Engineering Analysis</HD>
                    <P>The engineering analysis uses cost-efficiency relationships to show the manufacturing cost increases associated with achieving increased efficiency. DOE has identified the following three methodologies to generate the manufacturing costs needed for the engineering analysis: (1) The design-option approach, which provides the incremental costs of adding design options to a baseline model that will improve its efficiency; (2) the efficiency-level approach, which provides the relative costs of achieving increases in energy efficiency levels, without regard to the particular design options used to achieve such increases; and (3) the cost-assessment (or reverse engineering) approach, which provides “bottom-up” manufacturing cost assessments for achieving various levels of increased efficiency, based on detailed data on costs for parts and material, labor, shipping/packaging, and investment for models that operate at particular efficiency levels.</P>
                    <P>
                        DOE conducted the engineering analysis for this rulemaking using a combined efficiency level/design option/reverse engineering approach. DOE defined efficiency levels using percentages representing energy use reductions. The reductions were defined to apply to energy use (not including icemaking energy use) measured using the new test procedure. DOE's premise that efficiency levels expressed as a percentage of energy use lower than that of baseline products are equivalent when calculated based on both the current test procedure and the new test procedure (without icemaking energy use) allowed DOE to compare information developed from different sources. However, DOE's analysis is based on the efficiency improvements associated with groups of design options. DOE developed estimates for efficiency improvements for design options through energy use modeling analysis conducted for selected reverse-engineered products. The energy models were first established based on the existing product designs and the models were subsequently adjusted to reflect application of the groups of design options considered for analysis. DOE based some of the design option information on data gained through reverse-engineering analysis, but also used other sources, such as component vendor inquiries and discussions with manufacturers as appropriate. Details of 
                        <PRTPAGE P="57544"/>
                        the engineering analysis are provided in the NOPR TSD chapter 5.
                    </P>
                    <P>In the NOPR, DOE addressed preliminary analysis comments regarding the engineering analysis. DOE explained the selection of product classes for detailed analysis, adjustment of the analyses based on new information collected in preparation of the NOPR, development of the baseline energy use equations representing baseline product energy use using the new energy test procedure (less automatic icemaking energy use), the approach used to adjust the slopes of some of these equations, the range of efficiency levels considered, treatment of design options in the analyses, development of cost-efficiency curves, and the development of standards for low-volume product classes. 75 FR at 59500-59508 (September 27, 2010).</P>
                    <HD SOURCE="HD3">1. Discussion of Comments</HD>
                    <P>DOE requested comments and information on the following topics in the NOPR:</P>
                    <P>(1) The approach used to adjust the slopes of the baseline energy use equations of some product classes. Id. at 59505.</P>
                    <P>(2) The treatment of design options in the engineering analysis. Id. at 59507.</P>
                    <P>(3) Information that would help improve the ERA energy use model used for the engineering analysis. Id. at 59507.</P>
                    <P>Whirlpool commented that analyzing design options is an appropriate means of assessing technological capability, but that DOE should establish minimum efficiency standards without specifying particular design options to use. In its view, this approach would permit manufacturers the freedom to develop products in a fashion which they believe best meets the needs of consumers. (Whirlpool, No. 74 at p. 5) DOE notes that the standards are expressed in terms of maximum energy use and do not specify the use of particular design options in satisfying these standards.</P>
                    <P>DOE received no additional comments on these topics. Consequently, in the absence of any other comments, DOE has not adjusted its engineering analysis for the final rule.</P>
                    <HD SOURCE="HD3">2. Adjustment of the Baseline Energy Use Equations</HD>
                    <P>Comments addressing adjustment of the standard to account for test procedure changes (the “crosswalk”) are discussed in section III.A.2 above. As part of the engineering analysis, DOE adjusted the energy standard equations to address the modifications to the test procedures. DOE initially made such adjustments during the preliminary analysis based on consideration of the anticipated compartment temperature and volume calculation method changes. DOE used an approach to account for the test procedure changes that involved developing energy use equations representing baseline products based on testing under the new test procedures. Baseline products are those that are minimally compliant under the current energy standard when tested using the current test procedure. The initial baseline energy use equations are presented in the preliminary TSD in Chapter 5, “Engineering Analysis” in section 5.4.2. The efficiency levels examined in this rulemaking are represented as percentages of energy use reductions from the energy use of baseline products. Hence, the efficiency levels expressed in terms of the new test procedures are equal to these same percentage reductions applied to the baseline energy use equations.</P>
                    <P>Based on the comments responding to the preliminary analysis, as well as the additional information DOE obtained during the NOPR phase, DOE adjusted the baseline energy use equations for three product classes. These changes corrected the low slope of the maximum energy use equation of the current energy standards for product classes 4 (refrigerator-freezers—automatic defrost with side-mounted freezer without through-the-door ice service), 5 (refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service), and 5A (refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service). See the NOPR TSD, Chapter 5, section 5.4.2.4. The NOPR-phase adjusted baseline energy use equations are presented in the NOPR TSD in Chapter 5, in section 5.4.2.</P>
                    <P>Stakeholder comments recommending further adjustment to the baseline energy use equations to address test procedure changes are discussed in section III.A.2 above. These comments addressed both (1) extrapolating the analysis to product classes for which DOE did not have relevant test data for the crosswalk associated with compartment temperature changes and volume calculation method changes, and (2) measurement changes, including other test procedure changes that were not captured in the NOPR crosswalk. As discussed in section III.A.2, DOE has made adjustments to account for two of these additional test procedure changes—those changes that capture precooling energy use and that address the testing for products with heater-based temperature control for special compartments. The analysis to implement these changes is discussed below.</P>
                    <HD SOURCE="HD3">Special Compartments With Heater-Based Control</HD>
                    <P>During the NOPR public meeting, DOE requested information regarding heater-based control systems used to control the temperatures of special compartments. DOE sought this information to help it better understand and evaluate the energy use impact of these features and the manner in which the new (then proposed) test procedure may change the measured energy use of products having such compartments. DOE received no information. In the absence of any information, DOE developed an analysis to help represent the energy use of these compartments, including the change in measured energy use associated with the new test procedure. The calculated energy use impact was multiplied by the percentages of products that are believed to have such features in each of the applicable product classes to develop average impacts associated with the test procedure amendments. The determination of the prevalence of products with these features is discussed in section 0 above.</P>
                    <P>The analysis describing the change in energy use for a product with a heated special compartment is described in the TSD in Chapter 5, “Engineering Analysis,” (Section 5.4.2.6). DOE conducted this analysis for a baseline-efficiency refrigerator-freezer with automatic defrost and a bottom-mounted freezer with a total capacity of 25 cubic feet. The baseline energy use for this product is 733 kWh per year, excluding icemaking energy use. This value was calculated using the baseline energy use equation for product class 5 as presented in Table 5.4.12 of the NOPR TSD. The special compartment was assumed to be located at the bottom of the fresh food compartment and to be 20 inches deep, 32 inches wide, and 4 inches high. (These dimensions were based on one of the reverse engineered products evaluated by DOE during the engineering analysis. This product had a special compartment (without heater-based control) at the bottom of the fresh food compartment of roughly the selected dimensions.)</P>
                    <P>
                        The analysis determined the energy use for the product when tested both with the special compartment set for its coldest temperature and with the compartment set at its warmest temperature (selected as 28 °F and 42 °F, respectively, consistent with the 
                        <PRTPAGE P="57545"/>
                        widest range identified for special compartment temperature control for the product (see Use and Care Guide Electrolux 242046401, No. 80 at p. 18)), with the fresh food and freezer compartments operating at 39 °F and 0 °F, respectively. The influences on the compartment temperature that DOE considered in the analysis include (1) the 39 °F fresh food compartment air surrounding the top, sides, back, and front of this special compartment, transferring heat through the 
                        <FR>3/16</FR>
                        -inch plastic compartment wall, and the air film thermal resistances outside and inside the special compartment, (2) the air near the top of the freezer compartment, at an average temperature of −5 °F (at 0 °F when the compressor is not operating, and at −10 °F when the compressor is operating and the evaporator discharge air blows forward along the underside of the mullion, and assuming a 50 percent compressor run time), transferring heat from the special compartment through the special compartment's bottom surface, the 1.5-inch thick mullion, and through four air films surrounding the compartment bottom and the mullion, (3) −10 °F evaporator discharge air diverted to the special compartment, if needed to maintain a low temperature, and (4) electric resistive heating, if needed to maintain a high temperature. At the 28 °F setting for the special compartment, a small amount of evaporator discharge air (less than 1 cubic foot per minute) is needed to maintain the compartment temperature, while a heater input of 5.8 W is needed to maintain the 42 °F setting. DOE calculated the additional system energy use associated with removing the 5.8 W of heat input by assuming that the system efficiency is 5 Btu/h-W, which represents a system with a compressor with an Energy Efficiency Ratio (EER) rating of 5.5 and some additional evaporator and condenser fan power input. As described in the TSD, Chapter 5, section 5.84, standard-size baseline refrigerator-freezers typically use compressors with an EER in the range 5.0 to 5.5. DOE used the high end of this range for the estimate, recognizing that a shipment-weighted average EER would also include higher-efficiency compressors.
                    </P>
                    <P>The calculated energy use impact of the test procedure change (measurement with the special compartment set at its coldest temperature, as is done under the current test procedure, as compared with an average of tests with the special compartment setting in the coldest position for one test and in the warmest position for the second test) is 43 kWh, a 5.9 percent energy use increase. As discussed above in section III.A.2, DOE has conducted testing for two products that have heated special compartments. The average measured impact of the test procedure change for these productss was 4.1 percent, suggesting that the calculated 5.9 percent impact is conservative. DOE chose to use the more conservative 5.9 percent impact in adjusting the energy conservation standards due to the uncertainty associated with the small data sample and the EPCA requirements prohibiting upward adjustment of maximum allowable energy use after such a standard has been set. See 42 U.S.C. 6295(o)(1).</P>
                    <P>As discussed in section III.A.2, DOE assumed that this energy use impact applies to the percentage of products of applicable product classes which currently have such features. Hence, applying the calculated measurement impact to the product model percentages of 10.6 percent (determination of this value was discussed in section III.A.2) for current product class 5A (refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service), 1.5 percent for current product class 5 (refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service), and 0.7 percent for current product class 7 (refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service) results in average impacts for these product classes equal to 0.62 percent for product class 5A, 0.088 percent for product class 5, and 0.041 percent for product class 7.</P>
                    <HD SOURCE="HD3">Precooling</HD>
                    <P>
                        DOE conducted energy tests of nine standard-size refrigerator-freezers during the engineering analysis. Two of these products exhibited precooling. The increase in measured energy use for these products when using the modified approach that includes precooling energy use was 2.3 percent for one product and 1.7 percent for the other. (See docket documents Precooling Product 1 and Precooling Product 2, Nos. 82.1 and 82.2). DOE has adopted an average impact of 2 percent based on these measurements. DOE calculated the shipment-weighted average energy use impact of precooling using this value and the observed frequency of precooling as follows: 2% × (
                        <FR>2/9</FR>
                        ) = 0.44%. DOE applied this adjustment to all standard-size refrigerator-freezers with automatic defrost.
                    </P>
                    <HD SOURCE="HD3">Combined Impact</HD>
                    <P>
                        To combine the impact of the two test procedure adjustments, DOE multiplied the factors representing their impact. For example, for product class 5A: 1. 0062 × 1.0044 = 1. 0106.
                        <SU>23</SU>
                        <FTREF/>
                         This approach addresses the need to consider the compounding of the impact inherent in multiple influences, similar to the compounding of interest in finance. DOE used similar calculations for other product classes for which one or both of the test-procedure-based adjustments to the standard apply. These adjustments are reflected in the table showing the final baseline energy use equations in the TSD, Chapter 5, Table 5.4.14. The final energy standards are based on applying the percentage energy use reductions to these adjusted baseline energy use equations.
                    </P>
                    <FTNT>
                        <P>
                            <SU>23</SU>
                             Note that multiplying a number by 1.000062 is equivalent to increasing it by 0.62%. Hence, the 1.0062 factor represents the adjustment to the energy use equation associated with the 0. 62% increase to account for the heated special compartment shipment-weighted average measurement change for product class 5A. Similarly, the 1.0044 factor represents the 0.44% adjustment for the precooling shipment-weighted average measurement change. The resulting factor, 1.0106, means that the energy use equation is increased 1.06%.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">D. Markups To Determine Product Cost</HD>
                    <P>The markups analysis develops appropriate markups in the distribution chain to convert the manufacturer cost estimates derived in the engineering analysis to consumer prices. DOE determined the distribution channels for refrigeration products and the markups associated with the main parties in the distribution chain, manufacturers and retailers. DOE developed an average manufacturer markup by examining the annual Securities and Exchange Commission (SEC) 10-K reports filed by four publicly-traded manufacturers primarily engaged in appliance manufacturing and whose combined product range includes residential refrigeration products. For retailers, DOE developed separate markups for baseline products (baseline markups) and for the incremental cost of more-efficient products (incremental markups). Incremental markups are coefficients that relate the change in the manufacturer sales price of higher-efficiency models to the change in the retailer sales price.</P>
                    <P>
                        In response to comments that were received on the preliminary analysis, DOE extensively reviewed its incremental markup approach in the NOPR. Among the tasks DOE performed included assembling and analyzing relevant data from other retail sectors. DOE found that empirical evidence is lacking with respect to appliance retailer markup practices when a product increases in cost (due to 
                        <PRTPAGE P="57546"/>
                        increased efficiency or other factors). DOE understands that real-world retailer markup practices vary depending on market conditions and on the magnitude of the change in cost of goods sold (CGS) associated with an increase in appliance efficiency.
                    </P>
                    <P>Given this uncertainty with respect to actual markup practices in appliance retailing, DOE uses an approach that reflects two key concepts. First, changes in the efficiency of the appliances sold are not expected to increase economic profits. Thus, DOE calculates markups/gross margins to allow cost recovery for retailers (including changes in the cost of capital) without changes in company profits. Second, efficiency improvements only impact some distribution costs. DOE sets markups to cover only the variable costs expected to change with efficiency.</P>
                    <P>DOE's separation of operating expenses into fixed and variable components to estimate an incremental markup follows from the above concepts. DOE defines fixed expenses as including labor and occupancy expenses because these costs are not likely to increase as a result of a rise in CGS due to amended efficiency standards. All other expenses, as well as the net profit, are assumed to vary in proportion to the change in CGS. DOE acknowledges that its allocation of expenses into fixed and variable categories is based largely on limited information and sought additional information from interested parties to help refine its allocation approach during the NOPR phase. DOE's method results in an outcome in which retailers are assumed to cover their costs while maintaining their profit margins when the CGS of appliances changes.</P>
                    <P>As part of its review, DOE developed a new breakdown into fixed and variable components using the latest expense data provided by the U.S. Census for Electronics and Appliance Stores, which cover 2002. The newly-derived incremental markup, which would be applied to an incremental change in CGS, is 1.17, which is slightly higher than the value of 1.15 that DOE used in the preliminary analysis. DOE requested information regarding the likely retailer responses to incremental changes in the CGS of appliances associated with the proposed standards. Whirlpool stated that it would not expect retailers to accept reduced margins as a result of higher costing, more efficient products, and asserted that most major retailers are publicly traded companies whose stockholders demand consistent (or increasing) margins (Whirlpool, No. 74 at p. 5) No information or other comments were received addressing this issue. Given the lack of quantitative information, DOE has decided to continue to apply an incremental markup to the incremental MSP of products with higher efficiency than the baseline products. Chapter 6 of the final rule TSD provides a description of both the method and its current application.</P>
                    <HD SOURCE="HD2">E. Energy Use Analysis</HD>
                    <P>
                        DOE's analysis of the energy use of refrigeration products estimated the annual energy use of products in the field that would meet the considered efficiency levels, 
                        <E T="03">i.e.,</E>
                         as they are actually used by consumers. The energy use analysis provides the basis for other analyses DOE performs, particularly assessments of the energy-savings and the savings in consumer operating costs that could result from DOE's adoption of amended standard levels. In contrast to the DOE test procedure, which provides standardized results that can serve as the basis for comparing the performance of different appliances used under the same conditions, the energy use analysis seeks to capture the range of operating conditions for refrigeration products in U.S. homes.
                    </P>
                    <P>
                        To determine the field energy use of products that would meet possible amended standard levels, DOE used data from the Energy Information Administration (EIA)'s 2005 Residential Energy Consumption Survey (RECS), which was the most recent such survey available at the time of DOE's analysis.
                        <SU>24</SU>
                        <FTREF/>
                         RECS is a national sample survey of housing units that collects statistical information on the consumption of, and expenditures for, energy in housing units along with data on energy-related characteristics of the housing units and occupants. RECS provides sufficient information to establish the type (product class) of refrigeration product used in each household, and also provides an estimate of the household's energy consumption attributable to “refrigerators” or “freezers”. As a result, DOE was able to develop household samples for the representative product classes for standard-size units. DOE did not use RECS for compact refrigerators and freezers because a large fraction of these products are used outside the residential sector. Instead, it based the energy use for these products on the DOE test procedure.
                    </P>
                    <FTNT>
                        <P>
                            <SU>24</SU>
                             For information on RECS, see 
                            <E T="03">http://www.eia.doe.gov/emeu/recs/.</E>
                        </P>
                    </FTNT>
                    <P>DOE believes that, in general, using RECS data in the estimation of field energy use of refrigeration products is valid. However, it acknowledges that the approach used in the preliminary analysis has limits. To compensate for these limits, DOE developed a new approach for the NOPR to estimate energy use of refrigeration products in U.S. homes. This approach involved collecting field-metered electricity use data for residential refrigeration products. Details of this approach and the engineering assumptions that DOE used to estimate energy use of refrigeration products in U.S. homes were described in chapter 7 of the NOPR TSD. DOE sought comment on its approach for developing energy use estimates using field-metered data. 75 FR at 59512 (September 27, 2010).</P>
                    <P>Commenting on the NOPR TSD, AHAM stated that DOE should rely on the test procedure, rather than RECS data, for determining energy use, but offered no reason or data. (AHAM, Public Meeting Transcript, No. 67 at p. 78).</P>
                    <P>As discussed in section IV.E of the NOPR (75 FR at 59510 (September 27, 2010)), test procedures must be reasonably designed to produce test results which measure energy efficiency, energy use or estimated annual operating cost of a covered product during a representative average use cycle or period of use. (42 U.S.C. 6293(b)(3)) Relying solely on a representative average use cycle or period of use does not provide an accurate measure of the possible energy savings since this approach inadequately evaluates the economic impact of the standard on consumers and the savings in operating costs throughout the estimated life of the product—two factors under EPCA that DOE must consider when promulgating an amended energy conservation standard. Further, the approach suggested by AHAM would not account for the variability stemming from household differences or be consistent with the above-cited guidance contained in 10 CFR part 430, subpart C, appendix A. In contrast, the approach that DOE has used in residential product rulemakings for over a decade, and continues to apply here, accounts for all of these factors.</P>
                    <P>Sub Zero and AHAM also indicated that more comprehensive field data be collected, including data on ice usage and icemaker energy consumption, for use in future rulemakings (Sub Zero, No. 69 at pp. 4-5; AHAM, No. 73 at p. 8). DOE has retained the approach detailed in the NOPR for the final rule. In future rulemakings, DOE may evaluate the appropriateness of collecting additional field data as suggested by these commenters.</P>
                    <P>
                        In order to make the 2005 RECS sample more representative of current 
                        <PRTPAGE P="57547"/>
                        refrigeration products, DOE made two modifications for the NOPR analysis. First, DOE modified the RECS weights for top- vs. bottom-mount refrigerators in order to reflect current information on the relationship between income and refrigerator door style (
                        <E T="03">i.e.,</E>
                         top- or bottom-mount) provided by AHAM in 2010. Second, DOE examined recent data from three sources 
                        <SU>25</SU>
                        <FTREF/>
                         to scale the average interior volume of standard-size refrigerator-freezers from the 2005 RECS data. DOE requested comments on the weighting of the RECS sample using income relationships and volume scaling.
                    </P>
                    <FTNT>
                        <P>
                            <SU>25</SU>
                             California Energy Commission, Appliances Database—Refrigeration, 1998-2009. 
                            <E T="03">http://www.energy.ca.gov/appliances/database/excel_based_files/Refrigeration/</E>
                             (Last accessed April 25, 2009); The NPD Group, Inc., The NPD Group/NPD Houseworld—POS, Refrigerators, January-December 2008, 2007-2008, Port Washington, NY; and Association of Home Appliance Manufacturers, data from 2005-2008, memoranda dated January 19, 2009 and March 26, 2010, Washington, DC.
                        </P>
                    </FTNT>
                    <P>Whirlpool supported efforts to re-weight the RECS data to better reflect income and volume; however, it reiterated its previously stated reservations regarding the outdated nature of RECS. (Whirlpool, No. 74 at p. 5) AHAM did not view the weighting of the RECS sample as having meaningfully contributed to the proposed levels, and as a result, did not comment on these approaches. Instead, it emphasized that the lack of comment on its part did not signify agreement with the approaches. (AHAM, No. 73 at p. 8)</P>
                    <P>Given the value of continuing to apply the RECS-based approach, the analysis modifications to address the limits of the RECS data, and the analysis DOE performed using updated data from AHAM and other sources, DOE believes that this approach sufficiently accounts for the full range of estimated energy savings experienced by households. Accordingly, DOE has retained its above-described approach for the final rule. However, DOE did revise its usage adjustment factor (UAF) formulas, which raised the average UAF by 6 to 14 percent, depending on the product class. The revision is described in chapter 7 of the final rule TSD.</P>
                    <HD SOURCE="HD2">F. Life-Cycle Cost and Payback Period Analyses</HD>
                    <P>DOE conducted LCC and PBP analyses to evaluate the economic impacts on individual consumers of potential energy conservation standards for refrigeration products. The LCC is the total consumer expense over the life of a product, consisting of purchase and installation costs plus operating costs (expenses for energy use, maintenance and repair). To compute the operating costs, DOE discounts future operating costs to the time of purchase and sums them over the lifetime of the product. The PBP is the estimated amount of time (in years) it takes consumers to recover the increased purchase cost (including installation) of a more efficient product through lower operating costs. DOE calculates the PBP by dividing the change in purchase cost (normally higher) due to a more stringent standard by the change in average annual operating cost (normally lower) that results from the standard.</P>
                    <P>For any given efficiency level, DOE measures the PBP and the change in LCC relative to an estimate of the base-case appliance efficiency levels. The base-case estimate reflects the market in the absence of amended energy conservation standards, including the market for products that exceed the current energy conservation standards.</P>
                    <P>For each considered efficiency level in each product class, DOE calculated the LCC and PBP for a nationally representative set of housing units. For both the NOPR and final rule analyses, DOE developed household samples from the 2005 RECS. For each sampled household, DOE determined the energy consumption for the refrigeration product and the electricity price. By developing a representative sample of households, the analysis captured the variability in energy consumption and energy prices associated with the use of residential refrigeration products.</P>
                    <P>Inputs to the calculation of total installed cost include the cost of the product—which includes manufacturer selling prices, retailer markups, and sales taxes—and installation costs. Inputs to the calculation of operating costs include annual energy consumption, energy prices and price projections, repair and maintenance costs, product lifetimes, discount rates, and the year that amended standards take effect. DOE determined the operating costs for each sampled household using that household's unique energy consumption and the household's energy price. DOE created distributions of values for some inputs, with probabilities attached to each value, to account for their uncertainty and variability. DOE used probability distributions to characterize product lifetime, discount rates, and sales taxes.</P>
                    <P>The computer model DOE uses to calculate the LCC and PBP, which incorporates Crystal Ball (a commercially available software program), relies on a Monte Carlo simulation to incorporate uncertainty and variability into the analysis. The Monte Carlo simulations randomly sample input values from the probability distributions and household samples. The model calculated the LCC and PBP for products at each efficiency level for 10,000 housing units per simulation run. Details of the spreadsheet model, and of all the inputs to the LCC and PBP analyses, are contained in the final rule TSD chapter 8 and its appendices.</P>
                    <P>Table IV.5 summarizes the approach and data DOE used to derive inputs to the LCC and PBP calculations. The table provides the data and approach DOE used for the NOPR TSD, as well as the changes made for today's final rule. The subsections that follow discuss the initial inputs and the changes DOE made to them. Unless otherwise specified, DOE received no comments on these inputs.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,r100,r100">
                        <TTITLE>Table IV.5—Summary of Inputs and Key Assumptions in the LCC and PBP Analysis *</TTITLE>
                        <BOXHD>
                            <CHED H="1">Inputs</CHED>
                            <CHED H="1">NOPR</CHED>
                            <CHED H="1">Changes for the final rule</CHED>
                        </BOXHD>
                        <ROW EXPSTB="02" RUL="s">
                            <ENT I="21">
                                <E T="02">Installed Costs</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00" RUL="s">
                            <ENT I="01">Product Cost</ENT>
                            <ENT>Derived by multiplying manufacturer cost by manufacturer and retailer markups and sales tax, as appropriate</ENT>
                            <ENT>Applied a price trend to estimate equipment prices in 2014.</ENT>
                        </ROW>
                        <ROW EXPSTB="02" RUL="s">
                            <PRTPAGE P="57548"/>
                            <ENT I="21">
                                <E T="02">Operating Costs</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Annual Energy Use</ENT>
                            <ENT>Based on a multiple linear regression of field-metered energy use data, adjusted using a UAF function based on 2005 RECS household characteristics</ENT>
                            <ENT>Revised UAF function, raising average UAF values by 6 to 14 percent, depending on product class.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Prices</ENT>
                            <ENT>Electricity: Based on EIA's Form 861 data for 2007</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl">Variability: Regional energy prices determined for 13 regions.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Price Trends</ENT>
                            <ENT>
                                Forecasted using Annual Energy Outlook 2010 (
                                <E T="03">AEO2010</E>
                                )
                            </ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Repair and Maintenance Costs</ENT>
                            <ENT>Used repair cost estimation method that estimates the rate of failure for selected components along with the incremental cost of repair or replacement compared to the baseline product</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW EXPSTB="02" RUL="s">
                            <ENT I="21">
                                <E T="02">Present Value of Operating Cost Savings</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Product Lifetime</ENT>
                            <ENT>Estimated using survey results from RECS (1990, 1993, 1997, 2001, 2005) and the U.S. Census American Housing Survey (2005, 2007), along with historic data on appliance shipments</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT O="xl">Variability: Characterized using Weibull probability distributions.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Discount Rates</ENT>
                            <ENT>Approach involves identifying all possible debt or asset classes that might be used to purchase the considered appliances, or might be affected indirectly. Primary data source was the Federal Reserve Board's SCF ** for 1989, 1992, 1995, 1998, 2001, 2004 and 2007</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Compliance Date of New Standard</ENT>
                            <ENT>2014</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <TNOTE>* References for the data sources mentioned in this table are provided in the sections following the table or in chapter 8 of the TSD.</TNOTE>
                        <TNOTE>** Survey of Consumer Finances.</TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">1. Product Cost</HD>
                    <P>To calculate consumer product costs, DOE multiplied the manufacturer selling prices developed in the engineering analysis by the supply-chain markups described in section IV.E (along with sales taxes). DOE used different retail markups for baseline products and higher-efficiency products because DOE applies an incremental markup to the MSP increase associated with higher-efficiency products.</P>
                    <P>
                        In the NOPR analysis, DOE assumed that the manufacturer selling prices and retail prices of products meeting various efficiency levels remain fixed, in real terms, after 2010 (the year for which the engineering analysis estimated costs) and throughout the analysis period. Subsequently, examination of historical price data for various appliances and equipment indicates that the assumption of constant real prices and costs may, in many cases, over-estimate long-term appliance and equipment price trends. Economic literature and historical data suggest that the real costs of these products may in fact trend downward over time, partially because of “learning” or “experience.” 
                        <SU>26</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>26</SU>
                             A draft paper, “Using the Experience Curve Approach for Appliance Price Forecasting,” posted on the DOE Web site at 
                            <E T="03">http://www.eere.energy.gov/buildings/appliance_standards,</E>
                             provides a summary of the data and literature currently available to DOE that is relevant to price forecasts for selected appliances and equipment.
                        </P>
                    </FTNT>
                    <P>In light of the historical data and DOE's aim to improve the accuracy and robustness of its analyses, on February 22, 2011, DOE published a notice that discussed the approach it was considering to use to incorporate experience in its forecasts of product prices. 76 FR 9696. DOE requested public comment on the potential inclusion of this approach for its future rulemaking activities, as well as on the merits of adopting this approach within the context of its ongoing rulemaking to set standards for refrigeration products.</P>
                    <P>
                        DOE received a number of comments on the merits of incorporating experience in its forecasts of product prices. Support for the inclusion of experience in appliance standards rulemakings was expressed by NEEP, NCLC, ACEEE, ASAP, NRDC, CFA, NEEA, and the IOUs.
                        <SU>27</SU>
                        <FTREF/>
                         (NEEP, No. 107 at p. 2; NCLC, No. 100 at pp. 1-2; ACEEE, No. 109 at p. 1; ASAP, No. 108 at p. 1; NRDC, No. 104 at p. 2; CFA, No. 105 at p. 2; NEEA, No. 101 at p. 4; IOUs, No. 111 and 112 at p. 1) The IOUs, ASAP, NRDC, and CFA specifically noted that incorporation of an experience curve would align with other analyses that contribute to analysis of appliance standards, such as the approach used in NEMS. (IOUs, No. 111 and 112 at p. 1; ASAP, No. 108 at p. 2; NRDC, No. 104 at p. 4; CFA, No. 105 at p. 4) ASAP and NRDC included as part of their comments an appendix that found that the model described in the NODA offers appropriate methodology. (ASAP, No. 108 at p. 10; NRDC, No. 104 at p. 5)
                    </P>
                    <FTNT>
                        <P>
                            <SU>27</SU>
                             Pacific Gas and Electric Company, Southern California Gas Company, and San Diego Gas and Electric submitted a joint letter, while Southern California Edison submitted an identical letter; comments from these letters are referred to as made by IOUs.
                        </P>
                    </FTNT>
                    <P>
                        DOE also received a number of comments expressing opposition to, or 
                        <PRTPAGE P="57549"/>
                        concern with, the proposed incorporation of experience into forecasts of product prices. (AHAM, No. 113 at p. 1; AHRI, No. 106 at p. 2; EEI, No. 102 at pp. 2-5; SC, No. 110 at p. 1) The American Gas Association (AGA) criticized the use of experience curves, stating that the current approach offers better opportunities to transparently assess costs. (AGA, No. 115 at p. 2) Traulsen, a manufacturer of commercial refrigerators, contended that a price decrease for technology over time only holds true if market forces prevail. (Traulsen, No. 99 at p. 3)
                    </P>
                    <P>The comments that expressed opposition or reservation regarding application of the experience curve approach cited several factors. Ingersoll Rand noted that the experience curve is at best a heuristic model, and it urged more extensive examination of several points related to experience curves. (Ingersoll Rand, No. 103 at p. 2) AHAM and AHRI noted that experience curves apply only to specific products or companies and should not be inflated to industry wide cases. (AHAM, No. 113 at pp. 53-54; AHRI, No. 106 at p. 2) AGA noted that experience curves could be useful for some DOE regulated products at the early stages of development and commercialization, but would not be relevant to a wide range of equipment with mature designs and markets, including space heating and water heating. (AGA, No. 115 at p. 2) Similarly, AHAM stated that the experience curve came from early-stage industries, and at current cost reduction rates is not reliable enough to apply in mature industries with large cumulative production. (AHAM, No. 113 at p. 54) AHRI and SC noted that past performance does not necessarily indicate future performance, as past trends may have reached a plateau. (AHRI, No. 106 at pp. 2-3; SC, No. 110 at p. 2) DOE's proposed approach used experience curves that reflect broad industry-wide changes resulting from many factors. The historical data over lengthy periods (not only early-stage industries) suggest that experience curves are mathematically applicable to mature products as well as newer products. The historic decline in inflation-adjusted PPI of household appliances has slowed since 2000, but there is no evidence of a plateau.</P>
                    <P>AHAM and AHRI opposed DOE's analysis using prices, when experience or experience curves are actually based on cost. (AHAM, No. 113 at p. 55; AHRI, No. 106 at p. 3) Ingersoll Rand stated that while variable manufacturing costs may assume an experience curve, fixed costs and retail price do not. (Ingersoll Rand, No. 103 at p. 2) EEI stated that the primary cause of experience is outsourcing, so the domestic Producer Price Index (PPI) should not be used when a significant fraction of manufacturers are overseas. (EEI, No. 102 at pp. 3-5) In response, DOE acknowledges that the literature generally approaches these effects through the costs of production and that the price of the relevant good will not reflect learning as directly as the costs. This is because the price is a reflection of market conditions. Nevertheless, DOE notes that experience curves can be based on either cost or price, and that the historical data in the case of refrigerators show that real price declines occurred well before outsourcing became a significant factor in manufacturing. DOE does not attempt to forecast the impact of future outsourcing of production in its forecasts of appliance manufacturing costs.</P>
                    <P>
                        SC noted that the PPI incorporates a performance correction so it would not reflect a true price change. (SC, No. 110 at p. 4) EEI stated that refrigerators and freezers have undergone significant changes over the years in terms of types and features and DOE did not explain how they accounted for this. (EEI, No. 102 at pp. 2-3) Ingersoll Rand stated that product performance has changed dramatically over many years, and therefore it is unclear what the PPI is actually measuring. (Ingersoll Rand, No. 103 at p. 4) In response, DOE notes that the PPI includes a quality adjustment, which attempts to factor out physical changes in the product that affect the price.
                        <SU>28</SU>
                        <FTREF/>
                         For that reason, the PPI is a better measure of the trends in prices than actual wholesale prices would be without quality adjustment.
                    </P>
                    <FTNT>
                        <P>
                            <SU>28</SU>
                             See the Bureau of Labor Statistics' Handbook of Methods (Chapter 14: Producer Prices). 
                            <E T="03">http://www.bls.gov/opub/hom/homch14.htm</E>
                            .
                        </P>
                    </FTNT>
                    <P>DOE also received several comments related to forecasting error and the time period of the data used. Ingersoll Rand urged consideration of the expanding uncertainty band as the forecast period expands, and AHAM also noted that error in forecasts increases with time. (Ingersoll Rand, No. 103 at p. 1; AHAM, No. 113 at pp. 59-62) EEI stated that for refrigerators, the starting period used by DOE corresponds to a unique, post-war boom. (EEI, No. 102 at p. 2) SC stated that the choice of time period for PPI changes results. (SC, No. 110 at p. 4) In response to these comments, DOE conducted a sensitivity analysis that considers different time periods for estimating product price trends. DOE also notes that potentially growing forecast error is diminished by the discounting used in DOE's analysis.</P>
                    <P>AHRI and Ingersoll Rand expressed concern related to products that use significant quantities of commodities, as these prices have been volatile and cannot be predicted. (AHRI, No. 106 at p. 3; Ingersoll Rand, No. 103 at pp. 5-6) DOE will rely on historical data to determine whether commodity price volatility is a concern when estimating experience curves for specific products.</P>
                    <P>Some of the parties generally supporting DOE's proposed approach to incorporating experience into price forecasting for appliance standards requested specific changes to the proposed approach. ACEEE, NEEA, ASAP, NRDC, and the IOUs expressed concern with the proposal to assume no experience curve in cases with limited or no data; instead they recommended using scenarios or running sensitivity analyses to examine a range of experience rates. (ACEEE, No. 109 at p. 1; NEEA, No. 101 at p. 5; ASAP, No. 108 at p. 3; NRDC, No. 104. at p. 5; IOUs, No. 111 and 112 at p. 2) EEI expressed agreement with the IOUs with respect to running sensitivity analyses. (EEI Supplemental Comments, No. 116 at p. 2) ASAP and NRDC also requested that, where possible, DOE should attempt to analyze the more efficient models of certain products separately from the baseline models. (ASAP, No. 108 at p. 27; NRDC, No. 104 at p. 31) Similarly, the IOUs suggested that separate experience coefficients should be used for the base case and the standards case. (IOUs, No. 111 and 112 at p. 2) In cases with limited or no data, DOE is considering using data at a higher level of aggregation to estimate future product prices. DOE's approach in future rulemakings will be based on available data. At this time DOE is not aware of data sufficient to separately analyze baseline models and efficient models.</P>
                    <P>
                        In conclusion, DOE evaluated the concerns expressed about its proposed approach for incorporating experience in its forecasts of product prices and determined that retaining an assumption-based approach of a constant real price trend was not consistent with the historical data for the products covered in this rule. In its stead, DOE developed a range of potential price trends that was consistent with the available data. For the default price trend for this final rule, DOE estimated an experience rate for residential refrigerators and freezers based on an analysis of long-term historical data. DOE derived a refrigerator/freezer price index from 1947 to 2010 by creating a hybrid index that changed proportional to PPI data 
                        <PRTPAGE P="57550"/>
                        for the period when PPI data were available, and changed proportional to the relevant CPI data for the period where CPI data were available. DOE then divided the results by the GDP deflator for the relevant year to produce an inflation-adjusted index. This proxy for historic price data was then regressed on the quantity of refrigerators and freezers produced: a corresponding series for total shipments of refrigerators and freezers.
                    </P>
                    <P>To calculate an experience rate, a least-squares power-law fit was performed on the refrigerator/freezer price index versus cumulative shipments. DOE then derived an index, with 2010 equal to 1, to forecast prices (using PPI and CPI data as proxies) in 2014, the compliance date for amended energy conservation standards in the LCC and PBP analysis, and for the NIA, for each subsequent year through 2043. The index value in each year is a function of the experience rate and the cumulative production through that year. Projected shipments were obtained from the base case projections made for the NIA (see section IV.G.1 of this notice). The average annual rate of price decline in the default case is 1.87 percent. DOE applied the same index value to forecast prices for each group of refrigeration products at each considered efficiency level.</P>
                    <P>DOE notes that experience rates may decrease over time since returns from experience about a single technology may diminish over time. As part of its sensitivity analysis, DOE included models that derive an experience rate based on different time periods, which may reflect such a “flattening” of the experience curve across time, as well as a model with an explicit term that incorporates “flattening.” These models usually incorporate the decrease in learning through a variable representing time. DOE includes in the suite of modeling results for learning in this analysis models that do and do not reflect such a “flattening” of learning across time; however, the models near the middle range of estimates in its analysis do reflect this effect. DOE will continue to explore the basis and the appropriateness of incorporating for compounding changing learning effects for future rulemaking analyses.</P>
                    <P>For the NIA, DOE also analyzed two sensitivity cases that use a price trend based on an exponential in time extrapolation of refrigeration equipment PPI data. Because cumulative shipments for refrigerators can be fit to an exponential function of time for long time periods, the experience curve formulation and an exponential in time extrapolation of PPI data provide mathematically very similar price trend forecasts in many cases. In addition to the default price trend, the NIA considered a high price decline case and a low price decline case. See section IV.G.3 for further discussion.</P>
                    <P>In recognition of the uncertainty regarding estimation of the future product price trends, DOE will continue to review the relevant literature and seek to continually improve and refine its methodology through research, enhancements to its models and by seeking public input. DOE will also work to ensure the robustness of its data sets as a means to ensure the reliability of its projections.</P>
                    <P>For further information on the method and data sources used to develop price trends for residential refrigeration products, see appendix 8E of the final rule TSD.</P>
                    <HD SOURCE="HD3">2. Installation Cost</HD>
                    <P>Installation cost includes labor, overhead, and any miscellaneous materials and parts needed to install the equipment. DOE did not include an installation cost for refrigeration products because it understands that this cost would be the same at all of the considered efficiency levels.</P>
                    <HD SOURCE="HD3">3. Annual Energy Consumption</HD>
                    <P>For each sampled household, DOE determined the energy consumption for a refrigeration product at different efficiency levels using the approach described above in section IV.E.</P>
                    <HD SOURCE="HD3">4. Energy Prices</HD>
                    <P>DOE derived average energy prices for 13 geographic areas consisting of the nine U.S. Census divisions, with four large States (New York, Florida, Texas, and California) treated separately. For Census divisions containing one of these large States, DOE calculated the regional average excluding the data for the large State.</P>
                    <P>DOE estimated average residential electricity prices for each of the 13 geographic areas based on data from EIA Form 861, “Annual Electric Power Industry Database.” DOE calculated an average annual regional residential electricity price by: (1) Estimating an average residential price for each utility (by dividing the residential revenues by residential sales); and (2) weighting each utility by the number of residential consumers served in that region (based on EIA Form 861). DOE calculated average commercial electricity prices in a similar manner. For both the NOPR and final rule analyses, DOE used EIA data for 2007.</P>
                    <HD SOURCE="HD3">5. Energy Price Projections</HD>
                    <P>
                        To estimate energy prices in future years for the NOPR, DOE multiplied the above average regional electricity prices by the forecast of annual average residential electricity price changes in the Reference Case using 
                        <E T="03">AEO2010,</E>
                         which has an end year of 2035.
                        <SU>29</SU>
                        <FTREF/>
                         To estimate the electricity price trend after 2035, DOE used the average annual rate of change in prices from 2020 to 2035. DOE used the same energy price forecasts for the final rule.
                    </P>
                    <FTNT>
                        <P>
                            <SU>29</SU>
                             U.S. Energy Information Administration. 
                            <E T="03">Annual Energy Outlook 2010.</E>
                             Washington, DC. April 2010.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">6. Maintenance and Repair Costs</HD>
                    <P>Repair costs are associated with repairing or replacing components that have failed in the appliance, whereas maintenance costs are associated with maintaining the operation of the equipment. For the NOPR, DOE developed a repair cost estimation method that estimates the rate of failure for selected components (compressor, evaporator, condenser, evaporator fan, condenser fan, electronics and automatic icemaker). The estimated average annual repair cost for a given efficiency level can be expressed as the product of two elements: the average rate of repair of a component (expressed as an annual probability of failure) times the incremental cost of repair or replacement compared to the baseline product. DOE requested comment on its approach used for estimating repair costs. 75 FR at 59514 (September 27, 2010).</P>
                    <P>Sub Zero commented that VIPs could add repair and/or replacement costs that have not been adequately evaluated or estimated (Sub Zero, No. 69 at p. 5). However, they did not provide estimates that would allow DOE to modify its approach.</P>
                    <P>Whirlpool supported DOE's approach to estimate repair costs for more efficient refrigerators and freezers. However, it pointed out that the data shown in Table IV.14 of the NOPR did not appear to be consistent with the logic expressed in section IV.F.6 of the NOPR. It added that the use of commercial refrigeration failure rates, may lead to inaccuracies (Whirlpool, No. 74 at pp. 5-6).</P>
                    <P>
                        With regard to the alleged inconsistency between Table IV.14 of the NOPR (75 FR at 59514 (September 27, 2010)) and the accompanying discussion, DOE has checked the accuracy of the table and notes that the table indicated only incremental repair costs, not total repair costs, which add between $7.66 and $21.90 depending on 
                        <PRTPAGE P="57551"/>
                        standard-size refrigerator-freezer product class. DOE also acknowledges the potential inaccuracy of using commercial failure rate data, but notes that (a) no other data were available, and (b) these data were scaled downward so that the total failure rate (sum of all component failure rates) was equal to observed rates for residential refrigeration products as reported in Consumer Reports (see chapter 8 of TSD).
                    </P>
                    <P>Accordingly, DOE retained the approach for the final rule. Details of this approach can be found in chapter 8 of the final rule TSD.</P>
                    <HD SOURCE="HD3">7. Product Lifetime</HD>
                    <P>
                        Because the basis for lifetime estimates in the literature for refrigeration products is uncertain, DOE used other data sources to estimate the distribution of standard-size refrigerator and freezer lifetimes in the field for both the NOPR and today's final rule. By combining survey results from various years of RECS and the U.S. Census's 
                        <E T="03">American Housing Survey</E>
                         
                        <SU>30</SU>
                        <FTREF/>
                         with the known history of appliance shipments, DOE estimated the fraction of appliances of a given age still in operation. The survival function, which DOE assumed has the form of a cumulative Weibull distribution, provides an average and median appliance lifetime.
                    </P>
                    <FTNT>
                        <P>
                            <SU>30</SU>
                             U.S. Census Bureau, American Housing Survey. Available at: 
                            <E T="03">http://www.census.gov/hhes/www/housing/ahs/ahs.html.</E>
                        </P>
                    </FTNT>
                    <P>
                        For compact refrigerators, DOE estimated an average lifetime of 5.6 years in the NOPR using data on shipments and the stock-in-place (
                        <E T="03">i.e.,</E>
                         the number of units in use). DOE found that, given the data on historic shipments of compact refrigerators, using a longer lifetime would result in an equipment stock that is far larger than the stock given by 2005 RECS and EIA's 2003 Commercial Building Energy Consumption Survey. See chapter 8 of the final rule TSD for further details on the method and sources DOE used to develop product lifetimes for this final rule.
                    </P>
                    <HD SOURCE="HD3">8. Discount Rates</HD>
                    <P>To establish discount rates for the LCC analysis, DOE identified all debt or asset classes that might be used to purchase refrigeration products, including household assets that might be affected indirectly. DOE used data from the Federal Reserve Board's “Survey of Consumer Finances” (SCF) for 1989, 1992, 1995, 1998, 2001, 2004, and 2007 to estimate the average percentages of the various debt and equity classes in the average U.S. household portfolios. DOE used SCF data and other sources to develop distributions of interest or return rates associated with each type of equity and debt. The average rate across all types of household debt and equity, weighted by the shares of each class, is 5.1 percent. While this value corresponds to the average discount rate, DOE assigned each sample household a specific discount rate drawn from the distributions.</P>
                    <P>DOE derived the discount rate for commercial-sector compact refrigeration products from the cost of capital of publicly-traded firms in the sectors that purchase those products (including lodging and other commercial sectors). The firms typically finance equipment purchases through debt and/or equity capital. DOE estimated the cost of the firms' capital as the weighted average of the cost of equity financing and the cost of debt financing for recent years for which data were available (2001 through 2008). The estimated average discount rate for companies that purchase compact refrigeration products is 6.2 percent.</P>
                    <P>See chapter 8 in the final rule TSD for further details on the development of discount rates for refrigeration products.</P>
                    <HD SOURCE="HD3">9. Compliance Date of Amended Standards</HD>
                    <P>In the context of EPCA, the compliance date is the future date when parties subject to the requirements of a new standard must begin to comply with that standard. As described in DOE's semi-annual implementation report for energy conservation standards activities submitted to Congress, a final rule for the refrigeration products that are the subject of this rulemaking is scheduled for completion. Compliance with amended standards for refrigeration products promulgated by DOE is required in 2014. DOE calculated the LCC and PBP for refrigeration products as if consumers would purchase new products in the year compliance with the standard is required.</P>
                    <HD SOURCE="HD3">10. Base Case Efficiency Distribution</HD>
                    <P>
                        To accurately estimate the share of consumers that would be affected by a standard at a particular efficiency level, DOE's LCC analysis considered the projected distribution of product efficiencies that consumers purchase under the base case (
                        <E T="03">i.e.,</E>
                         the case without new energy efficiency standards). DOE refers to this distribution of product of efficiencies as a base-case efficiency distribution. DOE developed base-case efficiency distributions for each of the seven representative product classes. These distributions were developed from industry-supplied data for the year 2007 and were comprised of product efficiencies ranging from existing baseline levels (
                        <E T="03">i.e.,</E>
                         meeting existing energy conservation standards) to levels meeting and exceeding ENERGY STAR levels. DOE then projected these distributions to the year that today's standards would become effective (2014).
                    </P>
                    <P>DOE modified its approach for estimating base-case efficiency distributions for the NOPR analysis for certain product classes. DOE believes that, because the current ENERGY STAR efficiency level is higher than it was prior to the requirements established in 2008, the growth in market share may be slower than before due to the reduction in sales generally associated with higher cost, more efficient products. For the NOPR, DOE adopted a projected market share of ENERGY STAR models in 2014 (under current requirements) that is equal to the average of ENERGY STAR market shares in 2007 (the last year under the old requirements) and 2008 (when current requirements took effect). With this approach, the ENERGY STAR market shares for product class 3 (refrigerator-freezer—automatic defrost with top-mounted freezer without through-the-door ice service) and product class 5 (refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service) are projected to grow more slowly between 2008 and 2014 than they had under the old requirements before 2008. ENERGY STAR products reach a market share in 2014 of 8 percent for product class 3 and 68 percent for bottom-mount refrigerator-freezers.</P>
                    <P>DOE requested comment on its approach for estimating base case efficiency distributions. 75 FR at 59515 (September 27, 2010). Whirlpool stated it had no comment on the approach (Whirlpool, No. 74 at p. 6), and no other comments were received. In light of the absence of any comments on its approach, DOE maintained the same approach for the final rule as it used in the NOPR for all of the product classes. For further information on DOE's estimate of base-case efficiency distributions, see chapter 8 of the final rule TSD.</P>
                    <HD SOURCE="HD3">11. Inputs To Payback Period Analysis</HD>
                    <P>
                        The payback period is the amount of time it takes the consumer to recover the additional installed cost of more-efficient products, compared to baseline products, through energy cost savings. 
                        <PRTPAGE P="57552"/>
                        The simple payback period does not account for changes in operating expense over time or the time value of money. Payback periods are expressed in years. Payback periods that exceed the life of the product indicate that the increased total installed cost is not recovered in reduced operating expenses.
                    </P>
                    <P>The inputs to the PBP calculation are the total installed cost of the equipment to the customer for each efficiency level and the average annual operating expenditures for each efficiency level. The PBP calculation uses the same inputs as the LCC analysis, except that discount rates are not needed.</P>
                    <HD SOURCE="HD3">12. Rebuttable-Presumption Payback Period</HD>
                    <P>As noted above, EPCA, as amended, establishes a rebuttable presumption that a standard is economically justified if the Secretary finds that the additional cost to the consumer of purchasing a product complying with an energy conservation standard level will be less than three times the value of the energy (and, as applicable, water) savings during the first year that the consumer will receive as a result of the standard, as calculated under the test procedure in place for that standard. (42 U.S.C. 6295(o)(2)(B)(iii)) For each considered efficiency level, DOE determined the value of the first year's energy savings by calculating the quantity of those savings in accordance with the applicable DOE test procedure, and multiplying that amount by the average energy price forecast for the year in which compliance with the amended standard would be required.</P>
                    <HD SOURCE="HD2">G. National Impact Analysis—National Energy Savings and Net Present Value Analysis</HD>
                    <P>The national impact analysis (NIA) assesses the national energy savings (NES) and the national net present value (NPV) of total consumer costs and savings that would be expected to result from new or amended standards at specific efficiency levels. (“Consumer” in this context refers to consumers of the product being regulated.) DOE calculates the NES and NPV based on projections of annual appliance shipments, along with the annual energy consumption and total installed cost data from the energy use and LCC analyses. For the present analysis, DOE forecasted the energy savings, operating cost savings, product costs, and NPV of consumer benefits for products sold from 2014 through 2043.</P>
                    <P>
                        DOE evaluates the impacts of new and amended standards by comparing base-case projections with standards-case projections. The base-case projections characterize energy use and consumer costs for each product class in the absence of new or amended energy conservation standards. DOE compares these projections with projections characterizing the market for each product class if DOE adopted new or amended standards at specific energy efficiency levels (
                        <E T="03">i.e.,</E>
                         the TSLs or standards cases) for that class. For the base case forecast, DOE considers historical trends in efficiency and various forces that are likely to affect the mix of efficiencies over time. For the standards cases, DOE also considers how a given standard would likely affect the market shares of efficiencies greater than the standard.
                    </P>
                    <P>
                        To make the analysis more accessible and transparent to all interested parties, DOE uses an MS Excel spreadsheet model to calculate the energy savings and the national consumer costs and savings from each TSL.
                        <SU>31</SU>
                        <FTREF/>
                         The TSD and other documentation that DOE provides during the rulemaking help explain the models and how to use them, and interested parties can review DOE's analyses by changing various input quantities within the spreadsheet. The NIA spreadsheet model uses typical values as inputs (as opposed to probability distributions).
                    </P>
                    <FTNT>
                        <P>
                            <SU>31</SU>
                             MS Excel is the most widely used spreadsheet calculation tool in the United States and there is general familiarity with its basic features. Thus, DOE's use of MS Excel as the basis for the spreadsheet models provides interested parties with access to the models within a familiar context.
                        </P>
                    </FTNT>
                    <P>
                        For the current analysis, the NIA used projections of energy prices and housing starts from the 
                        <E T="03">AEO2010</E>
                         Reference case. In addition, DOE analyzed scenarios that used inputs from the 
                        <E T="03">AEO2010</E>
                         Low Economic Growth and High Economic Growth cases. These cases have higher and lower energy price trends compared to the Reference case, as well as higher and lower housing starts, which result in higher and lower appliance shipments to new homes. NIA results based on these cases are presented in appendix 10-A of the final rule TSD.
                    </P>
                    <P>Table IV.6 summarizes the inputs and key assumptions DOE used for the NIA analysis contained in the overall NOPR analysis and the changes to the analyses for the final rule. Discussion of these inputs and changes follows the table. See chapter 10 of the final rule TSD for further details.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,r100,r100">
                        <TTITLE>Table IV.6—Approach and Data Used for National Energy Savings and Consumer Net Present Value Analyses</TTITLE>
                        <BOXHD>
                            <CHED H="1">Inputs</CHED>
                            <CHED H="1">NOPR</CHED>
                            <CHED H="1">Changes for the final rule</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Shipments</ENT>
                            <ENT>Annual shipments from shipments model, using 2008 data to estimate the ratio of bottom-mount share to side-by-side share</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Compliance Date of Standard</ENT>
                            <ENT>2014</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Base-Case Forecasted Efficiencies</ENT>
                            <ENT>Used a “roll-up + ENERGY STAR” scenario to establish the distribution of efficiencies</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Standards-Case Forecasted Efficiencies</ENT>
                            <ENT>Used a “roll-up + ENERGY STAR” scenario to establish the distribution of efficiencies</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Annual Energy Consumption per Unit</ENT>
                            <ENT>Annual weighted-average values as a function of SWEUF *</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Total Installed Cost per Unit</ENT>
                            <ENT>Annual weighted-average values as a function of SWEUF *</ENT>
                            <ENT>Applied a price trend to estimate future product prices.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Cost per Unit</ENT>
                            <ENT>Annual weighted-average values as a function of the annual energy consumption per unit and energy prices</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Repair and Maintenance Cost per Unit</ENT>
                            <ENT>Annual values as a function of efficiency level</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Escalation of Energy Prices</ENT>
                            <ENT>
                                <E T="03">AEO2010</E>
                                 forecasts (to 2035) and extrapolation through 2043
                            </ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Energy Site-to-Source Conversion Factor</ENT>
                            <ENT>Varies yearly and is generated by DOE/EIA's NEMS</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57553"/>
                            <ENT I="01">Discount Rate</ENT>
                            <ENT>Three and seven percent real</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Present Year</ENT>
                            <ENT>Future expenses are discounted to 2010</ENT>
                            <ENT>No change.</ENT>
                        </ROW>
                        <TNOTE>* Shipments-Weighted Energy Use Factor.</TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">1. Shipments</HD>
                    <P>Forecasts of product shipments are needed to calculate the national impacts of standards on energy use, NPV, and future manufacturer cash flows. DOE develops shipment forecasts based on an analysis of key market drivers for each considered product. In DOE's shipments model, product shipments are driven by new construction, stock replacements, and other types of purchases. The shipments models take an accounting approach, tracking market shares of each product class and the vintage of units in the existing stock. Stock accounting uses product shipments as inputs to estimate the age distribution of in-service product stocks for all years. The age distribution of in-service product stocks is a key input to calculations of both the NES and NPV, because operating costs for any year depend on the age distribution of the stock. DOE also considers the impacts on shipments from changes in product purchase price and operating cost associated with higher energy efficiency levels.</P>
                    <P>In projecting shipments for refrigeration products, DOE accounted for installations in new homes and replacement of failed equipment. In addition, for standard-size refrigerator-freezers, DOE estimated purchases driven by the conversion of a first refrigerator to a second refrigerator. It also estimated purchases by existing household consumers who enter the market as new owners for standard-size freezers.</P>
                    <P>In conducting the analysis for today's rule, DOE examined the historical trends in the market shares of different refrigerator-freezer configurations to disaggregate the total shipments of refrigerator-freezers into the three considered refrigerator-freezer product categories (top-mount, bottom-mount and side-by-side configurations). The market share of side-by-side refrigerator-freezer models has grown significantly during the past two decades. Bottom-freezer models historically had a small market share, but that share has also grown in recent years. However, because DOE had insufficient data to forecast long-term growth of this product class, it made the assumption, based on past sales trends, that consumer behavior related to bottom-mount models in the future would mirror behavior regarding side-by-side models. DOE developed a model to forecast the combined bottom-mount and side-by-side market shares throughout the 30-year forecast period (beginning in 2014), and assumed that the ratio of bottom-mount share to side-by-side share would remain constant at the 2008 level (the last year for which DOE had disaggregated data).</P>
                    <P>To estimate the effects on product shipments from increases in product price projected to accompany amended standards at higher efficiency levels, DOE applied a price elasticity parameter. It estimated this parameter with a regression analysis that used purchase price and efficiency data specific to residential refrigerators, clothes washers, and dishwashers over the period 1980-2002. The estimated “relative price elasticity” incorporates the impacts from purchase price, operating cost, and household income, and it also declines over time. DOE estimated shipments in each standards case using the relative price elasticity along with the change in the relative price between a standards case and the base case. For details on the shipments analysis, see chapter 9 of the final rule TSD.</P>
                    <HD SOURCE="HD3">2. Forecasted Efficiency in the Base Case and Standards Cases</HD>
                    <P>A key component of the NIA is the trend in energy efficiency forecasted for the base case (without new or amended standards) and each of the standards cases. Section IV.X described how DOE developed a base-case energy efficiency distribution (which yields a shipment-weighted average efficiency) for each of the considered product classes for the first year of the forecast period. Based on recent trends, DOE assumed no improvement of energy efficiency in the base case and held the base-case energy efficiency distribution constant throughout the forecast period.</P>
                    <P>To estimate efficiency trends in the standards cases, DOE used a “roll-up” scenario in its standards rulemakings. Under the “roll-up” scenario, DOE assumes: (1) Product efficiencies in the base case that do not meet the standard level under consideration would “roll-up” to meet the new standard level; and (2) product efficiencies above the standard level under consideration would not be affected.</P>
                    <P>For the NOPR, DOE refined its forecast for the base case and each of the standards cases using information obtained from ENERGY STAR program staff. To project the efficiency distributions after 2014 for the base case, DOE first considered the potential for changes to the ENERGY STAR qualification levels. DOE assumed that, in the absence of a new standard, the ENERGY STAR program would re-examine and possibly revise its qualification levels regardless of the market share in 2014. When setting a minimum product efficiency level to qualify for ENERGY STAR, one important metric is that the average payback period compared to the current standard level should not exceed five years. Using the payback period calculation described in section IV.F, DOE applied this criterion to all product classes to evaluate the extent to which the current ENERGY STAR efficiency levels would be increased in the future.</P>
                    <P>DOE then estimated the market shares for ENERGY STAR products in 2021 based on past experience in the market for these products. Rather than make long-term projections based on limited information, DOE assumed there would be no further change in market shares between 2021 and the end of the forecast period. DOE recognizes that some change in shares is likely to occur in reality. However, since DOE used the same assumption in the standards cases, the accuracy of the assumption makes no difference to the analysis of energy savings.</P>
                    <P>
                        For the standards cases (also referred to as candidate standard levels, or CSLs), DOE used the same approach as for the base case and assumed that in the case of amended standards, the ENERGY STAR program would re-evaluate its qualifying levels for all product classes using the five-year payback period criterion. For each CSL, DOE identified the maximum efficiency level with a payback period of five years or less. If that level was below the current ENERGY STAR level, DOE maintained the current ENERGY STAR 
                        <PRTPAGE P="57554"/>
                        level. At higher CSLs, there is no efficiency level above the standard level with a payback period of less than 5 years. DOE assumed that the ENERGY STAR program would be suspended with standards at higher CSLs on a product-class specific basis. This result is projected to occur for all product classes at CSL 3 and above; for product classes 9 (upright freezers with automatic defrost) and 10 (chest freezers and all other freezers except compact freezers), it occurs at lower CSLs. The market share estimates for ENERGY STAR products in 2021 and beyond were based on a similar approach as for the base case.
                    </P>
                    <P>DOE requested comment on its approach for forecasting base case and standards case efficiency distributions. 75 FR at 59518 (September 27, 2010). Whirlpool stated it had no comment on the approach (Whirlpool, No. 74 at p. 6), and no other comments were received. As a result, DOE retained its approach for the final rule. For further details about the forecasted efficiency distributions, see chapter 10 of the final rule TSD.</P>
                    <HD SOURCE="HD3">3. Installed Cost per Unit</HD>
                    <P>In the NOPR analysis, DOE followed its past practice and assumed that the manufacturer costs and retail prices of products meeting various efficiency levels remain fixed, in real terms, after 2008 (the year for which the engineering analysis estimated costs) and throughout the period of the analysis. As discussed in section IV.F.1, for the final rule DOE used a price trend based on an experience curve derived using historical data on shipments and refrigeration equipment PPI. DOE applied the same price trend to forecast prices for each group of refrigeration products at each considered efficiency level. The average projected annual rate of price decline in the default case is 1.87 percent.</P>
                    <P>For the NIA, DOE also analyzed two cases that use a price trend based on an exponential in time extrapolation of refrigeration equipment PPI data. DOE selected a high projected price trend decline case and a low projected price trend decline case from among a number of price trends that it analyzed (see appendix 8E of the final rule TSD). The high projected price trend decline case is based on the upper end of the 95 percent confidence interval for an exponential fit to the PPI series in 1991-2010 divided by the relevant GDP deflator data from those years. The low projected price trend decline case is based on the lower end of the 95 percent confidence interval for an exponential fit to the PPI series in 1976-2010 before dividing it by the relevant GDP deflator data from those years. The annual rate of projected price trend decline is 3.12 percent in the high projected price trend decline case and 1.14 percent in the low projected price trend decline case.</P>
                    <HD SOURCE="HD3">4. Site-to-Source Energy Conversion</HD>
                    <P>For each year in the forecast period, DOE calculates the NES for each standard level by multiplying the stock of equipment affected by the energy conservation standards by the per-unit annual energy savings.</P>
                    <P>
                        To estimate the national energy savings expected from appliance standards, DOE uses a multiplicative factor to convert site energy consumption (at the home or commercial building) into primary or source energy consumption (the energy required to convert and deliver the site energy). These conversion factors account for the energy used at power plants to generate electricity and losses in transmission and distribution, as well as for natural gas losses from pipeline leakage and energy used for pumping. For electricity, the conversion factors vary over time due to projected changes in generation sources (
                        <E T="03">i.e.,</E>
                         the power plant types projected to provide electricity to the country). The factors that DOE developed are marginal values, which represent the response of the system to an incremental decrease in consumption associated with appliance standards.
                    </P>
                    <P>
                        For the NOPR and today's final rule, DOE updated its annual site-to-source conversion factors based on the version of NEMS that corresponds to 
                        <E T="03">AEO2010,</E>
                         which provides energy forecasts through 2035. For 2036-2043, DOE used conversion factors that remain constant at the 2035 values.
                    </P>
                    <P>
                        In response to a request from DOE's Office of Energy Efficiency and Renewable Energy (EERE), the National Academy of Sciences (NAS), appointed a committee on “Point-of-Use and Full-Fuel-Cycle Measurement Approaches to Energy Efficiency Standards” to conduct a study required by section 1802 of the Energy Policy Act of 2005 (Pub. L. 109-58 (August 8, 2005)). The fundamental task before the committee was to evaluate the methodology used for setting energy efficiency standards and to comment on whether site (point-of-use) or source (full-fuel-cycle) measures of energy savings would better support rulemaking efforts to achieve energy conservation goals. The NAS committee defined full-fuel-cycle energy consumption as including, in addition to site energy use, the following: energy consumed in the extraction, processing, and transport of primary fuels such as coal, oil, and natural gas; energy losses in thermal combustion in power generation plants; and energy losses in transmission and distribution to homes and commercial buildings.
                        <SU>32</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>32</SU>
                             The National Academies, Board on Energy and Environmental Systems, Letter to Dr. John Mizroch, Acting Assistant Secretary, U.S. DOE, Office of EERE from James W. Dally, Chair, Committee on Point-of-Use and Full-Fuel-Cycle Measurement Approaches to Energy Efficiency Standards, May 15, 2009.
                        </P>
                    </FTNT>
                    <P>
                        In evaluating the merits of using point-of-use and full-fuel-cycle measures, the NAS committee noted that DOE uses what the committee referred to as “extended site” energy consumption to assess the impact of energy use on the economy, energy security, and environmental quality. The extended site measure of energy consumption includes the energy consumed during the generation, transmission, and distribution of electricity but, unlike the full-fuel-cycle measure, does not include the energy consumed in extracting, processing, and transporting primary fuels. A majority of the NAS committee concluded that extended site energy consumption understates the total energy consumed to make an appliance operational at the site. As a result, the NAS committee recommended that DOE consider shifting its analytical approach over time to use a full-fuel-cycle measure of energy consumption when assessing national and environmental impacts, especially with respect to the calculation of greenhouse gas emissions. The NAS committee also recommended that DOE provide more comprehensive information to the public through labels and other means, such as an enhanced Web site. For those appliances that use multiple fuels (
                        <E T="03">e.g.,</E>
                         water heaters), the NAS committee indicated that measuring full-fuel-cycle energy consumption would provide a more complete picture of energy consumed and permit comparisons across many different appliances, as well as an improved assessment of impacts.
                    </P>
                    <P>
                        In response to the NAS recommendations, DOE issued, on August 20, 2010, (75 FR 51423), a Notice of Proposed Policy proposing to incorporate a full-fuel cycle analysis into the methods it uses to estimate the likely impacts of energy conservation standards on energy use and emissions. Specifically, DOE proposed to use full-fuel-cycle (FFC) measures of energy and greenhouse gas (GHG) emissions, rather than the primary (extended site) energy measurement it currently uses. Additionally, DOE proposed to work collaboratively with the Federal Trade Commission (FTC) to make FFC energy 
                        <PRTPAGE P="57555"/>
                        and GHG emissions data available to the public to enable consumers to make cross-class comparisons. On October 7, 2010, DOE held an informal public meeting to discuss and receive comments on its planned approach. The materials related to this proposed policy are available at: 
                        <E T="03">http://www.regulations.gov/search/Regs/home.html#docketDetail?R=EERE-2010-BT-NOA-0028</E>
                        . Following the close of the public comment period, DOE intends to develop a final policy statement on these subjects and then take steps to begin implementing that policy in rulemakings and other activities that are undertaken during 2011.
                    </P>
                    <HD SOURCE="HD3">5. Discount Rates</HD>
                    <P>The inputs for determining the NPV of the total costs and benefits experienced by consumers of the considered appliances are: (1) Total annual installed cost, (2) total annual savings in operating costs, and (3) a discount factor. DOE calculates net savings each year as the difference between the base case and each standards case in total savings in operating costs and total increases in installed costs. DOE calculates operating cost savings over the life of each product shipped in the forecast period.</P>
                    <P>
                        DOE multiplies the net savings in future years by a discount factor to determine their present value. For today's final rule, DOE estimated the NPV of appliance consumer benefits using both a 3-percent and a 7-percent real discount rate. DOE uses these discount rates in accordance with guidance provided by the Office of Management and Budget (OMB) to Federal agencies on the development of regulatory analysis.
                        <SU>33</SU>
                        <FTREF/>
                         The discount rates for the determination of NPV are in contrast to the discount rates used in the LCC analysis, which are designed to reflect a consumer's perspective. The 7-percent real value is an estimate of the average before-tax rate of return to private capital in the U.S. economy. The 3-percent real value represents the “societal rate of time preference,” which is the rate at which society discounts future consumption flows to their present value.
                    </P>
                    <FTNT>
                        <P>
                            <SU>33</SU>
                             OMB Circular A-4 (Sept. 17, 2003), section E, “Identifying and Measuring Benefits and Costs. Available at: 
                            <E T="03">http://www.whitehouse.gov/omb/memoranda/m03-21.html.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">6. Benefits From Effects of Standards on Energy Prices</HD>
                    <P>A decrease in electricity consumption associated with amended standards for refrigeration products could reduce the electricity prices charged to consumers in all sectors of the economy and thereby reduce their electricity expenditures. In chapter 2 of the preliminary analysis TSD, DOE explained that, because the power industry is a complex mix of fuel and equipment suppliers, electricity producers and distributors, it did not plan to estimate the value of potentially reduced electricity costs for all consumers associated with amended standards for refrigeration products. In response, the Northeast Energy Efficiency Partnerships urged DOE to quantify electricity demand reductions achieved by these updated standards in financial terms. (NEEP, No. 41 at p. 1)</P>
                    <P>For the NOPR and today's final rule, DOE used NEMS-BT to assess the impacts of the reduced need for new electric power plants and infrastructure projected to result from standards. In NEMS-BT, changes in power generation infrastructure affect utility revenue requirements, which in turn affect electricity prices. DOE estimated the impact on electricity prices associated with each considered TSL. Although the aggregate benefits for electricity users are potentially large, there may be negative effects on some of the actors involved in the supply of electricity, particularly power plant providers and fuel suppliers. Because there is uncertainty about the extent to which the benefits for electricity users from reduced electricity prices would be a transfer from actors involved in electricity supply to electricity consumers, DOE has concluded that, at present, because of this uncertainty, it should not give a heavy weight to this factor in its consideration of the economic justification of new or amended standards. DOE is continuing to investigate the extent to which electricity price changes projected to result from standards represent a net gain to society.</P>
                    <HD SOURCE="HD2">H. Consumer Subgroup Analysis</HD>
                    <P>In analyzing the potential impact of new or amended standards on consumers, DOE evaluates the impact on identifiable sub-groups of consumers that may be disproportionately affected by a national standard. DOE evaluates impacts on particular sub-groups of consumers primarily by analyzing the LCC impacts and PBP for those particular consumers from alternative standard levels. For both the NOPR and today's final rule, DOE analyzed the impacts of the considered standard levels on low-income consumers and senior citizens. DOE did not estimate the impacts for compact refrigeration products because the household sample sizes were not large enough to yield meaningful results. For further details on DOE's consumer sub-group analysis, see Chapter 11 in the final rule TSD.</P>
                    <HD SOURCE="HD2">I. Manufacturer Impact Analysis</HD>
                    <P>DOE conducted the MIA to estimate the financial impact of amended energy conservation standards on manufacturers of residential refrigeration products, and to assess the impacts of such standards on employment and manufacturing capacity.</P>
                    <P>
                        The MIA is both a quantitative and qualitative analysis. The quantitative part of the MIA relies on the Government Regulatory Impact Model (GRIM), an industry cash-flow model customized for the residential refrigeration products covered in this rulemaking. The key MIA output is industry net present value (INPV). DOE used the GRIM to calculate cash flows using standard accounting principles and to compare changes in INPV between a base case and various TSLs (the standards cases). The difference in INPV between the base and standards cases represents the financial impact of the amended standard on manufacturers. Different sets of assumptions (scenarios) produce different results. DOE reports the MIA impacts of amended energy conservation standards by grouping together the impacts on manufacturers of certain product classes. DOE presents the industry impacts by the major product types (
                        <E T="03">i.e.,</E>
                         standard size refrigerator-freezers, standard size freezers, compact refrigerators and freezers, and built-in refrigeration products). These product groupings represent markets that are served by the same manufacturers. By segmenting the results into these product types, DOE is able to discuss how these subgroups of manufacturers will be impacted by amended energy conservation standards.
                    </P>
                    <P>The qualitative part of the MIA addresses factors such as product characteristics, characteristics of particular firms, and market trends. The qualitative discussion also includes an assessment of the impacts of standards on subgroups of manufacturers. DOE outlined its complete methodology for the MIA in the NOPR. 75 FR at 59519-59526 (September 27, 2010). The complete MIA is presented in chapter 12 of the NOPR and final rule TSD.</P>
                    <HD SOURCE="HD3">1. Comments From Interested Parties</HD>
                    <P>
                        DOE received a number of comments from interested parties in response to the NOPR. Sub Zero commented that while it is not a small business, it is a small refrigerator manufacturer 
                        <PRTPAGE P="57556"/>
                        compared to its competition. It argued that its smaller size places it at a disadvantage compared to larger competitors with respect to the supply chain for compressors, which could cause Sub Zero to experience supply disruptions that would seriously impact their business and ability to compete. (Sub Zero, No. 69 at p. 3) Sub Zero added that its cost and distribution structures are different from the majority of the industry, and its small scale results in higher costs per unit production, including engineering related expenses. (Sub Zero, No. 69 at p. 2) Sub Zero commented that the new standards on smaller manufacturers in any segment of the appliance industry introduce costs and personnel requirements that represent a larger percentage of resources than those required by larger competitors. (Sub Zero, No. 69 at p. 3) Whirlpool simply stated that it was not a small business and offered no comment on the proposal's impact on small manufacturers. (Whirlpool, No. 74 at p. 6)
                    </P>
                    <P>DOE agrees that a smaller manufacturer could face all of the additional challenges raised by Sub Zero relative to a larger competitor. DOE also notes that while many larger refrigerator manufacturers also produce built-in units and could experience some benefits in the built-in market from their overall scale, built-in production volumes for any manufacturer are likely to be much lower for built-in products than free-standing products. While a smaller manufacturer could face all the challenges listed by Sub Zero, DOE believes that the separate analysis and presentation of results for built-in products adequately addresses Sub Zero's concerns about the potential impacts on built-in manufacturers. DOE continues to believe that presenting the built-in analysis results separately from other categories is the most appropriate way to analyze the lower production volumes and different cost structure for built-in manufacturing.</P>
                    <P>
                        In the NOPR, DOE investigated whether small business manufacturers should be analyzed as a manufacturer subgroup. 75 FR at 59520, 59548 (September 27, 2010). As part of this effort, DOE identified one company that manufactures products covered by this rulemaking and qualifies as a small business under the applicable Small Business Administration (SBA) definition.
                        <SU>34</SU>
                        <FTREF/>
                         DOE did not analyze a separate subgroup of small business manufacturers in the NOPR because it determined this rulemaking would not have a significant economic impact on a substantial number of small entities. Id. at 59571-59572. DOE requested comment on this determination and sought any information concerning small businesses that could be impacted by this rulemaking as well as the nature and extent of those potential impacts of the proposed energy conservation standards on small residential refrigeration product manufacturers. Id. at 59572 and 59575. DOE received no information regarding these issues. DOE received comments from Whirlpool and Sub Zero that supported its initial classification of the number of small business manufacturers of residential refrigeration products. (Whirlpool No. 74, at p. 6; Sub Zero, No. 69 at p. 3) Therefore, the final rule continues to refrain from treating small business manufacturers as a manufacturer subgroup but also maintains the separate analysis and presentation of results for built-in products.
                    </P>
                    <FTNT>
                        <P>
                            <SU>34</SU>
                             See 
                            <E T="03">http://www.sba.gov/idc/groups/public/documents/sba_homepage/serv_sstd_tablepdf.pdf</E>
                             for a list of SBA size standards.
                        </P>
                    </FTNT>
                    <P>Sub Zero also commented that the proposed standards would have implications for their company. At the proposed built-in standard levels, it asserted that the company will be pressed to meet the necessary efficiency levels, remain a viable business, and achieve profitability. Sub Zero also argued that the new standards could also impact the number of products that meet high visibility programs such as ENERGY STAR and indicated that these challenges are in addition to attempting to recover from a difficult business environment. Sub Zero added that different regulations in other areas of the world, notably Canada and Europe, that involve more than energy and are not harmonized with U.S. requirements, pose significant challenges and noted that this regulatory burden is the biggest challenge for the future. (Sub Zero, No. 69 at p. 3) Sub Zero agreed that DOE's analysis presented in the NOPR confirms that new standards will impact built-in designs more stringently than conventional free-standing products to meet any given efficiency level. Sub Zero stated it was also concerned that built-ins be separated as distinct product classes with different efficiency levels from conventional product classes, in order to continue to offer consumers the utility they desire at reasonable added costs. (Sub Zero, No. 69 at pp. 1-2)</P>
                    <P>DOE agrees that manufacturers such as Sub Zero face challenges. For example, because Sub Zero holds a large market share of the premium, built-in market, DOE expects that a significant portion of the $65 million in product conversion costs and $55 million in capital conversion costs calculated for built-in product classes will be borne by Sub Zero. However, DOE believes that the INPV impacts calculated in the MIA analyze the potential impacts on built-in manufacturers due to amended energy conservation standards. This adjustment, along with providing separate product classes for built-in products to help preserve the utility that these products offer, will help mitigate the potential adverse financial impact that would result from this rule.</P>
                    <P>DOE also received a number of comments about possible refrigerant and blowing agent changes. Whirlpool, GE, and AHAM all noted possible changes to the regulatory landscape for the refrigerants available in residential refrigeration products. (Whirlpool, No. 74 at p. 4; GE, No. 76 at p. 2; AHAM, No. 73 at pp. 7-8) Sub Zero also highlighted the current uncertainty about potential future regulation of HFC refrigerants and blowing agents. It suggested that the industry could potentially be faced with enforced conversion to other substances by 2014, which would require significant additional capital investment. (Sub Zero, No. 69 at p. 4)</P>
                    <P>These comments are addressed above in section 0. Because these comments also relate to the cumulative regulatory burden, DOE reiterates that it concluded isobutane products may soon become available. However, DOE did not consider the switch to isobutane refrigerant as a design option to reduce energy use because sufficient information regarding the energy savings characteristics and the costs of the new designs was not available. DOE did not consider the possible capital investment needed by conversions to other substances by 2014 because DOE believes that basing energy conservation standards on the uncertain prospect of pending regulations or legislation would be speculative.</P>
                    <HD SOURCE="HD3">2. GRIM Key Inputs</HD>
                    <P>
                        The GRIM inputs are data characterizing the industry cost structure, investments, shipments, and markups. DOE updates the MIA to reflect changes in the outputs of two other key DOE analyses that feed into the GRIM: The engineering analysis and the NIA. For the final rule, DOE did not receive any relevant comments that would necessitate such changes to the engineering analysis. Similarly, DOE did not receive comments from interested parties that would change assumptions or shipments in the NIA. DOE did not request specific comment 
                        <PRTPAGE P="57557"/>
                        on the inputs to the MIA in the NOPR and is maintaining the same methodology for the final rule.
                    </P>
                    <P>For the final rule, DOE incorporated trends in prices over time into the analysis. These prices trends in every year also impact the MIA results. DOE used the same price trends in the NIA from the base year of the analysis through the end of the analysis period. DOE also assumed that manufacturer product costs (MPCs) and MSPs were similarly impacted by the price trends in both the base case and standards cases. See section 0 for a description of how DOE implemented price trends into the analysis. The other major GRIM assumptions and inputs that are not part of the engineering analysis or NIA are outlined below.</P>
                    <HD SOURCE="HD3">a. Product and Capital Conversion Costs</HD>
                    <P>Amended energy conservation standards will cause manufacturers to incur one-time conversion costs to bring their production facilities and product designs into compliance. For the MIA, DOE classified these one-time conversion costs into two major groups: (1) Product conversion costs and (2) capital conversion costs. Product conversion costs are one-time investments in research, development, testing, marketing, and other non-capitalized costs focused on making product designs comply with the amended energy conservation standard. Capital conversion costs are one-time investments in property, plant, and equipment to adapt or change existing production facilities so that new product designs can be fabricated and assembled.</P>
                    <P>DOE based its estimates of the product conversion costs that would be required to meet each TSL on information obtained from manufacturer interviews, the design pathways analyzed in the engineering analysis, and market information about the number of platform and product families for each manufacturer. DOE based its capital conversion cost estimates on manufacturer interviews and assumptions from the engineering analysis. 75 FR at 59521 (September 27, 2010). DOE's estimates of the product and capital conversion costs for all of the refrigeration products addressed in this rulemaking can be found in section 0, of today's final rule and in chapter 12 of the final rule TSD.</P>
                    <HD SOURCE="HD3">b. Markup Scenarios</HD>
                    <P>For the MIA, DOE modeled two standards-case markup scenarios to represent the uncertainty regarding the potential impacts on prices and profitability for manufacturers following the implementation of amended energy conservation standards: (1) A flat markup scenario, and (2) a preservation of operation profit scenario. These scenarios lead to different markup values, which, when applied to the inputted MPCs, result in varying revenue and cash flow impacts.</P>
                    <P>The flat markup scenario assumes that the cost of goods sold for each product is marked up by a flat percentage to cover standard SG&amp;A expenses, R&amp;D expenses, and profit. This scenario represents the upper bound of industry profitability in the standards case because manufacturers are able to fully pass through to their customers the additional costs due to compliance with applicable standards. DOE also modeled the preservation of operating profit markup scenario. In this scenario, the manufacturer markups are lowered such that, in the standards case, manufacturers are only able to maintain the base-case total operating profit in absolute dollars, despite higher product costs and investment. DOE implemented this scenario in GRIM by lowering the manufacturer markups at each TSL to yield approximately the same earnings before interest and taxes in the standards case in the year after the compliance date of the amended standards as in the base case. This scenario represents the lower bound of industry profitability following amended energy conservation standards because higher MPCs and the investments required to comply with the amended energy conservation standard do not yield additional operating profit. 75 FR at 59522 (September 27, 2010).</P>
                    <HD SOURCE="HD3">3. Manufacturer Interviews</HD>
                    <P>DOE interviewed manufacturers representing more than 95 percent of standard-size refrigerator-freezer sales, approximately 95 percent of standard-size freezer sales, about 75 percent of compact refrigerator and freezer sales, and more than 95 percent of built-in refrigeration products. These interviews were in addition to those DOE conducted as part of the engineering analysis. DOE outlined the key issues in the rulemaking for manufacturers in the NOPR. 75 FR at 59524-59526 (September 27, 2010).</P>
                    <HD SOURCE="HD2">J. Employment Impact Analysis</HD>
                    <P>DOE considers employment impacts in the domestic economy as one factor in selecting an amended standard. Employment impacts consist of direct and indirect impacts. Direct employment impacts are any changes in the number of employees of manufacturers of the appliance products that are the subject of this rulemaking, their suppliers, and related service firms. Indirect employment impacts are changes in national employment that occur due to the shift in expenditures and capital investment caused by the purchase and operation of more-efficient appliances. The MIA addresses the direct employment impacts that concern manufacturers of refrigeration products. The employment impact analysis addresses the indirect employment impacts.</P>
                    <P>Indirect employment impacts from standards consist of the net jobs created or eliminated in the national economy, other than in the manufacturing sector being regulated, due to: (1) Reduced spending by end users on energy; (2) reduced spending on new energy supplies by the utility industry; (3) increased spending on new products to which the new standards apply; and (4) the effects of those three factors throughout the economy. DOE expects the net monetary savings from standards to be redirected to other forms of economic activity. DOE also expects these shifts in spending and economic activity to affect the demand for labor in the short term, as explained below.</P>
                    <P>
                        One method for assessing the possible effects on the demand for labor of such shifts in economic activity is to compare sectoral employment statistics developed by the Labor Department's Bureau of Labor Statistics (BLS).
                        <SU>35</SU>
                        <FTREF/>
                         The BLS regularly publishes its estimates of the number of jobs per million dollars of economic activity in different sectors of the economy, as well as the jobs created elsewhere in the economy by this same economic activity. Data from BLS indicate that expenditures in the utility sector generally create fewer jobs (both directly and indirectly) than expenditures in other sectors of the economy. There are many reasons for these differences, including wage differences and the fact that the utility sector is more capital intensive and less labor intensive than other sectors.
                        <SU>36</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>35</SU>
                             Data on industry employment, hours, labor compensation, value of production, and the implicit price deflator for output for these industries are available upon request by calling the Division of Industry Productivity Studies (202-691-5618) or by sending a request by e-mail to 
                            <E T="03">dipsweb@bls.gov.</E>
                             Available at: 
                            <E T="03">http://www.bls.gov/news.release/prin1.nr0.htm.</E>
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>36</SU>
                             See Bureau of Economic Analysis, 
                            <E T="03">Regional Multipliers: A User Handbook for the Regional Input-Output Modeling System (RIMS II).</E>
                             Washington, DC. U.S. Department of Commerce, 1992.
                        </P>
                    </FTNT>
                    <P>
                        Energy conservation standards have the effect of reducing consumer utility bills. Because reduced consumer expenditures for energy likely lead to increased expenditures in other sectors 
                        <PRTPAGE P="57558"/>
                        of the economy, the general effect of efficiency standards is to shift economic activity from a less labor-intensive sector (
                        <E T="03">i.e.,</E>
                         the utility sector) to more labor-intensive sectors (
                        <E T="03">e.g.,</E>
                         the retail and service sectors). Thus, based on the BLS data alone, DOE believes net national employment will increase due to shifts in economic activity resulting from amended standards for refrigeration products.
                    </P>
                    <P>
                        For the standards considered in today's final rule, DOE estimated indirect national employment impacts using an input/output model of the U.S. economy called Impact of Sector Energy Technologies (ImSET). ImSET is a spreadsheet model of the U.S. economy that focuses on 187 sectors most relevant to industrial, commercial, and residential building energy use.
                        <SU>37</SU>
                        <FTREF/>
                         ImSET is a special purpose version of the “U.S. Benchmark National Input-Output” (I-O) model, which has been designed to estimate the national employment and income effects of energy-saving technologies. The ImSET software includes a computer-based I-O model with structural coefficients to characterize economic flows among the 187 sectors. ImSET's national economic I-O structure is based on a 2002 U.S. benchmark table, specially aggregated to the 187 sectors. DOE estimated changes in expenditures using the NIA spreadsheet. Using ImSET, DOE then estimated the net national, indirect employment impacts by sector of potential amended efficiency standards for refrigeration products.
                    </P>
                    <FTNT>
                        <P>
                            <SU>37</SU>
                             J. M. Roop, M. J. Scott, and R. W. Schultz, 
                            <E T="03">ImSET 3.1: Impact of Sector Energy Technologies,</E>
                             PNNL-18412, Pacific Northwest National Laboratory, 2009. Available at: 
                            <E T="03">http://www.pnl.gov/main/publications/external/technical_reports/PNNL-18412.pdf.</E>
                        </P>
                    </FTNT>
                    <P>For more details on the employment impact analysis, see the final rule TSD, chapter 13.</P>
                    <HD SOURCE="HD2">K. Utility Impact Analysis</HD>
                    <P>
                        The utility impact analysis estimates several important effects on the utility industry that would result from the adoption of new or amended standards. For both the NOPR final rule analyses, DOE used the NEMS-BT model to generate forecasts of electricity consumption, electricity generation by plant type, and electric generating capacity by plant type, that would result from each TSL. DOE obtained the energy savings inputs associated with efficiency improvements to considered products from the NIA. DOE conducts the utility impact analysis as a scenario that departs from the latest 
                        <E T="03">AEO2010</E>
                         Reference case. In other words, the estimated impacts of an amended standard are the differences between values forecasted by NEMS-BT and the values in the 
                        <E T="03">AEO2010</E>
                         Reference case.
                    </P>
                    <P>As part of the utility impact analysis, DOE used NEMS-BT to assess the impacts on electricity prices of the reduced need for new electric power plants and infrastructure projected to result from the considered standards. In NEMS-BT, changes in power generation infrastructure affect utility revenue requirements, which in turn affect electricity prices. DOE estimated the change in electricity prices projected to result over time from each TSL.</P>
                    <P>Chapter 14 of the final rule TSD presents more information on the utility impact analysis.</P>
                    <HD SOURCE="HD2">L. Environmental Assessment</HD>
                    <P>Pursuant to the National Environmental Policy Act and the requirements of 42 U.S.C. 6295(o)(2)(B)(i)(VI), DOE has prepared an environmental assessment (EA) of the impacts of the standards for refrigeration products in today's final rule, which it has included as chapter 15 of the TSD. DOE found that the environmental effects associated with the standards for refrigeration products were not significant. Therefore, DOE is issuing a Finding of No Significant Impact (FONSI), pursuant to NEPA, the regulations of the Council on Environmental Quality (40 CFR parts 1500-1508), and DOE's regulations for compliance with NEPA (10 CFR part 1021). The FONSI is available in the docket for this rulemaking.</P>
                    <P>
                        In the EA, DOE estimated the reduction in power sector emissions of CO
                        <E T="52">2</E>
                        , NO
                        <E T="52">X</E>
                        , and Hg using the NEMS-BT computer model. In the EA, NEMS-BT is run similarly to the AEO NEMS, except that refrigeration product energy use is reduced by the amount of energy saved (by fuel type) due to each TSL. The inputs of national energy savings come from the NIA spreadsheet model, while the output is the forecasted physical emissions. The net benefit of each TSL in today's final rule is the difference between the forecasted emissions estimated by NEMS-BT at each TSL and the AEO 2010 Reference Case. NEMS-BT tracks CO
                        <E T="52">2</E>
                         emissions using a detailed module that provides results with broad coverage of all sectors and inclusion of interactive effects.
                    </P>
                    <P>
                        DOE has determined that SO
                        <E T="52">2</E>
                         emissions from affected fossil fuel fired combustion devices (also known as Electric Generating Units (EGUs)) are subject to nationwide and regional emissions cap and trading programs that create uncertainty about the standards' impact on SO
                        <E T="52">2</E>
                         emissions. Title IV of the Clean Air Act, 42 U.S.C. 7401-7671q, sets an annual emissions cap on SO
                        <E T="52">2</E>
                         for affected EGUs in the 48 contiguous states and the District of Columbia (D.C.). SO
                        <E T="52">2</E>
                         emissions from 28 eastern states and DC are also limited under the Clean Air Interstate Rule (CAIR, 70 FR 25162 (May 12, 2005)), which created an allowance-based trading program. Although CAIR has been remanded to EPA by the U.S. Court of Appeals for the District of Columbia Circuit (D.C. Circuit), see 
                        <E T="03">North Carolina</E>
                         v. 
                        <E T="03">EPA,</E>
                         550 F.3d 1176 (D.C. Cir. 2008), it remains in effect temporarily, consistent with the D.C. Circuit's earlier opinion in 
                        <E T="03">North Carolina</E>
                         v. 
                        <E T="03">EPA,</E>
                         531 F.3d 896 (D.C. Cir. 2008). On August 2, 2010, EPA issued the Transport Rule proposal, a replacement for CAIR, which would limit emissions from EGUs in 32 states, and may allow some amount of interstate trading. 75 FR 45210. EPA issued the final transport rule, entitled the Cross-State Air Pollution Rule, on July 6, 2011.
                        <SU>38</SU>
                        <FTREF/>
                         See 
                        <E T="03">http://www.epa.gov/crossstaterule/.</E>
                    </P>
                    <FTNT>
                        <P>
                            <SU>38</SU>
                             DOE notes that future iterations of the NEMS-BT model will incorporate any changes necessitated by issuance of the Cross-State Air Pollution Rule.
                        </P>
                    </FTNT>
                    <P>
                        The attainment of emissions caps is typically flexible among EGUs and is enforced through the use of emissions allowances and tradable permits. Under existing EPA regulations, any excess SO
                        <E T="52">2</E>
                         emissions allowances resulting from the lower electricity demand caused by the imposition of an efficiency standard could be used to permit offsetting increases in SO
                        <E T="52">2</E>
                         emissions by any regulated EGU. However, if the standard resulted in a permanent increase in the quantity of unused emissions allowances, there would be an overall reduction in SO
                        <E T="52">2</E>
                         emissions from the standards. While there remains some uncertainty about the ultimate effects of efficiency standards on SO
                        <E T="52">2</E>
                         emissions covered by the existing cap and trade system, the NEMS-BT modeling system that DOE uses to forecast emissions reductions currently indicates that no physical reductions in power sector emissions would occur for SO
                        <E T="52">2</E>
                        . Because the Transport Rule has not been finalized, there is no way to predict the effect of this rulemaking on SO
                        <E T="52">2</E>
                         emissions after the Transport Rule goes into effect.
                    </P>
                    <P>
                        A cap on NO
                        <E T="52">X</E>
                         emissions, affecting electric generating units in the CAIR region, means that standards on refrigeration products may have little or no physical effect on NO
                        <E T="52">X</E>
                         emissions in the 28 eastern States and the District of Columbia covered by CAIR. Again, as noted above, because the Transport Rule has not been finalized, there is no way to predict the effect of this rulemaking 
                        <PRTPAGE P="57559"/>
                        on NOx emissions after the Transport Rule goes into effect.
                    </P>
                    <P>
                        Today's standards would, however, reduce NO
                        <E T="52">X</E>
                         emissions in those 22 States not affected by the CAIR. As a result, DOE used NEMS-BT to forecast emission reductions from the standards that are considered in today's final rule.
                    </P>
                    <P>
                        Similar to emissions of SO
                        <E T="52">2</E>
                         and NO
                        <E T="52">X</E>
                        , future emissions of Hg would have been subject to emissions caps. In May 2005, EPA issued the Clean Air Mercury Rule (CAMR). 70 FR 28606 (May 18, 2005). CAMR would have permanently capped emissions of mercury for new and existing coal-fired power plants in all States by 2010. However, on February 8, 2008, the DC Circuit issued a decision in 
                        <E T="03">New Jersey</E>
                         v. 
                        <E T="03">Environmental Protection Agency,</E>
                         in which it vacated CAMR. 517 F.3d 574 (D.C. Cir. 2008). EPA has decided to develop emissions standards for power plants under the Clean Air Act (Section 112), consistent with the DC Circuit's opinion on CAMR. See 
                        <E T="03">http://www.epa.gov/air/mercuryrule/pdfs/certpetition_withdrawal.pdf.</E>
                         Pending EPA's forthcoming revisions to the rule, DOE is excluding CAMR from its Environmental Analysis. In the absence of CAMR, a DOE standard would likely reduce Hg emissions and DOE plans to use NEMS-BT to estimate these emission reductions. However, DOE continues to review the impact of rules that reduce energy consumption on Hg emissions, and may revise its assessment of Hg emission reductions in future rulemakings.
                    </P>
                    <HD SOURCE="HD2">M. Monetizing Carbon Dioxide and Other Emissions Impacts</HD>
                    <P>
                        As part of the development of this final rule, DOE considered the estimated monetary benefits likely to result from the reduced emissions of CO
                        <E T="52">2</E>
                         and NO
                        <E T="52">X</E>
                         that are expected to result from each of the TSLs considered. In order to make this calculation similar to the calculation of the NPV of consumer benefit, DOE considered the reduced emissions expected to result over the lifetime of products shipped in the forecast period for each TSL. This section summarizes the basis for the monetary values used for each of these emissions and presents the benefits estimates considered.
                    </P>
                    <P>For today's final rule, DOE is relying on a set of values for the social cost of carbon (SCC) that were developed by an interagency process. A summary of the basis for these new values is provided below, and a more detailed description of the methodologies used is provided in appendix 16-A of the final rule TSD.</P>
                    <HD SOURCE="HD3">1. Social Cost of Carbon</HD>
                    <P>
                        Under Executive Order 12866, agencies must, to the extent permitted by law, “assess both the costs and the benefits of the intended regulation and, recognizing that some costs and benefits are difficult to quantify, propose or adopt a regulation only upon a reasoned determination that the benefits of the intended regulation justify its costs.” The purpose of the SCC estimates presented here is to allow agencies to incorporate the monetized social benefits of reducing CO
                        <E T="52">2</E>
                         emissions into cost-benefit analyses of regulatory actions that have small, or “marginal,” impacts on cumulative global emissions. The estimates are presented with an acknowledgement of the many uncertainties involved and with a clear understanding that they should be updated over time to reflect increasing knowledge of the science and economics of climate impacts.
                    </P>
                    <P>As part of the interagency process that developed these SCC estimates, technical experts from numerous agencies met on a regular basis to consider public comments, explore the technical literature in relevant fields, and discuss key model inputs and assumptions. The main objective of this process was to develop a range of SCC values using a defensible set of input assumptions grounded in the existing scientific and economic literatures. In this way, key uncertainties and model differences transparently and consistently inform the range of SCC estimates used in the rulemaking process.</P>
                    <HD SOURCE="HD3">a. Monetizing Carbon Dioxide Emissions</HD>
                    <P>The SCC is an estimate of the monetized damages associated with an incremental increase in carbon emissions in a given year. It is intended to include (but is not limited to) changes in net agricultural productivity, human health, property damages from increased flood risk, and the value of ecosystem services. Estimates of the social cost of carbon are provided in dollars per metric ton of carbon dioxide.</P>
                    <P>
                        When attempting to assess the incremental economic impacts of carbon dioxide emissions, the analyst faces a number of serious challenges. A recent report from the National Research Council 
                        <SU>39</SU>
                        <FTREF/>
                         points out that any assessment will suffer from uncertainty, speculation, and lack of information about (1) Future emissions of greenhouse gases, (2) the effects of past and future emissions on the climate system, (3) the impact of changes in climate on the physical and biological environment, and (4) the translation of these environmental impacts into economic damages. As a result, any effort to quantify and monetize the harms associated with climate change will raise serious questions of science, economics, and ethics and should be viewed as provisional.
                    </P>
                    <FTNT>
                        <P>
                            <SU>39</SU>
                             National Research Council. 
                            <E T="03">Hidden Costs of Energy: Unpriced Consequences of Energy Production and Use.</E>
                             National Academies Press: Washington, DC. 2009.
                        </P>
                    </FTNT>
                    <P>Despite the serious limits of both quantification and monetization, SCC estimates can be useful in estimating the social benefits of reducing carbon dioxide emissions. Consistent with the directive quoted above, the purpose of the SCC estimates presented here is to make it possible for agencies to incorporate the social benefits from reducing carbon dioxide emissions into cost-benefit analyses of regulatory actions that have small, or “marginal,” impacts on cumulative global emissions. Most Federal regulatory actions can be expected to have marginal impacts on global emissions.</P>
                    <P>For such policies, the agency can estimate the benefits from reduced (or costs from increased) emissions in any future year by multiplying the change in emissions in that year by the SCC value appropriate for that year. The net present value of the benefits can then be calculated by multiplying each of these future benefits by an appropriate discount factor and summing across all affected years. This approach assumes that the marginal damages from increased emissions are constant for small departures from the baseline emissions path, an approximation that is reasonable for policies that have effects on emissions that are small relative to cumulative global carbon dioxide emissions. For policies that have a large (non-marginal) impact on global cumulative emissions, there is a separate question of whether the SCC is an appropriate tool for calculating the benefits of reduced emissions. DOE does not attempt to answer that question here.</P>
                    <P>
                        At the time of the preparation of the notice, the most recent interagency estimates of the potential global benefits resulting from reduced CO
                        <E T="52">2</E>
                         emissions in 2010, expressed in 2009$, were $4.9, $22.1, $36.3, and $67.1 per metric ton avoided. For emission reductions that occur in later years, these values grow in real terms over time. Additionally, the interagency group determined that a range of values from 7 percent to 23 percent should be used to adjust the global SCC to calculate domestic 
                        <PRTPAGE P="57560"/>
                        effects,
                        <SU>40</SU>
                        <FTREF/>
                         although preference is given to consideration of the global benefits of reducing CO
                        <E T="52">2</E>
                         emissions.
                    </P>
                    <FTNT>
                        <P>
                            <SU>40</SU>
                             It is recognized that this calculation for domestic values is approximate, provisional, and highly speculative. There is no a priori reason why domestic benefits should be a constant fraction of net global damages over time.
                        </P>
                    </FTNT>
                    <P>It is important to emphasize that the interagency process is committed to updating these estimates as the science and economic understanding of climate change and its impacts on society improves over time. Specifically, the interagency group has set a preliminary goal of revisiting the SCC values within two years or at such time as substantially updated models become available, and to continue to support research in this area. In the meantime, the interagency group will continue to explore the issues raised by this analysis and consider public comments as part of the ongoing interagency process.</P>
                    <HD SOURCE="HD3">b. Social Cost of Carbon Values Used in Past Regulatory Analyses</HD>
                    <P>
                        To date, economic analyses for Federal regulations have used a wide range of values to estimate the benefits associated with reducing carbon dioxide emissions. In the final model year 2011 CAFE rule, the Department of Transportation (DOT) used both a “domestic” SCC value of $2 per ton of CO
                        <E T="52">2</E>
                         and a “global” SCC value of $33 per ton of CO
                        <E T="52">2</E>
                         for 2007 emission reductions (in 2007 dollars), increasing both values at 2.4 percent per year.
                        <SU>41</SU>
                        <FTREF/>
                         See 
                        <E T="03">Average Fuel Economy Standards Passenger Cars and Light Trucks Model Year 2011,</E>
                         74 FR 14196 (March 30, 2009); Final Environmental Impact Statement Corporate Average Fuel Economy Standards, Passenger Cars and Light Trucks, Model Years 2011-2015 at 3-90 (Oct. 2008) (Available at: 
                        <E T="03">http://www.nhtsa.gov/fuel-economy</E>
                        ). It also included a sensitivity analysis at $80 per ton of CO
                        <E T="52">2</E>
                        . A domestic SCC value is meant to reflect the value of damages in the United States resulting from a unit change in carbon dioxide emissions, while a global SCC value is meant to reflect the value of damages worldwide.
                    </P>
                    <FTNT>
                        <P>
                            <SU>41</SU>
                             Values per ton of CO
                            <E T="52">2</E>
                             given in this section refer to metric tons.
                        </P>
                    </FTNT>
                    <P>
                        A 2008 regulation proposed by DOT assumed a domestic SCC value of $7 per ton of CO
                        <E T="52">2</E>
                         (in 2006 dollars) for 2011 emission reductions (with a range of $0-$14 for sensitivity analysis), also increasing at 2.4 percent per year. See 
                        <E T="03">Average Fuel Economy Standards, Passenger Cars and Light Trucks, Model Years 2011-2015,</E>
                         73 FR 24352 (May 2, 2008); Draft Environmental Impact Statement Corporate Average Fuel Economy Standards, Passenger Cars and Light Trucks, Model Years 2011-2015 at 3-58 (June 2008) (Available at: 
                        <E T="03">http://www.nhtsa.gov/fuel-economy</E>
                        ). A regulation for packaged terminal air conditioners and packaged terminal heat pumps finalized by DOE in October of 2008 used a domestic SCC range of $0 to $20 per ton CO
                        <E T="52">2</E>
                         for 2007 emission reductions (in 2007 dollars). 73 FR 58772, 58814 (Oct. 7, 2008) In addition, EPA's 2008 Advance Notice of Proposed Rulemaking for Greenhouse Gases identified what it described as “very preliminary” SCC estimates subject to revision. See 
                        <E T="03">Regulating Greenhouse Gas Emissions Under the Clean Air Ac</E>
                        t, 73 FR 44354 (July 30, 2008). EPA's global mean values were $68 and $40 per ton CO
                        <E T="52">2</E>
                         for discount rates of approximately 2 percent and 3 percent, respectively (in 2006 dollars for 2007 emissions).
                    </P>
                    <P>
                        In 2009, an interagency process was initiated to offer a preliminary assessment of how best to quantify the benefits from reducing carbon dioxide emissions. To ensure consistency in how benefits are evaluated across agencies, the Administration sought to develop a transparent and defensible method, specifically designed for the rulemaking process, to quantify avoided climate change damages from reduced CO
                        <E T="52">2</E>
                         emissions. The interagency group did not undertake any original analysis. Instead, it combined SCC estimates from the existing literature to use as interim values until a more comprehensive analysis could be conducted. The outcome of the preliminary assessment by the interagency group was a set of five interim values: Global SCC estimates for 2007 (in 2006 dollars) of $55, $33, $19, $10, and $5 per ton of CO
                        <E T="52">2</E>
                        .
                    </P>
                    <P>
                        These interim values represent the first sustained interagency effort within the U.S. government to develop an SCC for use in regulatory analysis. The results of this preliminary effort were presented in several proposed and final rules and were offered for public comment in connection with proposed rules, including the joint EPA-DOT fuel economy and CO
                        <E T="52">2</E>
                         tailpipe emission proposed rules. See CAFE Rule for Passenger Cars and Light Trucks Draft EIS and Final EIS, cited above.
                    </P>
                    <HD SOURCE="HD3">c. Current Approach and Key Assumptions</HD>
                    <P>Since the release of the interim values, the interagency group reconvened on a regular basis to generate improved SCC estimates considered for this amended rule. Specifically, the group considered public comments and further explored the technical literature in relevant fields.</P>
                    <P>
                        The interagency group relied on three integrated assessment models (IAMs) commonly used to estimate the SCC: The FUND, DICE, and PAGE models.
                        <SU>42</SU>
                        <FTREF/>
                         These models are frequently cited in the peer-reviewed literature and were used in the last assessment of the Intergovernmental Panel on Climate Change. Each model was given equal weight in the SCC values that were developed.
                    </P>
                    <FTNT>
                        <P>
                            <SU>42</SU>
                             The models are described in appendix 16-A of the final rule TSD.
                        </P>
                    </FTNT>
                    <P>Each model takes a slightly different approach to model how changes in emissions result in changes in economic damages. A key objective of the interagency process was to enable a consistent exploration of the three models while respecting the different approaches to quantifying damages taken by the key modelers in the field. An extensive review of the literature was conducted to select three sets of input parameters for these models: Climate sensitivity, socio-economic and emissions trajectories, and discount rates. A probability distribution for climate sensitivity was specified as an input into all three models. In addition, the interagency group used a range of scenarios for the socio-economic parameters and a range of values for the discount rate. All other model features were left unchanged, relying on the model developers' best estimates and judgments.</P>
                    <P>
                        The interagency group selected four SCC values for use in regulatory analyses. Three values are based on the average SCC from the three IAMs, at discount rates of 2.5, 3, and 5 percent. The fourth value, which represents the 95th percentile SCC estimate across all three models at a 3 percent discount rate, is included to represent higher-than-expected impacts from temperature change further out in the tails of the SCC distribution. For emissions (or emission reductions) that occur in later years, the SCC values grow in real terms over time, as depicted in Table IV.7.
                        <PRTPAGE P="57561"/>
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>Table IV.7—SCC Values From Interagency Process, 2010-2050 </TTITLE>
                        <TDESC>[2007 Dollars per metric ton]</TDESC>
                        <BOXHD>
                            <CHED H="1">Discount rate</CHED>
                            <CHED H="2"> </CHED>
                            <CHED H="2"> 5% Avg</CHED>
                            <CHED H="2"> 3% Avg</CHED>
                            <CHED H="2"> 2.5% Avg</CHED>
                            <CHED H="2">3% 95th</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">2010</ENT>
                            <ENT>4.7</ENT>
                            <ENT>21.4</ENT>
                            <ENT>35.1</ENT>
                            <ENT>64.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2015</ENT>
                            <ENT>5.7</ENT>
                            <ENT>23.8</ENT>
                            <ENT>38.4</ENT>
                            <ENT>72.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2020</ENT>
                            <ENT>6.8</ENT>
                            <ENT>26.3</ENT>
                            <ENT>41.7</ENT>
                            <ENT>80.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2025</ENT>
                            <ENT>8.2</ENT>
                            <ENT>29.6</ENT>
                            <ENT>45.9</ENT>
                            <ENT>90.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2030</ENT>
                            <ENT>9.7</ENT>
                            <ENT>32.8</ENT>
                            <ENT>50.0</ENT>
                            <ENT>100.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2035</ENT>
                            <ENT>11.2</ENT>
                            <ENT>36.0</ENT>
                            <ENT>54.2</ENT>
                            <ENT>109.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2040</ENT>
                            <ENT>12.7</ENT>
                            <ENT>39.2</ENT>
                            <ENT>58.4</ENT>
                            <ENT>119.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2045</ENT>
                            <ENT>14.2</ENT>
                            <ENT>42.1</ENT>
                            <ENT>61.7</ENT>
                            <ENT>127.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2050</ENT>
                            <ENT>15.7</ENT>
                            <ENT>44.9</ENT>
                            <ENT>65.0</ENT>
                            <ENT>136.2</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>It is important to recognize that a number of key uncertainties remain, and that current SCC estimates should be treated as provisional and revisable since they will evolve with improved scientific and economic understanding. The interagency group also recognizes that the existing models are imperfect and incomplete. The National Research Council report mentioned above points out that there is tension between the goal of producing quantified estimates of the economic damages from an incremental ton of carbon and the limits of existing efforts to model these effects. There are a number of concerns and problems that should be addressed by the research community, including research programs housed in many of the agencies participating in the interagency process to estimate the SCC.</P>
                    <P>The U.S. Government intends to periodically review and reconsider estimates of the SCC used for cost-benefit analyses to reflect increasing knowledge of the science and economics of climate impacts, as well as improvements in modeling. In this context, statements recognizing the limitations of the analysis and calling for further research take on exceptional significance. The interagency group offers the new SCC values with all due humility about the uncertainties embedded in them and with a sincere promise to continue work to improve them.</P>
                    <P>
                        In summary, in considering the potential global benefits resulting from reduced CO
                        <E T="52">2</E>
                         emissions, DOE used the most recent values identified by the interagency process, adjusted to 2009$ using the GDP price deflator values for 2008 and 2009. For each of the four cases specified, the values used for emissions in 2010 were $4.9, $22.1, $36.3, and $67.1 per metric ton avoided (values expressed in 2009$). To monetize the CO
                        <E T="52">2</E>
                         emissions reductions expected to result from amended standards for refrigeration products in 2014-2043, DOE used the values identified in Table A1 of the “Social Cost of Carbon for Regulatory Impact Analysis Under Executive Order 12866,” which is reprinted in appendix 15-A of the final rule TSD, appropriately escalated to 2009$.
                        <SU>43</SU>
                        <FTREF/>
                         To calculate a present value of the stream of monetary values, DOE discounted the values in each of the four cases using the specific discount rate that had been used to obtain the SCC values in each case.
                    </P>
                    <FTNT>
                        <P>
                            <SU>43</SU>
                             Table A1 presents SCC values through 2050. For DOE's calculation, it derived values after 2050 using the 3-percent per year escalation rate used by the interagency group.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">2. Valuation of Other Emissions Reductions</HD>
                    <P>
                        DOE investigated the potential monetary benefit of reduced NO
                        <E T="52">X</E>
                         emissions from the TSLs it considered. As noted above, new or amended energy conservation standards would reduce NO
                        <E T="52">X</E>
                         emissions in those 22 States that are not affected by the CAIR. DOE estimated the monetized value of NO
                        <E T="52">X</E>
                         emissions reductions resulting from each of the TSLs considered for today's NOPR based on environmental damage estimates from the literature. Available estimates suggest a very wide range of monetary values, ranging from $370 per ton to $3,800 per ton of NO
                        <E T="52">X</E>
                         from stationary sources, measured in 2001$ (equivalent to a range of $447 to $4,591 per ton in 2009$).
                        <SU>44</SU>
                        <FTREF/>
                         In accordance with OMB guidance, DOE conducted two calculations of the monetary benefits derived using each of the economic values used for NO
                        <E T="52">X</E>
                        , one using a real discount rate of 3 percent and another using a real discount rate of 7 percent.
                        <SU>45</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>44</SU>
                             For additional information, refer to U.S. Office of Management and Budget, Office of Information and Regulatory Affairs, “2006 Report to Congress on the Costs and Benefits of Federal Regulations and Unfunded Mandates on State, Local, and Tribal Entities,” Washington, DC.
                        </P>
                    </FTNT>
                    <FTNT>
                        <P>
                            <SU>45</SU>
                             OMB, Circular A-4: Regulatory Analysis (Sept. 17, 2003).
                        </P>
                    </FTNT>
                    <P>DOE is aware of multiple agency efforts to determine the appropriate range of values used in evaluating the potential economic benefits of reduced Hg emissions. DOE has decided to await further guidance regarding consistent valuation and reporting of Hg emissions before it once again monetizes Hg in its rulemakings.</P>
                    <HD SOURCE="HD1">V. Discussion of Other Comments</HD>
                    <P>The following section discusses comments received by DOE related to other issues. In general, these issues involved subjects that generally fell outside of the framework described in detail above.</P>
                    <HD SOURCE="HD2">A. Demand Response</HD>
                    <P>This section discusses comments received regarding demand response or smart grid controls. These are controls that can react to signals from utilities or other external organizations and alter the product's operation. This capability might be used to allow utilities to reduce energy use during peak demand hours by reducing the power input of many connected appliances.</P>
                    <P>
                        DOE received comments on this topic during the preliminary analysis phase from LG, the U.S. Navy, and the IOUs. (LG, No. 44 at p. 5; USN, No. 35 at p. 2; IOUs, No. 39 at p. 13). DOE explained in the NOPR that it did not consider a demand response feature, in part because of the uncertainty of overall benefits and the limitations of the legal framework under which DOE would be able to pursue such a design requirement approach. 75 FR at 59530 (September 27, 2010)
                        <E T="03">.</E>
                    </P>
                    <P>
                        AHAM disagreed with DOE's conclusion that demand response would not contribute significantly to energy use. (AHAM, No. 73 at p. 9) However, AHAM's comments did not provide any information quantifying the potential energy savings associated with implementation of demand response in refrigeration products. The highlighted conclusions of the Electric Power 
                        <PRTPAGE P="57562"/>
                        Research Institute study cited by AHAM do not even explicitly indicate that refrigeration product demand response contributed to energy savings. (Id.) AHAM further indicates that demand response applied to appliances including refrigeration products would help to enable use of renewable energy sources. (AHAM, No. 73 at pp. 9-10)
                    </P>
                    <P>
                        DOE notes that this rulemaking involves the amending of an energy conservation standard for refrigeration products. The term “energy conservation standard” is defined as either a performance standard that prescribes a minimum level of energy efficiency or maximum amount of energy use or a design standard for certain specified products. As DOE stated previously, creating a design standard as an energy conservation standard is limited to specific enumerated consumer products under 42 U.S.C. 6291(6). See 75 FR at 59530 (September 27, 2010). Since setting a demand response feature requirement would be the same as setting a design standard, DOE must look to those products for which it has the authority to set design standards. As DOE also pointed out, refrigeration products are not within this list. Commenters made no effort to challenge the validity of this view, citing instead to policy-related initiatives that highlighted the potential benefits associated with smart grid approaches. While the issues cited by commenters are clearly important issues, they do not obviate the requirement that DOE act within the boundaries of its authority within the context of this rulemaking. Accordingly, DOE did not incorporate a demand response feature requirement as part of today's final rule.
                        <SU>46</SU>
                        <FTREF/>
                    </P>
                    <FTNT>
                        <P>
                            <SU>46</SU>
                             The inclusion of a demand response feature within these products would also require considerable analysis for which DOE has no data.
                        </P>
                    </FTNT>
                    <HD SOURCE="HD2">B. Energy Standard Round-Off</HD>
                    <P>The NOPR discussed the adoption of a round-off when reporting energy test results. This approach, explained in greater detail in the test procedure NOPR, would require manufacturers to report the measured energy consumption to the nearest kWh/year based on consideration of achievable measurement accuracy. 75 FR at 29849 (May 27, 2010). The energy standard NOPR explained that similar round-off was necessary to avoid meaningless indications of non-compliance. DOE also requested comment on the implementation of energy standard round-off. 75 FR at 59570 (September 27, 2010).</P>
                    <P>AHAM supported using a round-off when calculating the energy standard using the energy standard equations for refrigeration products. (AHAM, Public Meeting Transcript, No. 67 at p. 94; AHAM, No. 73 at p. 10) Whirlpool concurred with this approach. (Whirlpool, No. 74 at p. 6) No commenter objected to the round-off approach.</P>
                    <P>DOE has implemented the energy use round-off approach as part of the test procedure final rule. As a result, manufacturers must follow this approach when reporting the energy consumption of its refrigeration products. The test procedure rule includes a round-off for the calculation of the energy standard when using the appropriate energy standard equations. See 75 FR at 78831-78832 (December 16, 2010).</P>
                    <HD SOURCE="HD2">C. Trial Standard Levels and Proposed Standards</HD>
                    <HD SOURCE="HD3">1. Efficiency Levels</HD>
                    <P>Many stakeholders supported DOE's selection of efficiency levels that mirrored the levels of the negotiated agreement. (AHAM, No. 73 at p. 1; IOUs, No. 77 at p. 1; PGEC, No. 68 at p. 1; JAC, No. 75 at p. 1) Sub Zero supported the selection of efficiency levels for built-ins that mirrored the negotiated agreement while indicating that the analyses suggest that less stringent levels would also have been appropriate. (Sub Zero, No. 69 at p. 5) Whirlpool supported the selection of efficiency levels for built-in products, subject to DOE's adoption of the built-in product definition developed for the consensus agreement. (Whirlpool, No. 74 at p. 6)</P>
                    <P>However, concerns about the negotiated levels for numerous products were expressed by other stakeholders, primarily utilities and organizations representing utilities. EEI and APPA expressed concern about the standard levels chosen for bottom-mount refrigerator-freezers, built-in bottom-mount refrigerator-freezers, and compact refrigerators and did not endorse the standard levels chosen for top-mount refrigerator-freezers, side-by-side refrigerator-freezers, built-in all-refrigerators, built-in side-by-side refrigerators, and built-in upright freezers. (EEI, No. 71 at pp. 3-4; APPA, No. 72 at pp. 2-3) SC expressed concern about selection of any standard levels above the levels of reasonable life cycle costs . (SC, No. 70 at p. 2) These concerns are based on (1) the percentage of consumers determined to experience life cycle cost benefits being uncertain or too high, and (2) the implication that DOE used the social cost of carbon dioxide emissions combined with consumer economics to justify the chosen standard levels. (EEI, No. 71 at p. 2; APPA, No. 72 at pp. 1-2; SC, No. 70 at p. 2) Moreover, SC argued that replacement of an older refrigerator with one meeting the current 2001 standard would save 23 times more energy. (SC, No. 70 at p. 2)</P>
                    <P>Responding to the concern about the percentage of consumers determined to experience a net life cycle cost, DOE must consider a range of factors in setting efficiency levels (see section II.A), and for almost all product classes, the net savings per consumer is positive.</P>
                    <P>Regarding the implication that DOE used the societal cost of carbon dioxide emissions to help justify the chosen standard levels, DOE did not, in fact, combine the societal cost of carbon with consumer economics in any of its calculations, but rather considered the positive benefit of reducing the societal cost of carbon, as part of a general assessment of environmental benefits, in making its final determination. Environmental benefits are an important rationale for national energy conservation, especially because the energy prices paid by consumers do not include some of the environmental costs associated with their use of energy. Energy savings from energy conservation standards often result in environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases associated with energy production. DOE analyzed the environmental effects from the amended standards for refrigeration products, and from each TSL it considered, in the environmental assessment, which is described in section IV.L of this notice and in chapter 15 of the TSD. As a companion to the quantitative analysis in the environmental assessment, DOE also estimated a range of the economic value of emissions reductions resulting from the considered TSLs, as described in section IV.M of this notice.</P>
                    <P>With respect to the replacement of old refrigerators in lieu of a more stringent standard, this case was considered as an alternative regulatory policy in chapter 16 of the TSD. DOE found that the impact of such a policy would be, in all cases, much less effective than a new standard.</P>
                    <P>
                        The PRC commented that the maximum energy use of the proposed standards was lower than the current ENERGY STAR levels for product classes 8, 9, 10, 10A, and 13A, suggested that the current ENERGY STAR levels reflect current advanced technologies and achieve the purpose of “protection of the environment and consumers”, 
                        <PRTPAGE P="57563"/>
                        and recommended that the maximum allowable energy use be no lower than the current ENERGY STAR levels. (PRC, No. 87 at p. 3) In response, DOE first notes that ENERGY STAR is a voluntary program. As such, manufacturers do not need to meet these levels unless they wish to produce ENERGY STAR-qualified products. Second, DOE is required by EPCA to consider all feasible technology levels, regardless of whether they represent less energy use than current ENERGY STAR levels, and to set a standard at the most efficient and feasible level that is economically justified. (42 U.S.C. 6295(o)(2)(A)) Accordingly, the non-mandatory nature of ENERGY STAR, coupled with the mandatory nature of EPCA's statutory requirement to promulgate new standards cut in favor of today's action.
                    </P>
                    <P>The PRC also commented that the standard levels proposed for product classes 5A, 6, 7, and 7-BI were not very stringent, being very close to their current standard levels expressed in kWh/year, even though the ENERGY STAR efficiency level has been set at a level representing 20 percent less energy consumption. The PRC provided an example of a product class 7 product with 500 liter adjusted volume, for which the proposed energy standard is 581.1 kWh/year, while the current standard is only slightly higher at 283.7 kWh/year. (PRC, No. 87 at p. 4) DOE believes that the PRC's 283.7 kWh/year value is in error and should have been 583.7 kWh/year. DOE notes that these values cannot be directly compared, because the new energy standard is based on the new test procedure, for which both measured energy use and the calculated adjusted volume are altered.</P>
                    <P>SMUD made two comments regarding the selection of standard levels. First, SMUD noted that DOE indicated that it was considering either increasing or decreasing the stringency of the proposed levels based on stakeholder comments. It recommended that DOE not consider any decreased stringency. (SMUD, No. 88 at pp. 1, 2) DOE has not altered the standards from those proposed in the NOPR. Second, SMUD noted that the NOPR stated that products of the efficiency levels of the proposed standards are already commercially available for some, if not most, of the product classes. (See 75 FR at 59474 (September 27, 2010)) SMUD recommended moving the standards to efficiency levels more stringent than those of commercially available products, since these higher levels should be viable. (Id. at p. 2) As described above, DOE is required by EPCA to consider all feasible technology levels and that it must set the standard at the most efficient of these feasible levels that is economically justified. (42 U.S.C. 6295(o)(2)(A)) The commercial availability of products at a specific efficiency level, alone, is not sufficient justification for setting the standard at a more stringent efficiency level, since the more stringent level may not be economically justified.</P>
                    <HD SOURCE="HD3">2. Maximum Energy Use Equations</HD>
                    <P>Several stakeholders indicated that they could not comment on the specific values represented by the maximum energy use equations because they did not have sufficient time after the issuance of the test procedure final/interim final rule to conduct tests to evaluate the equation levels. (AHAM, No. 73 at pp. 1-2 ; Whirlpool, No. 74 at p. ; GE, No. 76 at pp. 1-2) This is discussed in greater detail in section 0.</P>
                    <HD SOURCE="HD1">VI. Analytical Results</HD>
                    <P>The following section addresses the results from DOE's analyses with respect to potential energy efficiency standards for the various product classes examined as part of this rulemaking. Issues discussed include the trial standard levels examined by DOE, the projected impacts of each of these levels if adopted as energy efficiency standards for refrigeration products, and the standards levels that DOE is adopting in today's final rule. Additional details regarding the analyses conducted by the agency are contained in the publicly available TSD supporting this rulemaking.</P>
                    <HD SOURCE="HD2">A. Trial Standard Levels</HD>
                    <P>DOE analyzed the benefits and burdens of a number of TSLs for the refrigeration products that are the subject of today's final rule. A description of each TSL DOE analyzed is provided below. DOE attempted to limit the number of TSLs considered for today's final rule by excluding efficiency levels that do not exhibit significantly different economic and/or engineering characteristics from the efficiency levels already selected as a TSL. While DOE only presents the results for those efficiency levels in TSL combinations in today's final rule, DOE presents the results for all efficiency levels that it analyzed in the final rule TSD.</P>
                    <P>Table VI.1 presents the TSLs and the corresponding product class efficiencies for standard-size refrigerator-freezers. TSL 1 consists of those efficiency levels that meet current ENERGY STAR criteria. TSL 2 consists of incrementally higher efficiency levels than the preceding TSL. TSL 3 consists of the highest efficiency levels for which the consumer NPV is positive, using a 7-percent discount rate, as well as the levels recommended in the Joint Comments. TSL 4 consists of those efficiency levels that yield energy use 30 percent below the baseline products, as well as the highest efficiency levels for which the consumer NPV is positive, using a 3-percent discount rate. TSL 5 consists of the max-tech efficiency levels.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table VI.1—Trial Standard Levels for Standard-Size Refrigerator-Freezers</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Efficiency level (% less than baseline energy use)</CHED>
                            <CHED H="2">
                                Top-mount
                                <LI>refrigerator-freezers and all-</LI>
                                <LI>refrigerators</LI>
                            </CHED>
                            <CHED H="3">Product classes 1, 1A, 2, 3, 3A, 3I and 6</CHED>
                            <CHED H="2">
                                Bottom-mount
                                <LI>refrigerator-</LI>
                                <LI>freezers</LI>
                            </CHED>
                            <CHED H="3">Product classes 5, 5A, and 5I</CHED>
                            <CHED H="2">
                                Side-by-side
                                <LI>refrigerator-</LI>
                                <LI>freezers</LI>
                            </CHED>
                            <CHED H="3">Product classes 4, 4I, and 7</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>3 (20)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>3(20)</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>4 (25)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>* 4 (25)</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>4 (25)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>5 (30)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>6 (36)</ENT>
                            <ENT>6 (36)</ENT>
                            <ENT>6 (33)</ENT>
                        </ROW>
                        <TNOTE>* Level for product classes 1, 1A, and 2 is 20%.</TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57564"/>
                    <P>Table VI.2 presents the TSLs and the corresponding product class efficiencies for standard-size freezers. TSL 1 consists of those efficiency levels that yield energy use 20 percent below the baseline products. TSL 2 consists of the levels recommended in the Joint Comments. TSL 3 consists of incrementally higher efficiency levels than the preceding TSL. TSL 4 consists of incrementally higher efficiency levels than the preceding TSL. TSL 5 consists of the max-tech efficiency levels, which are also the highest efficiency levels for which the consumer NPV is positive, using both a 3-percent and a 7-percent discount rate.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table VI.2—Trial Standard Levels for Standard-Size Freezers</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Efficiency level (% less than baseline energy use)</CHED>
                            <CHED H="2">Upright freezers</CHED>
                            <CHED H="3">Product classes 9 and 9I</CHED>
                            <CHED H="3">Product class 8</CHED>
                            <CHED H="2">Chest freezers</CHED>
                            <CHED H="3">Product classes 10 and 10A</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>3 (20)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>* 4 (25)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>6 (35)</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>5 (30)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>7 (40)</ENT>
                            <ENT>6 (35)</ENT>
                            <ENT>6 (35)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>8 (44)</ENT>
                            <ENT>7 (41)</ENT>
                            <ENT>7 (41)</ENT>
                        </ROW>
                        <TNOTE>* Level for product class 10A is 30%.</TNOTE>
                    </GPOTABLE>
                    <P>Table VI.3 presents the TSLs and the corresponding product class efficiencies for compact refrigeration products. TSL 1 consists of efficiency levels that meet current ENERGY STAR criteria for some compact refrigerators (product classes 11, 11A, and 12), and efficiency levels that are 10 percent below the baseline energy use for other compact refrigerators (product classes 13, 13I, 13A, 14, 14I, 15 and 15I) and compact freezers (product classes 16, 17, and 18). TSL 2 consists of the levels recommended in the Joint Comments. TSL 3 consists of incrementally higher efficiency levels than the previous TSL. TSL 4 consists of the highest efficiency levels for which the consumer NPV is positive, using both a 3-percent and a 7-percent discount rate. TSL 5 consists of the max-tech efficiency levels.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,14,14,14">
                        <TTITLE>Table VI.3—Trial Standard Levels for Compact Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Efficiency level (% less than baseline energy use)</CHED>
                            <CHED H="2">
                                Compact refrigerators and
                                <LI>refrigerator-freezers</LI>
                            </CHED>
                            <CHED H="3">
                                Product classes
                                <LI>11, 11A, 12</LI>
                            </CHED>
                            <CHED H="3">
                                Product classes
                                <LI>13, 13I, 13A, 14, 14I, 15, 15I</LI>
                            </CHED>
                            <CHED H="2">
                                Compact
                                <LI>freezers</LI>
                            </CHED>
                            <CHED H="3">
                                Product classes
                                <LI>16, 17, 18</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>1 (10)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>* 2 (15)</ENT>
                            <ENT>1 (10)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>2 (15)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>7 (40)</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>4 (25)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>10 (59)</ENT>
                            <ENT>7 (42)</ENT>
                            <ENT>7 (42)</ENT>
                        </ROW>
                        <TNOTE>* Level for product class 13A is 25 percent, and for product classes 14 and 14I is 20 percent.</TNOTE>
                    </GPOTABLE>
                    <P>Table VI.4 presents the TSLs and the corresponding product class efficiencies for built-in refrigeration products. TSL 1 consists of the efficiency levels that are 10 percent better than the current standard. TSL 2 consists of the highest efficiency levels for which the consumer NPV is positive, using both a 3-percent and a 7-percent discount rate. TSL 3 consists of the levels recommended in the Joint Comments. TSL 4 consists of incrementally higher efficiency levels than TSL 3. TSL 5 consists of the max-tech efficiency levels.</P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>Table VI.4—Trial Standard Levels for Built-in Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Efficiency level (% less than baseline energy use)</CHED>
                            <CHED H="2">
                                Built-in
                                <LI>top-mount</LI>
                                <LI>refrigerator-freezers and</LI>
                                <LI>all-refrigerators</LI>
                            </CHED>
                            <CHED H="3">
                                Product classes
                                <LI>3-BI, 3I-BI, and 3A-BI</LI>
                            </CHED>
                            <CHED H="2">
                                Built-in
                                <LI>bottom-mount</LI>
                                <LI>refrigerator-</LI>
                                <LI>freezers</LI>
                            </CHED>
                            <CHED H="3">
                                Product classes
                                <LI>5-BI, 5I-BI, and 5A-BI</LI>
                            </CHED>
                            <CHED H="2">
                                Built-in
                                <LI>side-by-side</LI>
                                <LI>refrigerator-</LI>
                                <LI>freezers</LI>
                            </CHED>
                            <CHED H="3">
                                Product classes
                                <LI>4-BI, 4I-BI and 7-BI</LI>
                            </CHED>
                            <CHED H="2">Built-in upright freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>9-BI and 9I-BI</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>1 (10)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>3 (20)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>4 (25)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>4 (25)</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57565"/>
                            <ENT I="01">5</ENT>
                            <ENT>5 (29)</ENT>
                            <ENT>5 (27)</ENT>
                            <ENT>4 (22)</ENT>
                            <ENT>5 (27)</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD2">B. Economic Justification and Energy Savings</HD>
                    <HD SOURCE="HD3">1. Economic Impacts on Individual Consumers</HD>
                    <HD SOURCE="HD3">a. Life-Cycle Cost and Payback Period</HD>
                    <P>Consumers affected by new or amended standards usually experience higher purchase prices and lower operating costs. DOE evaluates these impacts on individual consumers by calculating changes in LCC and the PBP associated with potential standard levels. Using the approach described in section IV.F, DOE calculated the LCC impacts and PBPs for the efficiency levels considered in this rulemaking. For each representative product class, DOE's analysis provided several outputs for each TSL, which are reported in Table VI.5 through Table VI.15. Each table includes the average total LCC and the average LCC savings, as well as the fraction of product consumers for which the LCC will either decrease (net benefit), increase (net cost), or exhibit no change (no impact) relative to the product purchased in the base case. The last output in the tables is the median PBP for the consumer purchasing a design that complies with a given TSL. The results for each TSL are relative to the energy efficiency distribution in the base case (no amended standards). DOE based the LCC and PBP analyses on energy consumption under conditions of actual product use, whereas it based the rebuttable presumption PBPs on energy consumption under conditions prescribed by the DOE test procedure, as required by EPCA. (42 U.S.C. 6295(o)(2)(B)(iii))</P>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.5—Product Class 3, Top-Mount Refrigerator-Freezers: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$491</ENT>
                            <ENT>$787</ENT>
                            <ENT>$1,278</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>501</ENT>
                            <ENT>730</ENT>
                            <ENT>1,231</ENT>
                            <ENT>46</ENT>
                            <ENT>0.28</ENT>
                            <ENT>21.9</ENT>
                            <ENT>77.8</ENT>
                            <ENT>2.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>508</ENT>
                            <ENT>701</ENT>
                            <ENT>1,209</ENT>
                            <ENT>69</ENT>
                            <ENT>0.60</ENT>
                            <ENT>17.6</ENT>
                            <ENT>81.8</ENT>
                            <ENT>2.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1, 2</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>564</ENT>
                            <ENT>671</ENT>
                            <ENT>1,235</ENT>
                            <ENT>44</ENT>
                            <ENT>34.0</ENT>
                            <ENT>8.31</ENT>
                            <ENT>57.7</ENT>
                            <ENT>8.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>602</ENT>
                            <ENT>634</ENT>
                            <ENT>1,236</ENT>
                            <ENT>42</ENT>
                            <ENT>45.7</ENT>
                            <ENT>0.0</ENT>
                            <ENT>54.3</ENT>
                            <ENT>9.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>686</ENT>
                            <ENT>598</ENT>
                            <ENT>1,284</ENT>
                            <ENT>−6</ENT>
                            <ENT>65.1</ENT>
                            <ENT>0.0</ENT>
                            <ENT>34.9</ENT>
                            <ENT>13.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>6 (36)</ENT>
                            <ENT>806</ENT>
                            <ENT>560</ENT>
                            <ENT>1,365</ENT>
                            <ENT>−87</ENT>
                            <ENT>79.7</ENT>
                            <ENT>0.0</ENT>
                            <ENT>20.3</ENT>
                            <ENT>17.8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.6—Product Class 5, Bottom-Mount Refrigerator-Freezers: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$858</ENT>
                            <ENT>$970</ENT>
                            <ENT>$1,828</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>860</ENT>
                            <ENT>961</ENT>
                            <ENT>1,820</ENT>
                            <ENT>9</ENT>
                            <ENT>0.02</ENT>
                            <ENT>86.9</ENT>
                            <ENT>13.1</ENT>
                            <ENT>2.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>861</ENT>
                            <ENT>956</ENT>
                            <ENT>1,817</ENT>
                            <ENT>14</ENT>
                            <ENT>0.05</ENT>
                            <ENT>86.9</ENT>
                            <ENT>13.1</ENT>
                            <ENT>2.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1, 2, 3</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>867</ENT>
                            <ENT>943</ENT>
                            <ENT>1,809</ENT>
                            <ENT>22</ENT>
                            <ENT>2.53</ENT>
                            <ENT>67.8</ENT>
                            <ENT>29.7</ENT>
                            <ENT>4.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>926</ENT>
                            <ENT>901</ENT>
                            <ENT>1,827</ENT>
                            <ENT>5</ENT>
                            <ENT>67.9</ENT>
                            <ENT>0.03</ENT>
                            <ENT>32.0</ENT>
                            <ENT>14.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>1,023</ENT>
                            <ENT>862</ENT>
                            <ENT>1,885</ENT>
                            <ENT>−53</ENT>
                            <ENT>82.8</ENT>
                            <ENT>0.03</ENT>
                            <ENT>17.2</ENT>
                            <ENT>21.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>6 (36)</ENT>
                            <ENT>1,157</ENT>
                            <ENT>810</ENT>
                            <ENT>1,968</ENT>
                            <ENT>−136</ENT>
                            <ENT>89.0</ENT>
                            <ENT>0.00</ENT>
                            <ENT>11.1</ENT>
                            <ENT>24.7</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.7—Product Class 7, Side-by-Side Refrigerator-Freezers With Through-the-Door Ice Service: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$1,040</ENT>
                            <ENT>$1,252</ENT>
                            <ENT>$2,292</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57566"/>
                            <ENT I="22"> </ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>1,043</ENT>
                            <ENT>1,228</ENT>
                            <ENT>2,271</ENT>
                            <ENT>22</ENT>
                            <ENT>0.00</ENT>
                            <ENT>78.1</ENT>
                            <ENT>21.9</ENT>
                            <ENT>1.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>1,048</ENT>
                            <ENT>1,202</ENT>
                            <ENT>2,249</ENT>
                            <ENT>44</ENT>
                            <ENT>0.06</ENT>
                            <ENT>51.7</ENT>
                            <ENT>48.3</ENT>
                            <ENT>2.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>1,064</ENT>
                            <ENT>1,167</ENT>
                            <ENT>2,232</ENT>
                            <ENT>62</ENT>
                            <ENT>4.27</ENT>
                            <ENT>36.9</ENT>
                            <ENT>58.8</ENT>
                            <ENT>4.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2, 3</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>1,123</ENT>
                            <ENT>1,114</ENT>
                            <ENT>2,237</ENT>
                            <ENT>57</ENT>
                            <ENT>41.5</ENT>
                            <ENT>0.00</ENT>
                            <ENT>58.6</ENT>
                            <ENT>9.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>1,251</ENT>
                            <ENT>1,061</ENT>
                            <ENT>2,312</ENT>
                            <ENT>−18</ENT>
                            <ENT>69.7</ENT>
                            <ENT>0.00</ENT>
                            <ENT>30.3</ENT>
                            <ENT>15.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>6 (33)</ENT>
                            <ENT>1,351</ENT>
                            <ENT>1,026</ENT>
                            <ENT>2,377</ENT>
                            <ENT>−83</ENT>
                            <ENT>79.5</ENT>
                            <ENT>0.00</ENT>
                            <ENT>20.5</ENT>
                            <ENT>19.1</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.8—Product Class 9, Upright Freezers: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback Period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$505</ENT>
                            <ENT>$1,098</ENT>
                            <ENT>$1,603</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>516</ENT>
                            <ENT>1,015</ENT>
                            <ENT>1,530</ENT>
                            <ENT>73</ENT>
                            <ENT>0.25</ENT>
                            <ENT>19.9</ENT>
                            <ENT>79.9</ENT>
                            <ENT>1.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>535</ENT>
                            <ENT>964</ENT>
                            <ENT>1,499</ENT>
                            <ENT>105</ENT>
                            <ENT>5.02</ENT>
                            <ENT>1.67</ENT>
                            <ENT>93.3</ENT>
                            <ENT>3.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>552</ENT>
                            <ENT>912</ENT>
                            <ENT>1,464</ENT>
                            <ENT>140</ENT>
                            <ENT>6.03</ENT>
                            <ENT>0.59</ENT>
                            <ENT>93.4</ENT>
                            <ENT>4.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>578</ENT>
                            <ENT>859</ENT>
                            <ENT>1,437</ENT>
                            <ENT>166</ENT>
                            <ENT>9.58</ENT>
                            <ENT>0.41</ENT>
                            <ENT>90.0</ENT>
                            <ENT>4.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>602</ENT>
                            <ENT>806</ENT>
                            <ENT>1,408</ENT>
                            <ENT>195</ENT>
                            <ENT>11.5</ENT>
                            <ENT>0.22</ENT>
                            <ENT>88.2</ENT>
                            <ENT>5.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>6 (35)</ENT>
                            <ENT>656</ENT>
                            <ENT>758</ENT>
                            <ENT>1,414</ENT>
                            <ENT>189</ENT>
                            <ENT>21.9</ENT>
                            <ENT>0.00</ENT>
                            <ENT>78.1</ENT>
                            <ENT>7.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>7 (40)</ENT>
                            <ENT>731</ENT>
                            <ENT>711</ENT>
                            <ENT>1,442</ENT>
                            <ENT>161</ENT>
                            <ENT>34.6</ENT>
                            <ENT>0.00</ENT>
                            <ENT>65.4</ENT>
                            <ENT>9.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>8 (44)</ENT>
                            <ENT>898</ENT>
                            <ENT>673</ENT>
                            <ENT>1,570</ENT>
                            <ENT>33</ENT>
                            <ENT>59.7</ENT>
                            <ENT>0.00</ENT>
                            <ENT>40.3</ENT>
                            <ENT>14.7</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.9—Product Class 10, Chest Freezer: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$367</ENT>
                            <ENT>$623</ENT>
                            <ENT>$990</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>373</ENT>
                            <ENT>573</ENT>
                            <ENT>947</ENT>
                            <ENT>43</ENT>
                            <ENT>0.20</ENT>
                            <ENT>16.2</ENT>
                            <ENT>83.6</ENT>
                            <ENT>2.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>383</ENT>
                            <ENT>544</ENT>
                            <ENT>927</ENT>
                            <ENT>63</ENT>
                            <ENT>3.01</ENT>
                            <ENT>1.18</ENT>
                            <ENT>95.8</ENT>
                            <ENT>3.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>393</ENT>
                            <ENT>515</ENT>
                            <ENT>908</ENT>
                            <ENT>82</ENT>
                            <ENT>5.14</ENT>
                            <ENT>0.22</ENT>
                            <ENT>94.6</ENT>
                            <ENT>3.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>436</ENT>
                            <ENT>485</ENT>
                            <ENT>921</ENT>
                            <ENT>69</ENT>
                            <ENT>27.3</ENT>
                            <ENT>0.22</ENT>
                            <ENT>72.5</ENT>
                            <ENT>8.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>456</ENT>
                            <ENT>455</ENT>
                            <ENT>911</ENT>
                            <ENT>79</ENT>
                            <ENT>29.1</ENT>
                            <ENT>0.22</ENT>
                            <ENT>70.6</ENT>
                            <ENT>8.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>6 (35)</ENT>
                            <ENT>510</ENT>
                            <ENT>433</ENT>
                            <ENT>943</ENT>
                            <ENT>47</ENT>
                            <ENT>48.7</ENT>
                            <ENT>0.00</ENT>
                            <ENT>51.4</ENT>
                            <ENT>12.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>7 (41)</ENT>
                            <ENT>620</ENT>
                            <ENT>395</ENT>
                            <ENT>1,015</ENT>
                            <ENT>−25</ENT>
                            <ENT>69.1</ENT>
                            <ENT>0.00</ENT>
                            <ENT>31.0</ENT>
                            <ENT>17.8</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.10—Product Class 11, Compact Refrigerators: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$131</ENT>
                            <ENT>$167</ENT>
                            <ENT>$298</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>137</ENT>
                            <ENT>151</ENT>
                            <ENT>287</ENT>
                            <ENT>11</ENT>
                            <ENT>9.01</ENT>
                            <ENT>1.60</ENT>
                            <ENT>89.4</ENT>
                            <ENT>1.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>141</ENT>
                            <ENT>143</ENT>
                            <ENT>284</ENT>
                            <ENT>14</ENT>
                            <ENT>13.6</ENT>
                            <ENT>1.39</ENT>
                            <ENT>85.0</ENT>
                            <ENT>2.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>146</ENT>
                            <ENT>135</ENT>
                            <ENT>281</ENT>
                            <ENT>17</ENT>
                            <ENT>19.7</ENT>
                            <ENT>1.39</ENT>
                            <ENT>79.0</ENT>
                            <ENT>2.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>157</ENT>
                            <ENT>127</ENT>
                            <ENT>284</ENT>
                            <ENT>14</ENT>
                            <ENT>36.8</ENT>
                            <ENT>1.00</ENT>
                            <ENT>62.3</ENT>
                            <ENT>3.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>166</ENT>
                            <ENT>119</ENT>
                            <ENT>285</ENT>
                            <ENT>13</ENT>
                            <ENT>43.4</ENT>
                            <ENT>0.92</ENT>
                            <ENT>55.6</ENT>
                            <ENT>3.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>6 (35)</ENT>
                            <ENT>192</ENT>
                            <ENT>112</ENT>
                            <ENT>304</ENT>
                            <ENT>−6</ENT>
                            <ENT>71.3</ENT>
                            <ENT>0.00</ENT>
                            <ENT>28.7</ENT>
                            <ENT>6.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>7 (40)</ENT>
                            <ENT>199</ENT>
                            <ENT>104</ENT>
                            <ENT>303</ENT>
                            <ENT>−5</ENT>
                            <ENT>69.8</ENT>
                            <ENT>0.00</ENT>
                            <ENT>30.2</ENT>
                            <ENT>5.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>8 (45)</ENT>
                            <ENT>230</ENT>
                            <ENT>97</ENT>
                            <ENT>327</ENT>
                            <ENT>−29</ENT>
                            <ENT>83.5</ENT>
                            <ENT>0.00</ENT>
                            <ENT>16.5</ENT>
                            <ENT>7.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>9 (50)</ENT>
                            <ENT>247</ENT>
                            <ENT>89</ENT>
                            <ENT>336</ENT>
                            <ENT>−38</ENT>
                            <ENT>85.4</ENT>
                            <ENT>0.00</ENT>
                            <ENT>14.6</ENT>
                            <ENT>8.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>10 (59)</ENT>
                            <ENT>308</ENT>
                            <ENT>75</ENT>
                            <ENT>383</ENT>
                            <ENT>−85</ENT>
                            <ENT>92.2</ENT>
                            <ENT>0.00</ENT>
                            <ENT>7.85</ENT>
                            <ENT>10.4</ENT>
                        </ROW>
                    </GPOTABLE>
                    <PRTPAGE P="57567"/>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.11—Product Class 18, Compact Freezers:  LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$182</ENT>
                            <ENT>$200</ENT>
                            <ENT>$382</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">1, 2</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>189</ENT>
                            <ENT>182</ENT>
                            <ENT>370</ENT>
                            <ENT>12</ENT>
                            <ENT>7.98</ENT>
                            <ENT>4.66</ENT>
                            <ENT>87.4</ENT>
                            <ENT>2.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>201</ENT>
                            <ENT>172</ENT>
                            <ENT>373</ENT>
                            <ENT>9</ENT>
                            <ENT>33.9</ENT>
                            <ENT>0.00</ENT>
                            <ENT>66.1</ENT>
                            <ENT>4.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>242</ENT>
                            <ENT>163</ENT>
                            <ENT>404</ENT>
                            <ENT>−22</ENT>
                            <ENT>87.4</ENT>
                            <ENT>0.00</ENT>
                            <ENT>12.6</ENT>
                            <ENT>9.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>252</ENT>
                            <ENT>153</ENT>
                            <ENT>405</ENT>
                            <ENT>−23</ENT>
                            <ENT>84.5</ENT>
                            <ENT>0.00</ENT>
                            <ENT>15.5</ENT>
                            <ENT>9.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>5 (30)</ENT>
                            <ENT>282</ENT>
                            <ENT>146</ENT>
                            <ENT>428</ENT>
                            <ENT>−46</ENT>
                            <ENT>92.4</ENT>
                            <ENT>0.00</ENT>
                            <ENT>7.6</ENT>
                            <ENT>11.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>6 (35)</ENT>
                            <ENT>289</ENT>
                            <ENT>137</ENT>
                            <ENT>426</ENT>
                            <ENT>−44</ENT>
                            <ENT>89.6</ENT>
                            <ENT>0.00</ENT>
                            <ENT>10.4</ENT>
                            <ENT>10.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>7 (42)</ENT>
                            <ENT>360</ENT>
                            <ENT>124</ENT>
                            <ENT>484</ENT>
                            <ENT>−102</ENT>
                            <ENT>96.7</ENT>
                            <ENT>0.00</ENT>
                            <ENT>3.3</ENT>
                            <ENT>14.4</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,9,9">
                        <TTITLE>Table VI.12—Product Class 3A-BI, Built-In All-Refrigerators: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$4,316</ENT>
                            <ENT>$828</ENT>
                            <ENT>$5,144</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>4,323</ENT>
                            <ENT>769</ENT>
                            <ENT>5,091</ENT>
                            <ENT>52</ENT>
                            <ENT>0.02</ENT>
                            <ENT>22.6</ENT>
                            <ENT>77.4</ENT>
                            <ENT>1.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>4,334</ENT>
                            <ENT>739</ENT>
                            <ENT>5,073</ENT>
                            <ENT>71</ENT>
                            <ENT>0.94</ENT>
                            <ENT>18.4</ENT>
                            <ENT>80.7</ENT>
                            <ENT>2.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>4,452</ENT>
                            <ENT>703</ENT>
                            <ENT>5,155</ENT>
                            <ENT>−11</ENT>
                            <ENT>61.5</ENT>
                            <ENT>9.10</ENT>
                            <ENT>29.4</ENT>
                            <ENT>13.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>4,625</ENT>
                            <ENT>670</ENT>
                            <ENT>5,295</ENT>
                            <ENT>−151</ENT>
                            <ENT>91.0</ENT>
                            <ENT>0.00</ENT>
                            <ENT>9.02</ENT>
                            <ENT>25.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>5 (29)</ENT>
                            <ENT>4,756</ENT>
                            <ENT>646</ENT>
                            <ENT>5,402</ENT>
                            <ENT>−258</ENT>
                            <ENT>95.0</ENT>
                            <ENT>0.00</ENT>
                            <ENT>5.01</ENT>
                            <ENT>31.4</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,7.2,9">
                        <TTITLE>Table VI.13—Product Class 5-BI, Built-In Bottom-Mount Refrigerator-Freezers: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level 
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period 
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$4,968</ENT>
                            <ENT>$960</ENT>
                            <ENT>$5,928</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>4,972</ENT>
                            <ENT>951</ENT>
                            <ENT>5,923</ENT>
                            <ENT>$8</ENT>
                            <ENT>0.60</ENT>
                            <ENT>87.1</ENT>
                            <ENT>12.3</ENT>
                            <ENT>3.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2, 3</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>4,982</ENT>
                            <ENT>957</ENT>
                            <ENT>5,939</ENT>
                            <ENT>2</ENT>
                            <ENT>7.03</ENT>
                            <ENT>87.0</ENT>
                            <ENT>5.94</ENT>
                            <ENT>11.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>5,013</ENT>
                            <ENT>943</ENT>
                            <ENT>5,955</ENT>
                            <ENT>−14</ENT>
                            <ENT>27.4</ENT>
                            <ENT>67.5</ENT>
                            <ENT>5.09</ENT>
                            <ENT>22.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>5,168</ENT>
                            <ENT>911</ENT>
                            <ENT>6,079</ENT>
                            <ENT>−138</ENT>
                            <ENT>98.0</ENT>
                            <ENT>0.00</ENT>
                            <ENT>2.03</ENT>
                            <ENT>52.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>5 (27)</ENT>
                            <ENT>5,257</ENT>
                            <ENT>891</ENT>
                            <ENT>6,148</ENT>
                            <ENT>−207</ENT>
                            <ENT>98.5</ENT>
                            <ENT>0.00</ENT>
                            <ENT>1.50</ENT>
                            <ENT>52.2</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,7.2,9">
                        <TTITLE>Table VI.14—Product Class 7-BI, Built-In Side-by-Side Refrigerator-Freezers With Through-the-Door Ice Service: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level 
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period 
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$7,134</ENT>
                            <ENT>$1,494</ENT>
                            <ENT>$8,628</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">1, 2</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>7,147</ENT>
                            <ENT>1,476</ENT>
                            <ENT>8,623</ENT>
                            <ENT>$10</ENT>
                            <ENT>5.77</ENT>
                            <ENT>78.5</ENT>
                            <ENT>15.7</ENT>
                            <ENT>7.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>7,188</ENT>
                            <ENT>1,459</ENT>
                            <ENT>8,647</ENT>
                            <ENT>−9</ENT>
                            <ENT>36.4</ENT>
                            <ENT>52.4</ENT>
                            <ENT>11.2</ENT>
                            <ENT>17.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3, 4</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>7,307</ENT>
                            <ENT>1,423</ENT>
                            <ENT>8,729</ENT>
                            <ENT>−91</ENT>
                            <ENT>58.5</ENT>
                            <ENT>37.2</ENT>
                            <ENT>4.28</ENT>
                            <ENT>31.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>4 (22)</ENT>
                            <ENT>7,414</ENT>
                            <ENT>1,405</ENT>
                            <ENT>8,820</ENT>
                            <ENT>−182</ENT>
                            <ENT>97.6</ENT>
                            <ENT>0.00</ENT>
                            <ENT>2.40</ENT>
                            <ENT>50.4</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,r25,9,9,9,9,7.2,7.2,7.2,9">
                        <TTITLE>Table VI.15—Product Class 9-BI, Built-In Upright Freezers: LCC and PBP Results</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Efficiency level 
                                <LI>(% less than baseline</LI>
                                <LI>energy use)</LI>
                            </CHED>
                            <CHED H="1">Life-cycle cost 2009$</CHED>
                            <CHED H="2">Installed cost</CHED>
                            <CHED H="2">Discounted operating cost</CHED>
                            <CHED H="2">LCC</CHED>
                            <CHED H="1">Life-cycle cost savings</CHED>
                            <CHED H="2">Average savings 2009$</CHED>
                            <CHED H="2">% of households that experience</CHED>
                            <CHED H="3">Net cost</CHED>
                            <CHED H="3">No impact</CHED>
                            <CHED H="3">Net benefit</CHED>
                            <CHED H="1">
                                Payback period 
                                <LI>(years)</LI>
                            </CHED>
                            <CHED H="2">Median</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>Baseline</ENT>
                            <ENT>$3,928</ENT>
                            <ENT>$1,071</ENT>
                            <ENT>$4,999</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>3,943</ENT>
                            <ENT>990</ENT>
                            <ENT>4,933</ENT>
                            <ENT>$66</ENT>
                            <ENT>1.53</ENT>
                            <ENT>19.9</ENT>
                            <ENT>78.6</ENT>
                            <ENT>2.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>3,956</ENT>
                            <ENT>942</ENT>
                            <ENT>4,898</ENT>
                            <ENT>101</ENT>
                            <ENT>3.99</ENT>
                            <ENT>1.70</ENT>
                            <ENT>94.3</ENT>
                            <ENT>3.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>3 (20)</ENT>
                            <ENT>4,042</ENT>
                            <ENT>898</ENT>
                            <ENT>4,940</ENT>
                            <ENT>59</ENT>
                            <ENT>42.9</ENT>
                            <ENT>0.57</ENT>
                            <ENT>56.5</ENT>
                            <ENT>10.7</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57568"/>
                            <ENT I="01">3, 4</ENT>
                            <ENT>4 (25)</ENT>
                            <ENT>4,176</ENT>
                            <ENT>847</ENT>
                            <ENT>5,023</ENT>
                            <ENT>−23</ENT>
                            <ENT>68.8</ENT>
                            <ENT>0.49</ENT>
                            <ENT>30.7</ENT>
                            <ENT>17.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>5 (27)</ENT>
                            <ENT>4,278</ENT>
                            <ENT>822</ENT>
                            <ENT>5,100</ENT>
                            <ENT>−101</ENT>
                            <ENT>79.8</ENT>
                            <ENT>0.27</ENT>
                            <ENT>20.0</ENT>
                            <ENT>22.6</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">b. Consumer Subgroup Analysis</HD>
                    <P>As described in section IV.H, DOE determined the impact of the considered TSLs on low-income households and senior-only households. DOE did not estimate impacts for compact refrigeration products because the household sample sizes were not large enough to yield meaningful results.</P>
                    <P>Table VI.16 through Table VI.18 compare the average LCC savings at each efficiency level for the two consumer subgroups with the average LCC savings for the entire sample for each representative product class. In general, the average LCC savings for low-income households and senior-only households at the considered efficiency levels are not substantially different from the average for all households. Chapter 11 of the final rule TSD presents the complete LCC and PBP results for the two subgroups.</P>
                    <GPOTABLE COLS="10" OPTS="L2,i1" CDEF="s25,9,9,9,9,9,9,9,9,9">
                        <TTITLE>Table VI.16—Standard-Size Refrigerator-Freezers: Comparison of Average LCC Savings for Consumer Subgroups and All Households</TTITLE>
                        <BOXHD>
                            <CHED H="1">Efficiency level (% less than baseline energy use)</CHED>
                            <CHED H="1">Top-mount refrigerator-freezers</CHED>
                            <CHED H="2">Product class 3</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                            <CHED H="1">Bottom-mount refrigerator-freezers</CHED>
                            <CHED H="2">Product class 5</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                            <CHED H="1">Side-by-side refrigerator-freezers</CHED>
                            <CHED H="2">Product class 7</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1 (10)</ENT>
                            <ENT>$43</ENT>
                            <ENT>$49</ENT>
                            <ENT>$46</ENT>
                            <ENT>$9</ENT>
                            <ENT>$10</ENT>
                            <ENT>$9</ENT>
                            <ENT>$22</ENT>
                            <ENT>$23</ENT>
                            <ENT>$22</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2 (15)</ENT>
                            <ENT>64</ENT>
                            <ENT>73</ENT>
                            <ENT>69</ENT>
                            <ENT>13</ENT>
                            <ENT>15</ENT>
                            <ENT>14</ENT>
                            <ENT>42</ENT>
                            <ENT>46</ENT>
                            <ENT>44</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3 (20)</ENT>
                            <ENT>36</ENT>
                            <ENT>48</ENT>
                            <ENT>43</ENT>
                            <ENT>21</ENT>
                            <ENT>24</ENT>
                            <ENT>22</ENT>
                            <ENT>59</ENT>
                            <ENT>64</ENT>
                            <ENT>62</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4 (25)</ENT>
                            <ENT>31</ENT>
                            <ENT>47</ENT>
                            <ENT>41</ENT>
                            <ENT>−1</ENT>
                            <ENT>6</ENT>
                            <ENT>5</ENT>
                            <ENT>48</ENT>
                            <ENT>56</ENT>
                            <ENT>57</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5 (30)</ENT>
                            <ENT>−20</ENT>
                            <ENT>0</ENT>
                            <ENT>−7</ENT>
                            <ENT>−63</ENT>
                            <ENT>−52</ENT>
                            <ENT>−54</ENT>
                            <ENT>−31</ENT>
                            <ENT>−23</ENT>
                            <ENT>−18</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6 (36/36/33)</ENT>
                            <ENT>−105</ENT>
                            <ENT>−81</ENT>
                            <ENT>−89</ENT>
                            <ENT>−151</ENT>
                            <ENT>−136</ENT>
                            <ENT>−137</ENT>
                            <ENT>−100</ENT>
                            <ENT>−91</ENT>
                            <ENT>−85</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,9,9,9,9,9,9">
                        <TTITLE>Table VI.17—Standard-Size Freezers: Comparison of Average LCC Savings for Consumer Subgroups and All Households</TTITLE>
                        <BOXHD>
                            <CHED H="1">Efficiency level (% less than baseline energy use)</CHED>
                            <CHED H="1">Upright freezers</CHED>
                            <CHED H="2">Product class 9</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                            <CHED H="1">Chest freezers</CHED>
                            <CHED H="2">Product class 10</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1 (10)</ENT>
                            <ENT>$69</ENT>
                            <ENT>$69</ENT>
                            <ENT>$73</ENT>
                            <ENT>$45</ENT>
                            <ENT>$42</ENT>
                            <ENT>$43</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2 (15)</ENT>
                            <ENT>98</ENT>
                            <ENT>98</ENT>
                            <ENT>105</ENT>
                            <ENT>66</ENT>
                            <ENT>61</ENT>
                            <ENT>63</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3 (20)</ENT>
                            <ENT>130</ENT>
                            <ENT>129</ENT>
                            <ENT>139</ENT>
                            <ENT>86</ENT>
                            <ENT>79</ENT>
                            <ENT>82</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4 (25)</ENT>
                            <ENT>153</ENT>
                            <ENT>153</ENT>
                            <ENT>166</ENT>
                            <ENT>74</ENT>
                            <ENT>65</ENT>
                            <ENT>68</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5 (30)</ENT>
                            <ENT>179</ENT>
                            <ENT>179</ENT>
                            <ENT>195</ENT>
                            <ENT>$85</ENT>
                            <ENT>$75</ENT>
                            <ENT>79</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6 (35)</ENT>
                            <ENT>170</ENT>
                            <ENT>170</ENT>
                            <ENT>189</ENT>
                            <ENT>54</ENT>
                            <ENT>42</ENT>
                            <ENT>47</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7 (40/41)</ENT>
                            <ENT>139</ENT>
                            <ENT>139</ENT>
                            <ENT>160</ENT>
                            <ENT>−18</ENT>
                            <ENT>−32</ENT>
                            <ENT>−26</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">8 (44)</ENT>
                            <ENT>8</ENT>
                            <ENT>8</ENT>
                            <ENT>32</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="13" OPTS="L2,i1" CDEF="s20,6,6,6,6,6,6,6,6,6,6,6,6">
                        <TTITLE>Table VI.18—Built-In Refrigeration Products: Comparison of Average LCC Savings for Consumer Subgroups and All Households</TTITLE>
                        <BOXHD>
                            <CHED H="1">Efficiency level (% less than baseline energy use)</CHED>
                            <CHED H="1">Built-in all refrigerators</CHED>
                            <CHED H="2">Product class 3A-BI</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                            <CHED H="1">
                                Built-in bottom-mount
                                <LI>refrigerator-freezers</LI>
                            </CHED>
                            <CHED H="2">Product class 5-BI</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                            <CHED H="1">
                                Built-in side-by-side
                                <LI>refrigerator-freezers</LI>
                            </CHED>
                            <CHED H="2">Product class 7-BI</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                            <CHED H="1">Built-in upright freezers</CHED>
                            <CHED H="2">Product class 9-BI</CHED>
                            <CHED H="3">Senior</CHED>
                            <CHED H="3">
                                Low-
                                <LI>income</LI>
                            </CHED>
                            <CHED H="3">All</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1 (10)</ENT>
                            <ENT>$48</ENT>
                            <ENT>$54</ENT>
                            <ENT>$52</ENT>
                            <ENT>$7</ENT>
                            <ENT>$8</ENT>
                            <ENT>$8</ENT>
                            <ENT>$8</ENT>
                            <ENT>$9</ENT>
                            <ENT>$10</ENT>
                            <ENT>$61</ENT>
                            <ENT>$61</ENT>
                            <ENT>$66</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2 (15)</ENT>
                            <ENT>65</ENT>
                            <ENT>74</ENT>
                            <ENT>71</ENT>
                            <ENT>0</ENT>
                            <ENT>2</ENT>
                            <ENT>2</ENT>
                            <ENT>−15</ENT>
                            <ENT>−14</ENT>
                            <ENT>−9</ENT>
                            <ENT>93</ENT>
                            <ENT>92</ENT>
                            <ENT>101</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3 (20)</ENT>
                            <ENT>−25</ENT>
                            <ENT>−14</ENT>
                            <ENT>−12</ENT>
                            <ENT>−19</ENT>
                            <ENT>−17</ENT>
                            <ENT>−15</ENT>
                            <ENT>−107</ENT>
                            <ENT>−109</ENT>
                            <ENT>−92</ENT>
                            <ENT>47</ENT>
                            <ENT>46</ENT>
                            <ENT>58</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4 (25/25/22/25)</ENT>
                            <ENT>−170</ENT>
                            <ENT>−155</ENT>
                            <ENT>−152</ENT>
                            <ENT>−148</ENT>
                            <ENT>−141</ENT>
                            <ENT>−139</ENT>
                            <ENT>−199</ENT>
                            <ENT>−201</ENT>
                            <ENT>−183</ENT>
                            <ENT>−39</ENT>
                            <ENT>−41</ENT>
                            <ENT>−24</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5 (29/27/-/27)</ENT>
                            <ENT>−280</ENT>
                            <ENT>−263</ENT>
                            <ENT>−260</ENT>
                            <ENT>−219</ENT>
                            <ENT>−210</ENT>
                            <ENT>−208</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT>−119</ENT>
                            <ENT>−121</ENT>
                            <ENT>−102</ENT>
                        </ROW>
                    </GPOTABLE>
                    <PRTPAGE P="57569"/>
                    <HD SOURCE="HD3">c. Rebuttable Presumption Payback</HD>
                    <P>As discussed in section III.D.2, EPCA provides a rebuttable presumption that an energy conservation standard is economically justified if the increased purchase cost for a product that meets the standard is less than three times the value of the first-year energy savings resulting from the standard. In calculating a rebuttable presumption payback period for the considered standard levels, DOE used discrete values rather than distributions for input values, and, as required by EPCA, based the energy use calculation on the DOE test procedures for refrigeration products. As a result, DOE calculated a single rebuttable presumption payback value, and not a distribution of payback periods, for each efficiency level. Table VI.19 through Table VI.22 present the average rebuttable presumption payback periods for those efficiency levels where the increased purchase cost for a product that meets a standard at that level is less than three times the value of the first-year energy savings resulting from the standard.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="12C,12C,12C,12C,12C,12C">
                        <TTITLE>Table VI.19—Standard-Size Refrigerator-Freezers: Efficiency Levels With Rebuttable Payback Period Less Than Three Years</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class 3: Top-mount refrigerator-freezer</CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                            <CHED H="1">Product class 5: Bottom-mount refrigerator-freezer</CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                            <CHED H="1">
                                Product class 7:
                                <LI>Side-by-side refrigerator-freezer with TTD *</LI>
                            </CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1 (10)</ENT>
                            <ENT>2.4</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>2.1</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>1.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2 (15)</ENT>
                            <ENT>2.6</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>2.4</ENT>
                            <ENT>2 (15)</ENT>
                            <ENT>1.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01"/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT>3 (20)</ENT>
                            <ENT>2.9</ENT>
                        </ROW>
                        <TNOTE>* Through-the-door ice service.</TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="14C,14C,14C,14C,14C">
                        <TTITLE>Table VI.20—Standard-Size Freezers: Efficiency Levels With Rebuttable Payback Period Less Than Three Years</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class 9: Upright freezer</CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                            <CHED H="1">Product class 10: Chest freezer</CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1 (10)</ENT>
                            <ENT>1.9</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>1.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01"/>
                            <ENT/>
                            <ENT>2 (15)</ENT>
                            <ENT>2.7</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="14C,14C,14C,14C,14C">
                        <TTITLE>Table VI.21—Compact Refrigeration Products: Efficiency Levels With Rebuttable Payback Period Less Than Three Years</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class 11: Compact refrigerator</CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                            <CHED H="1">Product class 18: Compact freezer</CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1 (10)</ENT>
                            <ENT>1.8</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT>2.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2 (15)</ENT>
                            <ENT>2.1</ENT>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <ROW>
                            <ENT I="01">3 (20)</ENT>
                            <ENT>2.7</ENT>
                            <ENT/>
                            <ENT/>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="10C,10C,10C,10C,10C,10C,10C,10C">
                        <TTITLE>Table VI.22—Built-In Refrigeration Products: Efficiency Levels With Rebuttable Payback Period Less Than Three Years</TTITLE>
                        <BOXHD>
                            <CHED H="1">
                                Product class 3A-BI: Built-in
                                <LI>all-refrigerator</LI>
                            </CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                            <CHED H="1">
                                Product class 5-BI: Built-in
                                <LI>bottom-mount refrigerator-freezer</LI>
                            </CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                            <CHED H="1">Product class 7-BI: Built-in side-by-side refrigerator-freezer with TTD *</CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                            <CHED H="1">
                                Product class 9-BI: Built-in
                                <LI>upright freezer</LI>
                            </CHED>
                            <CHED H="2">
                                Efficiency level
                                <LI>(% less than baseline energy use)</LI>
                            </CHED>
                            <CHED H="2">
                                PBP
                                <LI>Years</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1 (10)</ENT>
                            <ENT>1.5</ENT>
                            <ENT>1 (10)</ENT>
                            <ENT/>
                            <ENT>1 (10)</ENT>
                            <ENT/>
                            <ENT>1 (10)</ENT>
                            <ENT>2.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2 (15)</ENT>
                            <ENT>2.6</ENT>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                            <ENT/>
                        </ROW>
                        <TNOTE>* Through-the-door ice service.</TNOTE>
                    </GPOTABLE>
                    <P>
                        While DOE examined the rebuttable-presumption criterion, it considered whether the standard levels considered for today's rule are economically justified through a more detailed analysis of the economic impacts of these levels pursuant to 42 U.S.C. 6295(o)(2)(B)(i). The results of this analysis serve as the basis for DOE to definitively evaluate the economic justification for a potential standard level (thereby supporting or rebutting the results of any preliminary determination of economic justification).
                        <PRTPAGE P="57570"/>
                    </P>
                    <HD SOURCE="HD3">2. Economic Impacts on Manufacturers</HD>
                    <P>
                        The NOPR MIA used changes in INPV to compare the financial impacts of different TSLs on manufacturers. 75 FR at 59537-59546 (September 27, 2010) (describing the MIA used by DOE in its analysis). DOE presented the industry impacts by the major product types (
                        <E T="03">i.e.,</E>
                         standard size refrigerator-freezers, standard size freezers, compact refrigerators and freezers, and built-in refrigeration products). DOE used the GRIM to compare the INPV of the base case (no new energy conservation standards) to that of each TSL for each product grouping. The INPV is the sum of all net cash flows discounted by the industry's cost of capital (discount rate). The difference in INPV between the base case and the standards case is an estimate of the economic impacts that implementing that standard level would have on the entire industry. For today's final rule, DOE continues to use the methodology presented in the NOPR (75 FR at 59519-59526 (September 27, 2010)) and in section 0. The major methodology change DOE made for the final rule was incorporating long term product price trends into the analysis. Since the price trend for residential refrigeration products declines over the analysis period, the base case industry value is lower for all product groupings. Thus, incorporating price trends in the MIA increases the impacts on INPV due to standards.
                    </P>
                    <HD SOURCE="HD3">a. Cash-Flow Analysis Results</HD>
                    <P>The tables below depict the financial impacts on manufacturers (represented by changes in INPV) and the conversion costs DOE estimates manufacturers would incur at each TSL. DOE shows four sets of results, corresponding to the four sets of TSLs considered in this rulemaking. Each set of TSLs reflects the impacts on manufacturers of a certain group of product classes.</P>
                    <P>
                        Each set of results below shows two tables of INPV impacts: the first table reflects the lower (less severe) bound of impacts and the second represents the upper bound. To evaluate this range of cash-flow impacts on the residential refrigeration products industry, DOE modeled two different scenarios using different markup assumptions. These assumptions correspond to the bounds of a range of market responses that DOE anticipates could occur in the standards case (
                        <E T="03">i.e.</E>
                         where amended energy conservation standards apply). Each scenario results in a unique set of cash flows and corresponding industry value at each TSL.
                    </P>
                    <P>To assess the lower (less severe) end of the range of potential impacts, DOE modeled the flat markup scenario. The flat markup scenario assumes that in the standards case manufacturers would be able to pass the higher production costs required for more efficient products on to their customers. Specifically, the industry would be able to maintain its average base-case gross margin, as a percentage of revenue, despite higher product costs. In general, the larger the product price increases, the less likely manufacturers are able to achieve the cash flow from operations calculated in this scenario because manufacturers would be less likely to be able to fully recoup these costs through larger price increases.</P>
                    <P>Through its discussions with manufacturers, DOE found that overall profit is driven more by the bundling of product features, such as stainless steel exteriors, ice dispensers, and digital displays, than by energy efficiency characteristics. In other words, more efficient products command higher prices, but these prices are driven by the many other features that are also bundled with increased efficiency. However, the overall profit margin percentage does not vary widely even if the dollar profit per unit increases for products with these additional features. Manufacturers are skeptical that customers would accept higher prices for increased energy efficiency because it does not command higher margins in the current market. Under such a scenario, it follows that the large retailers that compose the relatively concentrated customer base of the industry would not accept manufacturers fully passing through the additional cost of improved efficiency because consumers would be wary of higher prices without additional features. Therefore, to assess the higher (more severe) end of the range of potential impacts, DOE modeled the preservation of operating profit markup scenario in which higher energy conservation standards result in lower manufacturer markups. This scenario models manufacturers' concerns that the higher costs of more efficient technology would harm profitability if the full cost increases cannot be passed on. The scenario represents the upper end of the range of potential impacts on manufacturers because higher production costs erode profit margins and result in lower cash flows from operations.</P>
                    <P>DOE used the main NIA shipment scenario for both the lower- and higher-bound MIA scenarios that were used to characterize the potential INPV impacts. The shipment forecast is an important driver of the INPV results below. The main NIA shipment scenario includes a price elasticity effect, meaning higher prices in the standards case result in lower shipments. Lower shipments also reduce industry revenue, and, in turn, INPV.</P>
                    <HD SOURCE="HD3">i. Cash-Flow Analysis Results for Standard-Size Refrigerator-Freezers</HD>
                    <P>As part of its cash-flow analysis for standard-size refrigerator-freezers, DOE applied two different scenarios to project the impacts on manufacturers from standards at the various TSLs that DOE considered. The following tables provide those projected impacts under the flat-markup and preservation of operating profit markup scenarios.</P>
                    <GPOTABLE COLS="08" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.23—Manufacturer Impact Analysis for Standard-Size Refrigerator-Freezers—Flat Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>2,670.1</ENT>
                            <ENT>2,552.2</ENT>
                            <ENT>2,450.9</ENT>
                            <ENT>2,325.1</ENT>
                            <ENT>1,885.1</ENT>
                            <ENT>1,627.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(117.8)</ENT>
                            <ENT>(219.2)</ENT>
                            <ENT>(345.0)</ENT>
                            <ENT>(784.9)</ENT>
                            <ENT>(1,042.2)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"/>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−4.4%</ENT>
                            <ENT>−8.2%</ENT>
                            <ENT>−12.9%</ENT>
                            <ENT>−29.4%</ENT>
                            <ENT>−39.0%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>153</ENT>
                            <ENT>197</ENT>
                            <ENT>229</ENT>
                            <ENT>348</ENT>
                            <ENT>406</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>229</ENT>
                            <ENT>393</ENT>
                            <ENT>620</ENT>
                            <ENT>1,405</ENT>
                            <ENT>2,013</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>382</ENT>
                            <ENT>590</ENT>
                            <ENT>848</ENT>
                            <ENT>1,753</ENT>
                            <ENT>2,419</ENT>
                        </ROW>
                    </GPOTABLE>
                    <PRTPAGE P="57571"/>
                    <GPOTABLE COLS="08" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.24—Manufacturer Impact Analysis for Standard-Size Refrigerator-Freezers—Preservation of Operating Profit Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>2,670.1</ENT>
                            <ENT>2,417.5</ENT>
                            <ENT>2,274.2</ENT>
                            <ENT>2,089.4</ENT>
                            <ENT>1,360.8</ENT>
                            <ENT>828.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(252.6)</ENT>
                            <ENT>(395.9)</ENT>
                            <ENT>(580.7)</ENT>
                            <ENT>(1,309.3)</ENT>
                            <ENT>(1,841.5)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"/>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−9.5%</ENT>
                            <ENT>−14.8%</ENT>
                            <ENT>−21.7%</ENT>
                            <ENT>−49.0%</ENT>
                            <ENT>−69.0%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>153</ENT>
                            <ENT>197</ENT>
                            <ENT>229</ENT>
                            <ENT>348</ENT>
                            <ENT>406</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>229</ENT>
                            <ENT>393</ENT>
                            <ENT>620</ENT>
                            <ENT>1,405</ENT>
                            <ENT>2,013</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>382</ENT>
                            <ENT>590</ENT>
                            <ENT>848</ENT>
                            <ENT>1,753</ENT>
                            <ENT>2,419</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>TSL 1 represents the current ENERGY STAR level for standard-size refrigerator-freezers or a 20-percent reduction in measured energy consumption over the current energy conservation standards for the analyzed standard-size top-mount product class 3, a 20-perecent reduction for the analyzed standard-size bottom-mount product class 5, and a 20-percent reduction for the analyzed standard-size side-by-side product class 7. At TSL 1, DOE estimates impacts on INPV to range from −$117.8 million to −$252.6 million, or a change in INPV of −4.4 percent to −9.5 percent. At this TSL, industry free cash flow is estimated to decrease by approximately 71.8 percent to $51.5 million, compared to the base-case value of $182.8 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The INPV impacts at TSL 1 are relatively minor, in part because the vast majority of manufacturers produce ENERGY STAR units in significant volumes, particularly for product classes 5 and 7. Approximately 42 percent of product class 7 shipments and 47 percent of product class 5 shipments currently meet this TSL. By contrast, the vast majority of product class 3 shipments are baseline units. Additionally, most of the design options DOE analyzed at this TSL are one-for-one component swaps, including more efficient compressors and brushless DC condenser and evaporator fan motors, which require only modest changes to the manufacturing process at TSL 1. As such, DOE estimated total product conversion costs of $153 million and capital conversion costs of $229 million.</P>
                    <P>While substantial on a nominal basis, the total conversion costs are relatively low compared to the industry value of $2.7 billion. The total conversion costs at TSL 1 are mostly driven by the design options that manufacturers could use to improve the efficiency of the smaller-sized units of the product classes analyzed. For example, the analyzed design options for the 22-cubic foot product class 7 unit included a VIP in the freezer door, while the 26-cubic foot product class 7 unit only analyzed less costly component swaps. VIP implementation would require significant capital and product conversion costs because additional production steps are required to hold and bind each panel in its location before the product is foamed. Each additional step requires more equipment to lengthen production lines and, because of lower throughput, more production lines for each manufacturer to maintain similar shipment volumes. Some manufacturers have experience with VIPs, but DOE expects substantial engineering and testing resources would be required for their use in new platforms and/or at higher production volumes.</P>
                    <P>Similarly, the 16-cubic foot product class 3 unit uses a variable speed compressor as a design option. While not a capital intensive solution, variable speed compressors would require substantial engineering time to integrate the complex component, especially if electronic control systems would also be required. Because these changes are more complex than the other analyzed design options, more than three-quarters of the conversion costs for TSL 1 are attributable to the use of the VIPs and variable speed compressors in the smaller-volume product class 7 and product class 3 units, respectively.</P>
                    <P>The flat markup scenario shows slightly negative impacts at TSL 1, indicating that the outlays for conversion costs marginally outweigh any additional profit earned on incrementally higher variable costs. On a shipment-weighted basis, the average MPC for standard-size refrigerator-freezers increases by 10 percent at TSL 1 after standards. These small component cost changes are not significant enough to fully recoup these investments even if manufacturers earn additional profit on these costs, as the flat markup scenario assumes. Hence, there is a slight negative impact, even in the upper-bound scenario, at TSL 1.</P>
                    <P>The efficiency requirements for product class 3 and product class 5 refrigerator-freezers are the same at TSL 2 as TSL 1. However, the efficiency requirements for product class 7 increase to a 25-percent reduction in measured energy consumption from current energy conservation standards. DOE estimates the INPV impacts at TSL 2 range from ^$219.2 million to ^$395.9 million, or a change in INPV of ^8.2 percent to ^14.8 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 113.9 percent to ^$25.4 million, compared to the base-case value of $182.8 million in the year leading up to the amended energy conservation standard.</P>
                    <P>
                        The additional impacts at TSL 2 relative to TSL 1 result from the further improvements manufacturers must make to product class 7 refrigerator-freezers to achieve a 25-percent energy reduction, as very few shipments of product class 7 currently exceed the ENERGY STAR level. Specifically, for the 22-cubic foot products, the design options DOE analyzed include a variable speed compressor and a VIP in the freezer cabinet, instead of the door as in TSL 1. For the 26-cubic foot product class 7 unit, the design options analyzed include a VIP in the freezer door in addition to additional component swaps and the component swaps needed to meet TSL 1. Total conversion costs increase by $208 million compared to TSL 1, which is largely driven by the initial use of VIPs in the 26-cubic foot product class 7 unit. Besides these specific changes to side-by-side units, at TSL 2 most production lines of standard-size refrigerator-freezers do not use VIPs or other very costly components, which mitigates some of the disruption to current facilities. Consequently, the INPV impacts, while greater than at TSL 1, are 
                        <PRTPAGE P="57572"/>
                        still relatively moderate compared to the value of the industry as a whole.
                    </P>
                    <P>At TSL 2, the INPV in the flat markup is lower than at TSL 1, which means the additional conversion costs to add more VIPs leaves manufacturers worse off even if they can earn additional profit on these costly components. In the preservation of operating profit markup scenario, the industry earns no additional profit on this greater investment, lowering cash flow from operations in the standards case and resulting in greater INPV impacts.</P>
                    <P>The efficiency requirements for product class 5 and product class 7 refrigerator-freezers are the same at TSL 3 as TSL 2. However, the efficiency requirements for product class 3 increase to a 25-percent reduction in measured energy consumption from current energy conservation standards. TSL 3 represents a 25-percent reduction in measured energy consumption over the current energy conservation standards for both product class 3 and product class 7. In addition, TSL 3 represents a 20-percent reduction in measured energy consumption for product classes 1, 1A, and 2. DOE estimates the INPV impacts at TSL 3 to range from ^$345.0 million to ^$580.7 million, or a change in INPV of ^12.9 percent to ^21.7 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 168.0 percent to −$124.3 million, compared to the base-case value of $182.8 million in the year leading up to the standards.</P>
                    <P>The additional negative impacts on industry cash flow result from the changes to product class 3 refrigerator-freezers to reach a 25-percent reduction in energy use (side-by-side products met this efficiency level at TSL 2). Specifically, the design options DOE analyzed at TSL 3 for 16-cubic foot top-mount refrigerator-freezers included the use of VIPs for the first time (in the freezer cabinet), in addition to the component swaps discussed above. In total, DOE estimates product conversion costs of $229 million and capital conversion costs of $620 million at TSL 3. The high cost to purchase new production equipment and the large engineering effort to manufacture new platforms for these smaller-sized product class 3 units drive the vast majority of this additional $258 million in conversion costs that DOE estimates manufacturers would incur at TSL 3. Because the smaller size top-mounted units account for a large percentage of total shipments, the production equipment necessary to implement new platforms for these products is costly.</P>
                    <P>While production of units meeting TSL 3 is fairly limited, several manufacturers have introduced products that meet these efficiency levels in response to Federal production tax credits. This experience mitigates some of the product conversion costs by giving manufacturers some experience with the newer technologies. However, the more severe impacts at TSL 3, relative to TSL 2, are due to the incremental outlays for conversion costs to make the changes described above. In particular, any experience with VIPs on some products does not lower the substantial capital conversion necessary to purchase production equipment necessary to manufacture products that are substantially different from existing products.</P>
                    <P>As mentioned above, the preservation of operating profit markup scenario assumes no additional profit is earned on the higher production costs. This assumption lowers profit margins as a percentage of revenue and leads to worse impacts on INPV. In the flat markup scenario, the impact of the investments is mitigated by the assumption that manufacturers can earn a similar profit margin as a percentage of revenues on their higher variable costs. At TSL 3, MPCs increase by an average of 16 percent after standards, leading to additional per-unit profit in this scenario. However, the magnitude of the conversion investments still leads to negative INPV impacts even if additional profit is earned on the incremental manufacturing costs. The lower industry shipments driven by the relative price elasticity assumption account for approximately $45 million of the impact in the flat markup scenario.</P>
                    <P>TSL 4 represents a 30-percent reduction in measured energy consumption over the current energy conservation standards for product class 3, product class 5, and product class 7. DOE estimates the INPV impacts at TSL 4 to range from ^$784.9 million to ^$1,309.3 million, or a change in INPV of ^29.4 percent to ^49.0 percent. At this TSL, the industry cash flow is estimated to decrease by approximately a factor of 3.6 to ^$469.3 million, compared to the base-case value of $182.8 million in the year leading up to the amended energy conservation standards.</P>
                    <P>
                        At TSL 4, significant changes to the manufacturing process are necessary for all refrigerator-freezers. A 30-percent reduction in energy consumption is the maximum-efficiency top-mounted products available on the market; 
                        <SU>47</SU>
                        <FTREF/>
                         the maximum available side-by-side and bottom-mount only slightly exceed a 30-percent reduction. The design options DOE analyzed for all standard-size products—with the exception of the 25-cubic foot product class 5 unit—use multiple VIPs in the fresh food compartment, freezer doors, and cabinets to reach the 30-percent efficiency level. The design options also include the use of variable speed compressors for all units analyzed except the 21-cubic foot product class 3 unit. These product changes substantially increase the variable costs across nearly all platforms at this TSL.
                    </P>
                    <FTNT>
                        <P>
                            <SU>47</SU>
                             Throughout the document, the terms “max available” or “max-tech available” are intended to mean the maximum efficiency level of available products.
                        </P>
                    </FTNT>
                    <P>While products that meet the efficiency requirements of TSL 4 are not in widespread production, several manufacturers produce units at these efficiencies due to tax credit incentives. However, at TSL 4, most manufacturers expect to completely redesign existing production lines if the amended energy conservation standards were set at levels that necessitated these changes across most or all of their products. Manufacturers would need to purchase injection molding equipment, cabinet bending equipment, and other equipment for interior tooling as they would need to create new molds for these production lines. These changes drive DOE's estimate of the large product and capital conversion costs at TSL 4 ($348 million and $1,405 million, respectively). The significant incremental investment relative to TSL 3 results, in large part, from the design option of adding VIPs to the 21-cubic foot analyzed product class 3 unit. This top-mounted refrigerator-freezer represents a substantial portion of the market and manufacturers would have to completely redesign these platforms.</P>
                    <P>
                        As a result of the large investment necessary to meet this TSL, some manufacturers could move production to lower-labor-costs countries to achieve cost savings for labor expenditures. (More information on employment impacts is provided in section 0.) In addition to the large capital conversion costs, the shipment-weighted average MPC increases by approximately 36 percent at TSL 4 after standards compared to the base case. However, the magnitude of the conversion costs at TSL 4 are so large that even if manufacturers can reap additional profit from these higher product costs (as in the flat markup scenario), they would still be substantially impacted, as shown by the negative INPV results in the flat markup scenario. Additionally, the 36-percent increase in MPC drives 
                        <PRTPAGE P="57573"/>
                        shipments lower due to the price elasticity. Lower industry volume from the decline in shipments accounts for a change in industry value of approximately 16 percent in the flat markup scenario. The large, negative impact on INPV is even greater under the preservation of operating profit markup scenario due to the inability to pass on the higher costs of expensive design options such as variable speed compressors and VIPs.
                    </P>
                    <P>TSL 5 represents max tech for all standard-size refrigerator-freezers. The max-tech level corresponds to reductions in measured energy consumption compared to the current energy conservation standards for product class 3 (36 percent), product class 5 (36 percent), and product class 7 (33 percent), respectively. DOE estimates the INPV impacts at TSL 5 to range from ^$1,042.2 million to ^$1,841.5 million, or a change in INPV of ^39.0 percent to ^69.0 percent. At this TSL, the industry cash flow is estimated to decrease by a factor of approximately 5.0 to ^$727.5 million, compared to the base-case value of $182.8 million in the year leading up to the amended energy conservation standards.</P>
                    <P>No products that meet TSL 5 are currently offered on the U.S. market. At TSL 5, the changes required to meet this TSL are similar to those at TSL 4, as complete redesigns of all platforms would be required. TSL 5 requires much more extensive use of VIPs, however. The higher conversion costs at TSL 5 are primarily due to the use of VIPs in additional locations in the door, cabinet and freezer, whereas at TSL 4 some of the analyzed design options of the larger-sized units included limited or no VIP use. This level would require manufacturers to further lengthen assembly lines and even modify or move their facilities outside of the United States. These factors drive the projected $2,419 million conversion cost estimate at this TSL. As with TSL 4, at TSL 5 some manufacturers could elect to move production out of the U.S. to offset some of the additional product costs. At TSL 5, DOE estimates MPCs increase by approximately 58 percent after standards compared to the base case. Similar to TSL 4, this substantially reduces shipments due to the price elasticity effect and exacerbates the industry impacts in both markup scenarios.</P>
                    <P>As with other TSLs, the impact on INPV is mitigated under the flat markup scenario because manufacturers are able to fully pass on the large increase in MPC to consumers, thereby increasing manufacturers' gross profit in absolute terms. However, even assuming manufacturers could earn the same gross margin percentage per unit on those higher costs, the capital and product conversion costs cause negative INPV impacts, as shown by the 39 percent decline in INPV in the flat markup scenario. This large impact even in the lower bound scenario demonstrates that the large conversion costs to redesign all existing platforms results in substantial harm. The result is predicted even if manufacturers earn a historical margin on these additional costs. Due to the extremely large cost increases at the max-tech level, it is less likely at TSL 5 than at other examined levels that manufacturers could fully pass through the increase in production costs. If margins are impacted, TSL 5 would result in a substantial INPV loss under this scenario.</P>
                    <HD SOURCE="HD3">ii. Cash-Flow Analysis Results for Standard-Size Freezers</HD>
                    <P>As part of its cash-flow analysis for standard-size freezers, DOE applied two different scenarios to project the impacts on manufacturers from standards at the various TSLs that DOE considered. The following tables provide those projected impacts under the flat-markup and preservation of operating profit markup scenarios.</P>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.25—Manufacturer Impact Analysis for Standard-Size Freezers—Flat Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>337.8</ENT>
                            <ENT>308.0</ENT>
                            <ENT>214.1</ENT>
                            <ENT>225.3</ENT>
                            <ENT>252.4</ENT>
                            <ENT>192.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(29.8)</ENT>
                            <ENT>(123.7)</ENT>
                            <ENT>(112.5)</ENT>
                            <ENT>(85.4)</ENT>
                            <ENT>(145.0)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"> </ENT>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−8.8%</ENT>
                            <ENT>−36.6%</ENT>
                            <ENT>−33.3%</ENT>
                            <ENT>−25.3%</ENT>
                            <ENT>−42.9%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>22</ENT>
                            <ENT>51</ENT>
                            <ENT>55</ENT>
                            <ENT>63</ENT>
                            <ENT>70</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>50</ENT>
                            <ENT>175</ENT>
                            <ENT>182</ENT>
                            <ENT>183</ENT>
                            <ENT>320</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>72</ENT>
                            <ENT>226</ENT>
                            <ENT>237</ENT>
                            <ENT>247</ENT>
                            <ENT>390</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.26—Manufacturer Impact Analysis for Standard-Size Freezers—Preservation of Operating Profit Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>337.8</ENT>
                            <ENT>287.7</ENT>
                            <ENT>167.3</ENT>
                            <ENT>159.6</ENT>
                            <ENT>155.3</ENT>
                            <ENT>39.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(50.0)</ENT>
                            <ENT>(170.5)</ENT>
                            <ENT>(178.1)</ENT>
                            <ENT>(182.4)</ENT>
                            <ENT>(298.8)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"> </ENT>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−14.8%</ENT>
                            <ENT>−50.5%</ENT>
                            <ENT>−52.7%</ENT>
                            <ENT>−54.0%</ENT>
                            <ENT>−88.5%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>22</ENT>
                            <ENT>51</ENT>
                            <ENT>55</ENT>
                            <ENT>63</ENT>
                            <ENT>70</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>50</ENT>
                            <ENT>175</ENT>
                            <ENT>182</ENT>
                            <ENT>183</ENT>
                            <ENT>320</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>72</ENT>
                            <ENT>226</ENT>
                            <ENT>237</ENT>
                            <ENT>247</ENT>
                            <ENT>390</ENT>
                        </ROW>
                    </GPOTABLE>
                    <PRTPAGE P="57574"/>
                    <P>TSL 1 represents a 20-percent reduction in measured energy use over the current energy conservation standards for the analyzed standard-size upright freezer product class 9 and a 20-percent reduction for the analyzed standard-size chest freezer product class 10. DOE estimates the INPV impacts at TSL 1 to range from −$29.8 million to −$50.0 million, or a change in INPV of −8.8 percent to −14.8 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 111.2 percent to −$2.6 million, compared to the base-case value of $23.2 million in the year leading up to the amended energy conservation standards.</P>
                    <P>While products meeting TSL 1 are currently produced only in limited volumes, the changes in the manufacturing process would not require completely new platforms to meet the energy requirements at this TSL. For most standard-size freezer platforms, the design options DOE analyzed include the use of brushless direct current (DC) evaporator fan motors and compressors with higher EERs. However, the design options to meet this efficiency level also include increasing door insulation thickness for all analyzed products except the 20-cubic foot product class 10 unit. Increasing door insulation thickness drives the majority of the conversion cost outlay DOE estimates manufacturers would incur at TSL 1. To increase door insulation thickness, manufacturers would need to purchase new tooling for their door assemblies. DOE estimates that these changes would result in product conversion costs of $22 million and capital conversion costs of $50 million at TSL 1. However, the conversion costs are somewhat mitigated at TSL 1 because the design options analyzed would not change the production equipment for the cabinet.</P>
                    <P>At TSL 1, variable costs increase by approximately 10 percent after standards relative to base case MPCs. The flat markup scenario shows less severe impacts because it assumes manufacturers can pass on these substantially higher product costs and maintain gross margin percentages. Additionally, the reduction in shipments due to the price elasticity has only a marginally negative effect at this TSL. The relatively large conversion costs decrease industry value under both markup scenarios and account for a substantial portion of the INPV impacts. This is especially the case if manufacturers are unable to earn any additional profit on the higher production costs (the preservation of operating profit scenario).</P>
                    <P>TSL 2 represents a reduction in measured energy consumption over the current standards of 30 percent for product class 9 and 25 percent for product class 10. TSL 2 also represents reductions for the other product classes as well—product class 8 (upright freezers with manual defrost, 25 percent) and product class 10A (chest freezers with automatic defrost, 30 percent). DOE estimates the INPV impacts at TSL 2 to range from −$123.7 million to −$170.5 million, or a change in INPV of −36.6 percent to −50.5 percent. At this TSL, the industry cash flow is estimated to decrease by approximately a factor of 3.6 to −$60.0 million, compared to the base-case value of $23.2 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The vast majority of the standard-size freezer market does not currently meet the efficiency requirements at TSL 2. DOE's design options assume that, in addition to the component swaps noted above, manufacturers would increase the insulation thickness of both the door and cabinet. As a result, product redesigns are expected across most platforms, which could substantially disrupt current manufacturing processes. These changes account for the majority of DOE's estimates for total product conversion costs of $51 million and capital conversion costs of $175 million, an increase over TSL 1 of $29 million and $125 million, respectively. The magnitude of the investments, relative to the industry value, results in severe INPV impacts. Even if manufacturers are able to pass on the estimated 24-percent increase in product costs onto their customers after standards, the large product and capital conversion costs resulting from increased insulation thickness decrease INPV. If manufacturers are not able to pass on these costs, as shown by the preservation of operating profit scenario, INPV impacts are projected to be severe.</P>
                    <P>TSL 3 represents a 35-percent reduction in measured energy use over the current energy conservation standards for product class 9 and a 30-percent reduction for product class 10. DOE estimates the INPV impacts at TSL 3 to range from −$112.5 million to −$178.1 million, or a change in INPV of −33.3 percent to −52.7 percent. At this TSL, the industry cash flow is estimated to decrease by a factor of approximately 3.7 to −$63.8 million, compared to the base-case value of $23.2 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The efficiency requirements at TSL 3 are more stringent than the max available products in the market for product class 9 and product class 10. The impacts at TSL 3 are similar to those at TSL 2 because the design options analyzed by DOE already required platform redesigns at TSL 2. However, the additional design options analyzed at TSL 3 also include a variable speed compressor in the 14-cubic foot product class 9 unit and VIPs in the bottom wall of the 20-cubic foot product class 10 unit. These design options substantially increase the variable costs associated with these products but do not greatly change the product and capital conversion costs. DOE estimates that under TSL 3, the average MPC of a standard-size freezer is roughly 34 percent higher after standards than in the base case, leading to a 9-percent drop in shipments from the price elasticity assumption for 2014 alone.</P>
                    <P>The impacts at TSL 3 under the flat markup scenario become less severe than at TSL 2 because the scenario assumes manufacturers can fully pass on the added cost to consumers, while investments do not significantly increase from TSL 2 to TSL 3. However, under the preservation of operating profit markup scenario, manufacturers do not receive any extra profit on units of higher cost, resulting in worse INPV impacts at TSL 3 than at TSL 2.</P>
                    <P>TSL 4 represents a 40-percent reduction in measured energy use over the current energy conservation standards for product class 9 and a 35-percent reduction for product class 10. DOE estimates the INPV impacts at TSL 4 to range from −$85.4 million to −$182.4 million, or a change in INPV of −25.3 percent to −54.0 percent. At this TSL, the industry cash flow is estimated to decrease by a factor of approximately 3.9 to −$66.5 million, compared to the base-case value of $23.2 million in the year leading up to the amended energy conservation standards.</P>
                    <P>At TSL 4, the design options DOE analyzed include the addition of a variable speed compressor for the 20-cubic foot product class 9 unit, the 15-cubic foot product class 10 unit, and the 20-cubic foot product class 10 unit. For the 14-cubic foot product class 9 unit, the design options analyzed were even thicker wall cabinet insulation and the implementation of VIPs.</P>
                    <P>
                        The relative impacts at TSL 4 are also caused by the incremental MPCs compared to the conversion costs to implement these design options. Outlays for conversion costs increase only slightly at TSL 4 (by 4 percent, 
                        <PRTPAGE P="57575"/>
                        compared to TSL 3) while variable costs increase substantially (by approximately 52 percent after standards compared to the baseline) due to the addition of variable speed compressors and VIPs. Because manufacturers earn incrementally more profit on each unit at TSL 4 compared to TSL 3 in the flat markup scenario—without substantial changes to conversion costs—further declines in industry value, though still substantial, are mitigated in this scenario. However, manufacturers expressed skepticism that such large cost increases could be passed on. This view is reflected by the severely negative results in the preservation of operating profit scenario.
                    </P>
                    <P>TSL 5 represents max tech for the standard-size freezer product classes. This TSL reflects a 44-percent reduction in measured energy use for product class 9 and a 41-percent reduction for product class 10. DOE estimates the INPV impacts at TSL 5 to range from −$145.0 million to −$298.8 million, or a change in INPV of −42.9 percent to −88.5 percent. At this TSL, the industry cash flow is estimated to decrease by a factor of approximately 6.3 to −$122.8 million, compared to the base-case value of $23.2 million in the year leading up to the amended energy conservation standards.</P>
                    <P>To achieve the max-tech level at TSL 5, DOE analyzed design options that include the widespread implementation of multiple VIPs on all standard-size freezers, in addition to the use of more efficient components and thicker insulation already necessary to achieve the efficiency requirements at TSL 4. DOE estimated that TSL 5 would require product and capital conversion costs of $70 million and $320 million, respectively. These large conversion costs result from the changes associated with multiple VIP implementation and wall thickness increases. In addition, DOE estimates that product costs would almost double base-case MPCs after standards, driven by the use of variable speed compressors and VIPs in the doors and cabinet of all product lines. As a result, INPV decreases substantially from TSL 4 to TSL 5.</P>
                    <HD SOURCE="HD3">iii. Cash-Flow Analysis Results for Compact Refrigeration Products</HD>
                    <P>As part of its cash-flow analysis for compact refrigeration products, DOE applied two different scenarios to project the impacts on manufacturers from standards at the various TSLs that DOE considered. The following tables provide those projected impacts under the flat-markup and preservation of operating profit markup scenarios.</P>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.27—Manufacturer Impact Analysis for Compact Refrigeration Products—Flat Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>169.4</ENT>
                            <ENT>152.8</ENT>
                            <ENT>133.3</ENT>
                            <ENT>106.5</ENT>
                            <ENT>127.9</ENT>
                            <ENT>14.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(16.6)</ENT>
                            <ENT>(36.2)</ENT>
                            <ENT>(62.9)</ENT>
                            <ENT>(41.5)</ENT>
                            <ENT>(154.9)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"> </ENT>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−9.8%</ENT>
                            <ENT>−21.4%</ENT>
                            <ENT>−37.1%</ENT>
                            <ENT>−24.5%</ENT>
                            <ENT>−91.4%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>15</ENT>
                            <ENT>35</ENT>
                            <ENT>41</ENT>
                            <ENT>48</ENT>
                            <ENT>67</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>24</ENT>
                            <ENT>46</ENT>
                            <ENT>76</ENT>
                            <ENT>71</ENT>
                            <ENT>220</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>39</ENT>
                            <ENT>80</ENT>
                            <ENT>118</ENT>
                            <ENT>119</ENT>
                            <ENT>287</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.28—Manufacturer Impact Analysis for Compact Refrigeration Products—Preservation of Operating Profit Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>169.4</ENT>
                            <ENT>141.6</ENT>
                            <ENT>110.8</ENT>
                            <ENT>80.1</ENT>
                            <ENT>76.6</ENT>
                            <ENT>(73.2)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(27.8)</ENT>
                            <ENT>(58.7)</ENT>
                            <ENT>(89.3)</ENT>
                            <ENT>(92.8)</ENT>
                            <ENT>(242.6)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"> </ENT>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−16.4%</ENT>
                            <ENT>−34.6%</ENT>
                            <ENT>−52.7%</ENT>
                            <ENT>−54.8%</ENT>
                            <ENT>−143.2%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>15</ENT>
                            <ENT>35</ENT>
                            <ENT>41</ENT>
                            <ENT>48</ENT>
                            <ENT>67</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>24</ENT>
                            <ENT>46</ENT>
                            <ENT>76</ENT>
                            <ENT>71</ENT>
                            <ENT>220</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>39</ENT>
                            <ENT>80</ENT>
                            <ENT>118</ENT>
                            <ENT>119</ENT>
                            <ENT>287</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>TSL 1 represents a 20-percent reduction in measured energy use over the current energy conservation standards for compact refrigerators and refrigerator-freezers (product class 11) and a 10-percent reduction for compact freezers (product class 18) analyzed by DOE. DOE estimates the INPV impacts at TSL 1 to range from −$16.6 million to −$27.8 million, or a change in INPV of −9.8 percent to −16.4 percent. At this TSL, industry cash flow is estimated to decrease by approximately 125.1 percent to −$2.7 million, compared to the base-case value of $10.7 million in the year leading up to the amended energy conservation standards. A small percentage of product class 18 shipments currently meet this TSL, but most product class 11 shipments are baseline units.</P>
                    <P>
                        The design options analyzed by DOE at TSL 1 assumed that more significant changes in the manufacturing process would be required for product class 11, while product class 18 would only require increased compressor efficiency. For product class 11, DOE analyzed several design options that represent component changes, such as a more efficient compressor and increased heat exchanger area, which do not have a significant impact on consumer prices or conversion costs. However, DOE also analyzed increasing door insulation thickness for product class 11, which drives the bulk of the estimated $15 million and $24 million outlays for product conversion and capital 
                        <PRTPAGE P="57576"/>
                        conversion costs, respectively. As described for standard-size refrigerator-freezers and standard-size freezers, increasing insulation thickness requires manufacturers to invest in injection molding equipment and other equipment for interior tooling to manufacture products with different door dimensions. The overall impacts at TSL 1 are relatively moderate because the conversion costs are still small compared to the industry value of $169.4 million.
                    </P>
                    <P>The higher production costs at TSL 1 do not have a substantial impact on INPV at TSL 1. The MPC of compact refrigeration products on a shipment-weighted basis increases 11 percent over the base case at TSL 1 after standards. The combined INPV impacts are greater under the preservation of operating profit scenario since manufacturers cannot pass on any of the added cost to consumers under that scenario, resulting in lower cash flows from operations. However, because production costs do not greatly increase at TSL 1, the impacts on INPV are relatively low under this scenario as well.</P>
                    <P>TSL 2 represents a 25-percent reduction in measured energy use over the current energy conservation standards for product class 11 and a 10-percent reduction for product class 18. TSL 2 also represents a 15-percent reduction in measured energy consumption for the analyzed product classes 13, 13I, 15, and 15I, and a 20-percent reduction for the unanalyzed product classes 14 and 14I. DOE estimates the INPV impacts at TSL 2 to range from −$36.2 million to −$58.7 million, or a change in INPV of −21.4 percent to −34.6 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 254.9 percent to −$16.6 million, compared to the base-case value of $10.7 million in the year leading up to the amended energy conservation standards.</P>
                    <P>At TSL 2, further changes are required for product class 11. In addition to component swaps, the design options analyzed by DOE include thicker cabinet insulation. As discussed for TSL 1, increasing insulation thickness significantly impacts product and capital conversion costs, but much more so when adding insulation to the cabinet (as opposed to the door). To increase the insulation thickness of the cabinet, manufacturers must replace virtually all stamping equipment, which greatly increases the capital conversion costs. Additionally, DOE analyzed the use of isobutane refrigerant as a design option for the 4-cubic foot product class 11 unit. At TSL 2, a substantial portion of the investment to reach TSL 2 would likely be for training service technicians to handle this volatile refrigerant. As a result of thicker cabinet insulation and conversion to isobutane, product conversion and capital conversion costs roughly double at TSL 2 (to $35 million for product conversion costs and $46 million for capital conversion costs). The shipment-weighted MPC increased 22 percent at TSL 2 after standards compared to baseline costs, which also contributed to the more severe impacts projected under the preservation of operation profit scenario if manufacturers do not earn additional profit on these higher costs.</P>
                    <P>TSL 3 represents a 30-percent reduction in measured energy consumption over the current energy conservation standards for product class 11 and a 15-percent reduction for product class 18. DOE estimates the INPV impacts at TSL 3 to range from −$62.9 million to −$89.3 million, or a change in INPV of −37.1 percent to −52.7 percent. At this TSL, the industry cash flow is estimated to decrease by a factor of approximately 3.9 to −$30.6 million, compared to the base-case value of $10.7 million in the year leading up to the amended energy conservation standards.</P>
                    <P>At TSL 3, the design options analyzed for both product class 18 units include thicker door insulation, which further increases the capital conversion costs over TSL 1 and TSL 2, where this was not analyzed as a design option. The additional impacts at TSL 3 are also due to more stringent requirements for product class 11. A 30-percent reduction for product class 11 is greater than the most efficient units on the market today. For both analyzed sizes of product class 11, DOE analyzed the design option of thicker insulation in the cabinet for both units analyzed. The net effect is a large increase in conversion costs due to the much higher cost of the equipment necessary to manufacture the cabinet. At TSL 3, DOE estimated total product conversion costs of $41 million and capital conversion costs of $76 million, a 46 percent total increase in conversion costs over TSL 2. The effect of the design changes at TSL 3 on shipment-weighted unit cost is a 27-percent increase over the average baseline MPC after standards. The magnitude of the investments relative to the industry value leads to significant impacts, although they are moderated somewhat in the flat markup because manufacturers earn additional profit on the investments.</P>
                    <P>TSL 4 represents a 40-percent reduction in measured energy use over the current energy conservation standards for product class 11 and a 25-percent reduction for product class 18. DOE estimates the INPV impacts at TSL 4 to range from −$41.5 million to −$92.8 million, or a change in INPV of −24.5 percent to −54.8 percent. At this TSL, the industry cash flow is estimated to decrease by a factor of approximately 3.9 to −$30.5 million, compared to the base-case value of $10.7 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The design options analyzed at TSL 4 would also severely disrupt current manufacturing processes. For the 1.7-cubic foot product class 11 unit, DOE analyzed a variable speed compressor and isobutane refrigerant as design options. For the 4-cubic foot product class 11 unit and the 7-cubic foot product class 18 unit, DOE analyzed thicker insulation in the cabinets. For 3.4-cubic foot product class 18 unit, DOE analyzed both an increase to cabinet insulation thickness and VIPs in the bottom wall as design options. Although increasing insulation thickness, converting to isobutane, and implementing VIPs all would necessitate large conversion costs, capital conversion costs decrease slightly from TSL 3 to TSL 4 because of the removal of all previous design options in the 1.7-cubic foot unit. In other words, the design options analyzed for this unit cause less substantial changes to existing production equipment, but would also require a large investment by manufacturers to train service technicians to deal with the refrigerant. Because this task would require a large outlay for product conversion costs, total conversion costs are roughly the same at TSL 3 and TSL 4. Adding a variable speed compressor in the smaller product class 11 unit analyzed also has a substantial impact on unit price because of its high component cost. At TSL 4, the shipment-weighted MPC is 60-percent higher than the baseline MPC after standards. These cost increases are projected to cause a 16-percent decrease in shipments at TSL 4 in 2014 alone. Over time, this decline significantly contributes to the negative impacts on INPV in both markup scenarios.</P>
                    <P>
                        The large conversion costs and higher prices leading to lower shipments cause a decrease in INPV from TSL 3 to TSL 4 under the preservation of operating profit markup scenario (since this scenario assumes higher production costs are not passed on to consumers). However, under the flat markup scenario, manufacturers are able to earn additional profit on the new high-cost components such as variable speed 
                        <PRTPAGE P="57577"/>
                        compressors, resulting in an increase in INPV from TSL 3 to TSL 4.
                    </P>
                    <P>TSL 5 represents max tech for both product classes 11 and 18. The max-tech level corresponds to a 59-percent and 42-percent reduction in measured energy use for product class 11 and product class 18, respectively. DOE estimates the INPV impacts at TSL 5 to range from −$154.9 million to −$242.6 million, or a change in INPV of −91.4 percent to −143.2 percent. At this TSL, the industry cash flow is estimated to decrease approximately ten-fold to −$97.6 million, compared to the base-case value of $10.7 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The design options DOE analyzed include the use of VIPs for all analyzed product class 11 and 18 units to reach max-tech efficiency levels. Additionally, the design options analyzed for some products also included other costly changes. For the 1.7-cubic foot product class 11 unit, the design options analyzed included multiple VIPs, a larger heat exchanger, and thicker insulation. The design options analyzed for the 4-cubic foot product class 11 unit also included a variable speed compressor and thicker insulation. For product class 18, DOE assumed that manufacturers would remove the design options necessary to meet TSLs 1 through 4 and add a variable speed compressor and thicker insulation for both analyzed products. These significant changes greatly increase the investment required to manufacture standards-compliant products. DOE estimated that product conversion costs would be $67 million at TSL 5, an increase of almost 40 percent over TSL 4. DOE also estimated that capital conversion costs would be $220 million, a more than three-fold increase over TSL 4. This drastic increase in conversion costs demonstrates the significant investments required by implementing widespread use of VIPs and increasing wall thickness.</P>
                    <P>At TSL 5, the shipment-weighted MPC increases by over 150 percent over the baseline after standards due to the high material costs of VIPs and variable speed compressors. These large jumps cause shipments to decrease by 42 percent due to the price elasticity in 2014 alone. As a result of lower industry shipments and extremely high conversion costs, INPV decreases substantially from TSL 4 to TSL 5 and becomes negative under the preservation of operating profit scenario, which indicates the industry loses more than its base-case value in the standards case under this scenario.</P>
                    <HD SOURCE="HD3">iv. Cash-Flow Analysis Results for Built-In Refrigeration Products</HD>
                    <P>As part of its cash-flow analysis for built-in refrigeration products, DOE applied two different scenarios to project the impacts on manufacturers from standards at the various TSLs that DOE considered. The following tables provide those projected impacts under the flat-markup and preservation of operating profit markup scenarios.</P>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.29—Manufacturer Impact Analysis for Built-In Refrigeration Products—Flat Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>554.1</ENT>
                            <ENT>502.2</ENT>
                            <ENT>499.0</ENT>
                            <ENT>486.1</ENT>
                            <ENT>471.2</ENT>
                            <ENT>464.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(51.9)</ENT>
                            <ENT>(55.1)</ENT>
                            <ENT>(68.0)</ENT>
                            <ENT>(82.9)</ENT>
                            <ENT>(89.9)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"> </ENT>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−9.4%</ENT>
                            <ENT>−9.9%</ENT>
                            <ENT>−12.3%</ENT>
                            <ENT>−15.0%</ENT>
                            <ENT>−16.2%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>41</ENT>
                            <ENT>51</ENT>
                            <ENT>65</ENT>
                            <ENT>75</ENT>
                            <ENT>87</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>40</ENT>
                            <ENT>38</ENT>
                            <ENT>55</ENT>
                            <ENT>74</ENT>
                            <ENT>84</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>81</ENT>
                            <ENT>89</ENT>
                            <ENT>119</ENT>
                            <ENT>149</ENT>
                            <ENT>171</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="8" OPTS="L2,i1" CDEF="s50,r50,10,10,10,10,10,10">
                        <TTITLE>Table VI.30—Manufacturer Impact Analysis for Built-In Refrigeration Products—Preservation of Operating Profit Markup Scenario</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Units</CHED>
                            <CHED H="1">Base case</CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT>554.1</ENT>
                            <ENT>501.5</ENT>
                            <ENT>497.6</ENT>
                            <ENT>477.0</ENT>
                            <ENT>456.5</ENT>
                            <ENT>442.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Change in INPV</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>(52.6)</ENT>
                            <ENT>(56.5)</ENT>
                            <ENT>(77.2)</ENT>
                            <ENT>(97.6)</ENT>
                            <ENT>(112.1)</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,d">
                            <ENT I="22"> </ENT>
                            <ENT>(%)</ENT>
                            <ENT/>
                            <ENT>−9.5%</ENT>
                            <ENT>−10.2%</ENT>
                            <ENT>−13.9%</ENT>
                            <ENT>−17.6%</ENT>
                            <ENT>−20.2%</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Product Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>41</ENT>
                            <ENT>51</ENT>
                            <ENT>65</ENT>
                            <ENT>75</ENT>
                            <ENT>87</ENT>
                        </ROW>
                        <ROW RUL="n,n,n,s">
                            <ENT I="01">Capital Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>40</ENT>
                            <ENT>38</ENT>
                            <ENT>55</ENT>
                            <ENT>74</ENT>
                            <ENT>84</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Conversion Costs</ENT>
                            <ENT>(2009$ millions)</ENT>
                            <ENT/>
                            <ENT>81</ENT>
                            <ENT>89</ENT>
                            <ENT>119</ENT>
                            <ENT>149</ENT>
                            <ENT>171</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>TSL 1 represents a 10-percent reduction in measured energy use over the current energy conservation standards for the analyzed built-in all-refrigerator product class 3A-BI, the analyzed built-in bottom-mount product class 5-BI, the analyzed built-in side-by-side product class 7-BI, and for the analyzed built-in freezer product class 9-BI. DOE estimates the INPV impacts at TSL 1 to range from −$51.9 million to −$52.6 million, or a change in INPV of −9.4 percent to −9.5 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 70.7 percent to $11.0 million, compared to the base-case value of $37.5 million in the year leading up to the amended energy conservation standards.</P>
                    <P>
                        At TSL 1, the design options that DOE analyzed result in moderate changes in the manufacturing process for built-in refrigeration products. For product classes 3A-BI and 9-BI, the design options that DOE analyzed to reach TSL 1 included the use of more efficient 
                        <PRTPAGE P="57578"/>
                        components that do not require significant changes to the manufacturing process. However, for product class 5-BI and product class 7-BI, the design options DOE analyzed also include the use of VIPs in the freezer door. While these components add to the overall costs of production, the added costs represent a small percentage of the total cost of a built-in refrigeration product. These cost deltas are low compared to the overall cost of the products and result in small impacts even if no additional profit is earned on the incremental MPCs. The estimated product conversion costs for all built-in refrigeration products at TSL 1 are $41 million and the estimated capital conversion costs are $40 million. The implementation of VIPs represents a substantial part of the conversion costs, but several built-in refrigeration manufacturers have products that use similar technology, which helps to mitigate some of the product conversion costs that would be required to design products from the ground up.
                    </P>
                    <P>TSL 2 represents a 15-percent reduction in measured energy use for product class 3A-BI and product class 5-BI. For product classes 7-BI and 9-BI, TSL 2 represents a reduction of 10 percent and 20 percent, respectively. DOE estimates the INPV impacts at TSL 2 to range from −$55.1 million to −$56.5 million, or a change in INPV of −9.9 percent to −10.2 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 75.2 percent to $9.3 million, compared to the base-case value of $37.5 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The efficiency requirements for product class 7-BI refrigerator-freezers do not change from TSL 1 to TSL 2, but the efficiency requirements for all other analyzed built-in product classes increase. The design options that DOE analyzes at TSL 2 for product classes 3A-BI and 7-BI still only include component swaps to reach a 15-percent efficiency improvement. Product class 5-BI uses a variable speed compressor in the freezer with a brushless DC condenser fan motor, but no longer use the VIPs used to reach TSL 1. The design options analyzed for product class 9-BI include a brushless DC evaporator and condenser fan motor, a larger condenser, a variable speed compressor, and a VIP in the upper door. Because product class 5-BI no longer uses VIPs and fewer changes to existing products are necessary, the overall impact is a slight decrease in capital conversion costs from $40 million at TSL 1 to $38 million at TSL 2. Product conversion costs increase to $51 million at TSL 2 because additional engineering time would be required to implement the additional component changes. However, because the complexity of the changes to the products and production facilities are similar at TSL 1 and TSL 2, there is only a small decrease in INPV from TSL 1 to TSL 2.</P>
                    <P>TSL 3 represents a 20-percent reduction in measured energy use for product class 3A-BI and product class 7-BI. For product classes 5-BI and 9-BI, TSL 3 represents a reduction of 15 percent and 25 percent, respectively. DOE estimates the INPV impacts at TSL 3 to range from −$68.0 million to −$77.2 million, or a change in INPV of −12.3 percent to −13.9 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 102.9 percent to −$1.1 million, compared to the base-case value of $37.5 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The efficiency requirements for product class 5-BI do not change from TSL 2 to TSL 3. However, the design options for all other built-in refrigeration products at TSL 3 include the implementation of VIPs. The widespread implementation of VIPs increases product and capital conversion costs, which are estimated to be $65 million and $55 million at TSL 3, respectively. Substantial changes to existing production facilities would be required to manufacture products that meet the required efficiencies at TSL 3. Most of the capital conversion costs involve purchasing new production equipment and would result in high stranded assets. The extensive changes that manufacturers would be required to make to existing facilities and the projected erosion of profitability if the additional production cost of implementing VIPs does not yield additional profit result in a projected decrease in INPV from TSL 3 to TSL 4. However, the industry value is high relative to the required capital conversion costs and the cost of the additional VIP panels is relatively small compared to the overall cost of the products, which helps to mitigate some of the negative impacts caused by these changes.</P>
                    <P>TSL 4 represents a 25-percent reduction in measured energy use over the current energy conservation standards for the following product classes: 3A-BI, 5-BI, and 9-BI. For product class 7-BI, TSL 4 represents a 20-percent reduction in measured energy use from current energy conservation standards. DOE estimates the INPV impacts at TSL 4 to range from −$82.9 million to −$97.6 million, or a change in INPV of −15.0 percent to −17.6 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 130.3 percent to −$11.4 million, compared to the base-case value of $37.5 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The efficiency requirements for product class 7-BI do not change from TSL 3 to TSL 4. The design options for the other built-in refrigeration products all include the addition of more VIPs to reach TSL 4. The design options analyzed for product classes 3A-BI and 5-BI also include using a variable speed compressor. The complexity of implementing multiple component swaps and the additional production equipment necessary to use additional VIPs increases both the product and capital conversion costs. These costs are estimated to be $75 million and $74 million at TSL 4, respectively, and result in a decrease in INPV from TSL 3 to TSL 4.</P>
                    <P>TSL 5 represents max tech for the four built-in product classes. This TSL represents a reduction in measured energy use of 29 percent, 27 percent, 22 percent, and 27 percent, respectively, for product classes 3A-BI, 5-BI, 7-BI, and 9-BI. DOE estimates the INPV impacts at TSL 5 to range from −$89.9 million to −$112.1 million, or a change in INPV of −16.2 percent to −20.2 percent. At this TSL, the industry cash flow is estimated to decrease by approximately 149.5 percent to −$18.6 million, compared to the base-case value of $37.5 million in the year leading up to the amended energy conservation standards.</P>
                    <P>The design options analyzed by DOE include the widespread use of VIPs to achieve the max-tech efficiency levels at TSL 5. Additionally, product class 3A-BI uses multiple variable speed compressors. Since the implementation of VIPs is both research and capital intensive, product and capital conversion costs increase to $87 million and $84 million, respectively. The complexity of implementing multiple component swaps and the additional production equipment necessary to use additional VIPs increases both the product and capital costs.</P>
                    <HD SOURCE="HD3">b. Impacts on Employment</HD>
                    <P>
                        DOE quantitatively assessed the impacts of potential amended energy conservation standards on employment. DOE used the GRIM to estimate the domestic labor expenditures and number of domestic production workers in the base case and at each TSL from 2010 to 2043. DOE used statistical data from the most recent U.S. Census 
                        <PRTPAGE P="57579"/>
                        Bureau's 2007 Economic Census, the results of the engineering analysis, and interviews with manufacturers to determine the inputs necessary to calculate industry-wide labor expenditures and domestic employment levels. Labor expenditures involved with the manufacture of the product are a function of the labor intensity of the product, the sales volume, and an assumption that wages remain fixed in real terms over time.
                    </P>
                    <P>
                        In each GRIM, DOE used the labor content of each product and the manufacturing production costs from the engineering analysis to estimate the annual labor expenditures in the residential refrigeration product industry. DOE used Census data and interviews with manufacturers to estimate the portion of the total labor expenditures that is attributable to U.S. (
                        <E T="03">i.e.,</E>
                         domestic) labor.
                    </P>
                    <P>The production worker estimates in this section only cover workers up to the line-supervisor level who are directly involved in fabricating and assembling a product within an Original Equipment Manufacturer (OEM) facility. Workers performing services that are closely associated with production operations, such as material handing with a forklift, are also included as production labor. DOE's estimates only account for production workers who manufacture the specific products covered by this rulemaking. For example, a worker on a wine cooler line would not be included with the estimate of the number of residential refrigeration workers.</P>
                    <P>The employment impacts shown in Table VI.31 through Table VI.33 represent the potential production employment that could result following amended energy conservation standards. The upper end of the results in these tables estimates the maximum change in the number of production workers after amended energy conservation standards must be met. The upper end of the results assumes manufacturers would continue to produce the same scope of covered products in the same production facilities. The upper end of the range also assumes that domestic production does not shift to lower-labor-cost countries. Because there is a real risk of manufacturers evaluating sourcing decisions in response to amended energy conservation standards, the lower end of the range of employment results in Table VI.31 through Table VI.33 includes the estimated total number of U.S. production workers in the industry who could lose their jobs if all existing production were moved outside of the U.S. While the results present a range of employment impacts following the compliance date of amended energy conservation standards, the discussion below also includes a qualitative discussion of the likelihood of negative employment impacts at the various TSLs. Finally, the employment impacts shown are independent of the employment impacts from the broader U.S. economy, which are documented in chapter 13, Employment Impact Analysis, of the final rule TSD.</P>
                    <HD SOURCE="HD3">i. Standard-Size Refrigerator-Freezer Employment Impacts</HD>
                    <P>Using the GRIM, DOE estimates that, in the absence of amended energy conservation standards, there would be 7,351 domestic production workers involved in manufacturing standard-size refrigerator-freezers in 2014. Using 2007 Census Bureau data and interviews with manufacturers, DOE estimates that approximately 42 percent of standard-size refrigerator-freezers sold in the United States are manufactured domestically. Table VI.31 shows the range of the impacts of potential amended energy conservation standards on U.S. production workers in the standard-size refrigerator-freezer market.</P>
                    <GPOTABLE COLS="07" OPTS="L2,i1" CDEF="s50,13,13,13,13,13,13">
                        <TTITLE>Table VI.31—Potential Changes in the Total Number of Domestic Standard-Size Refrigerator-Freezer Production Workers in 2014</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">Base case</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Total Number of Domestic Production Workers in 2014 (without changes in production locations)</ENT>
                            <ENT>7,351</ENT>
                            <ENT>7,164</ENT>
                            <ENT>7,127</ENT>
                            <ENT>7,172</ENT>
                            <ENT>7,109</ENT>
                            <ENT>6,981</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Potential Changes in Domestic Production Workers in 2014 *</ENT>
                            <ENT/>
                            <ENT>(187)-(7,351)</ENT>
                            <ENT>(224)-(7,351)</ENT>
                            <ENT>(179)-(7,351)</ENT>
                            <ENT>(242)-(7,351)</ENT>
                            <ENT>(307)-(7,351)</ENT>
                        </ROW>
                        <TNOTE>* DOE presents a range of potential employment impacts. Numbers in parentheses indicate negative numbers.</TNOTE>
                    </GPOTABLE>
                    <P>All examined TSLs show relatively minor impacts on domestic employment levels at the lower end of the range. Most of the design options used in the engineering analysis involve the swapping of components in baseline units with more efficient parts for top-mounted, side-by-side, and bottom-mounted refrigerator-freezers. These component swaps for these design options add primarily material costs and do not greatly impact the labor content of the baseline products. The relatively small decreases in domestic production employment for the lower end of the range of the employment impacts arise from higher product prices lowering shipments the year the standard becomes effective. At these higher TSLs, the effects of lower shipments more than offset the additional product labor that is required to manufacture products that use VIP panels.</P>
                    <P>During interviews, manufacturers indicated that their domestic employment levels could be impacted under two scenarios: (1) The widespread adoption of VIPs or (2) significant capital conversion costs that would force them to consider non-domestic manufacturing locations once the compliance date for the amended energy conservation standards arrive. The widespread adoption of VIPs would increase the labor content of today's products. The labor content of products with VIPs increases because of the extra handling steps that would be required to ensure that VIPs are not damaged during production. Because of the competitive nature of the industry, manufacturers believed the extra labor costs could force them to move their remaining domestic production to lower labor cost countries to take advantage of the cheaper labor they offer.</P>
                    <P>
                        Manufacturers also indicated that large conversion costs would likely force them to consider investing in lower-labor-cost countries. For most product categories, there is a range of efficiency levels that can be met with relatively low-cost components (as analyzed in the engineering analysis). 
                        <PRTPAGE P="57580"/>
                        Beyond these levels, manufacturers would need to decide to follow the MPC design options analyzed in the engineering analysis for each product category. Manufacturers indicated the analyzed design options that use multiple VIPs would involve significant capital conversion costs and add very large material costs to their products that would likely result in the relocation of their production facilities abroad. However, manufacturers indicated they would face even larger capital conversion costs at lower efficiencies if they redesigned their products with thicker walls. While not analyzed as a design option for standard-size refrigerator-freezers, increasing wall thickness would likely result in moving domestic production outside of the U.S. at lower efficiency levels.
                    </P>
                    <HD SOURCE="HD3">ii. Standard-Size Freezer Employment Impacts</HD>
                    <P>Using the GRIM, DOE estimates that, in the absence of amended energy conservation standards, there would be 1,643 standard-size freezer production workers in the U.S. in 2014. Using the 2007 Census data and interviews with manufacturers, DOE estimates that approximately 80 percent of standard-size freezers sold in the United States are manufactured domestically. Table VI.32 shows the impacts of amended energy conservation standards on U.S. production workers in the standard-size freezer market.</P>
                    <GPOTABLE COLS="07" OPTS="L2,i1" CDEF="s50,13,13,13,13,13,13">
                        <TTITLE>Table VI.32—Potential Changes in the Total Number of Domestic Standard-Size Freezer Production Workers in 2014</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">Base case</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Total Number of Domestic Production Workers in 2014 (without changes in production locations)</ENT>
                            <ENT>1,643</ENT>
                            <ENT>1,597</ENT>
                            <ENT>1,537</ENT>
                            <ENT>1,497</ENT>
                            <ENT>1,410</ENT>
                            <ENT>1,303</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Potential Changes in Domestic Production Workers in 2014*</ENT>
                            <ENT/>
                            <ENT>(46)-(1,643)</ENT>
                            <ENT>(106)-(1,643)</ENT>
                            <ENT>(146)-(1,643)</ENT>
                            <ENT>(233)-(1,643)</ENT>
                            <ENT>(340)-(1,643)</ENT>
                        </ROW>
                        <TNOTE>* DOE presents a range of potential employment impacts. Numbers in parentheses indicate negative numbers.</TNOTE>
                    </GPOTABLE>
                    <P>Similar to standard-size refrigerator-freezers, there are relatively small decreases in employment at the lower end of the range of employment impacts. These slight declines are caused by higher prices that drive lower shipments once manufacturers must meet the amended energy conservation standard. Standard-size freezer manufacturers also indicated that domestic production could be shifted abroad with any efficiency level that required large capital conversion costs. At TSL 1, DOE does not expect substantial changes to domestic employment in the standard-size freezer market if manufacturers use the design options listed in the engineering analysis to reach the efficiency requirements at this TSL.</P>
                    <P>However, at TSL 2 through TSL 5, manufacturers indicated that there could be domestic employment impacts depending on the design pathway used to reach the required efficiencies. At TSL 2 and above, the engineering analysis assumes that manufacturers would have to change wall thicknesses to reach the required efficiencies. Manufacturers indicated that because these products are typically low-end, they would likely follow the design pathways in the engineering analysis and increase the wall insulation thickness to reach higher efficiencies in order to avoid having to pass large price increases on to consumers. While this approach would result in extremely large conversion costs and would be more likely lead to manufacturers moving production abroad, manufacturers believed this strategy would help to maintain sales volumes.</P>
                    <HD SOURCE="HD3">iii. Compact Refrigeration Product Employment Impacts</HD>
                    <P>DOE's research suggests that a limited percentage of compact refrigerators and refrigerator-freezers are made domestically (see Table VI.33). The overwhelming majority of products are imported. Manufacturers with domestic manufacturing facilities tend to source or import their compact products. The small employment numbers are mostly from remaining domestic production of compact chest freezers. As a result, amended energy conservation standards for compact refrigerators or refrigerator-freezers are unlikely to noticeably alter domestic employment levels.</P>
                    <GPOTABLE COLS="07" OPTS="L2,i1" CDEF="s50,13,13,13,13,13,13">
                        <TTITLE>Table VI.33—Potential Changes in the Total Number of Domestic Compact Refrigeration Product Production Workers in 2014</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">Base case</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Total Number of Domestic Production Workers in 2014 (without changes in production locations)</ENT>
                            <ENT>27</ENT>
                            <ENT>26</ENT>
                            <ENT>26</ENT>
                            <ENT>25</ENT>
                            <ENT>24</ENT>
                            <ENT>40</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Potential Changes in Domestic Production Workers in 2014*</ENT>
                            <ENT/>
                            <ENT>(1)-(27)</ENT>
                            <ENT>(1)-(27)</ENT>
                            <ENT>(2)-(27)</ENT>
                            <ENT>(3)-(27)</ENT>
                            <ENT>13-(27)</ENT>
                        </ROW>
                        <TNOTE>* DOE presents a range of potential employment impacts. Numbers in parentheses indicate negative numbers.</TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57581"/>
                    <HD SOURCE="HD3">iv. Built-In Refrigeration Product Employment Impacts</HD>
                    <P>Using the GRIM, DOE estimates that, in the absence of amended energy conservation standards, there would be 1,139 U.S. works manufacturing built-in refrigeration products in 2014. Using the 2007 Census data and interviews with manufacturers, DOE estimates that approximately 94 percent of the built-in refrigeration products sold in the United States are manufactured domestically. Table VI.34 shows the impacts of amended energy conservation standards on U.S. production workers in the built-in refrigeration market.</P>
                    <GPOTABLE COLS="7" OPTS="L2,i1" CDEF="s50,13,13,13,13,13,13">
                        <TTITLE>Table VI.34—Potential Changes in the Total Number of Built-In Refrigeration Product Production Workers in 2014</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="2">Base case</CHED>
                            <CHED H="2">1</CHED>
                            <CHED H="2">2</CHED>
                            <CHED H="2">3</CHED>
                            <CHED H="2">4</CHED>
                            <CHED H="2">5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Total Number of Domestic Production Workers in 2014 (without changes in production locations)</ENT>
                            <ENT>1,139</ENT>
                            <ENT>1,139</ENT>
                            <ENT>1,138</ENT>
                            <ENT>1,145</ENT>
                            <ENT>1,148</ENT>
                            <ENT>1,171</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Potential Changes in Domestic Production Workers in 2014*</ENT>
                            <ENT/>
                            <ENT>0-(1,139)</ENT>
                            <ENT>(1)-(1,139)</ENT>
                            <ENT>6-(1,139)</ENT>
                            <ENT>9-(1,139)</ENT>
                            <ENT>32-(1,139)</ENT>
                        </ROW>
                        <TNOTE>* DOE presents a range of potential employment impacts. Numbers in parentheses indicate negative numbers.</TNOTE>
                    </GPOTABLE>
                    <P>Employment in the built-in refrigeration market follows a pattern similar to that seen in the market for standard-size refrigerator-freezers and standard-size freezers at lower TSLs. At TSL 1 and TSL 2, higher prices result in fewer shipments, and a consequent reduction in labor expenditures that more than offsets the additional labor required to manufacture products with VIPs. However, at TSL 3 and above, the use of additional VIPs in built-in refrigeration products requires enough additional labor to cause a slight increase in the number of domestic production workers. Because built-in products are high-end products with far fewer shipments, it is less likely that manufacturers would choose to move all production facilities in response to amended energy conservation standards. The higher margins and profit earned in this market also make it more likely that manufacturers could earn a return on the investments required to reach the amended energy conservation standards and invest in existing facilities rather than move production abroad.</P>
                    <HD SOURCE="HD3">c. Impacts on Manufacturing Capacity</HD>
                    <P>Manufacturers indicated that design changes involving thicker walls or multiple VIP panels would require substantial changes to their current manufacturing process. While these technologies would require the purchase of millions of dollars of production equipment, most manufacturers indicated they would likely be able to make even these substantial changes in between the announcement of the final rule and compliance date of an amended energy conservation standard. Manufacturers have had experience with the design options involving VIPs (even if not at the scale that would be required if the higher efficiency levels were adopted) and thickening walls. In addition, the design changes and investments analyzed at the levels required by the amended energy conservation standards for most product classes are more similar in magnitude to the introduction of a new product line—rather than complete redesigning of all products. Therefore, a larger capacity concern of manufacturers is the ability of their suppliers, particularly manufacturers of VIPs and more efficient compressors, to ramp up production in time to meet the amended energy conservation standard.</P>
                    <HD SOURCE="HD3">d. Impacts on Sub-Group(s) of Manufacturers</HD>
                    <P>For this rulemaking, DOE used the results of the industry characterization to identify any subgroups of refrigerator manufacturers that exhibit similar characteristics different from the industry as a whole. The only such subgroup DOE identified was built-in manufacturers. DOE is establishing separate product classes for built-in products and is presenting separate analytical results for those products classes. Therefore, the MIA results DOE presents for those product classes already allow DOE to examine the MIA impacts on these manufacturers. Section 0 presents a more detailed discussion of the results for built-in product classes.</P>
                    <HD SOURCE="HD3">e. Cumulative Regulatory Burden</HD>
                    <P>While any one regulation may not impose a significant burden on manufacturers, the combined effects of several impending regulations may have serious consequences for some manufacturers, groups of manufacturers, or an entire industry. Assessing the impact of a single regulation may overlook this cumulative regulatory burden. In addition to energy conservation standards, other regulations can significantly affect manufacturers' financial health. Multiple regulations affecting the same manufacturer can strain profits and can lead companies to abandon product lines or markets with lower expected future returns than competing products. For these reasons, DOE conducts an analysis of cumulative regulatory burden as part of its rulemakings pertaining to appliance efficiency.</P>
                    <P>During previous stages of this rulemaking DOE identified a number of requirements with which manufacturers of these refrigeration products must comply and which take effect within three years of the anticipated effective date of the amended standards. DOE discusses these and other requirements, and includes the full details of the cumulative regulatory burden, in chapter 12 of the final rule's TSD. In chapter 12, DOE shows that many of the same products produced by residential refrigeration product manufacturers are also regulated by DOE and have a compliance date within 3 years of the compliance date of this rulemaking.</P>
                    <HD SOURCE="HD3">3. National Impact Analysis</HD>
                    <HD SOURCE="HD3">a. Significance of Energy Savings</HD>
                    <P>
                        To estimate the national energy savings attributable to potential standards for refrigeration products, DOE compared the energy consumption of these products under the base case to their anticipated energy consumption under each TSL. Table VI-35 through Table VI-38 present DOE's forecasts of the national energy savings for each TSL, which were calculated using the approach described in section IV.G. Chapter 10 of the final rule TSD 
                        <PRTPAGE P="57582"/>
                        presents tables that also show the magnitude of the energy savings if the savings are discounted at rates of seven and three percent. Discounted energy savings represent a policy perspective in which energy savings realized farther in the future are less significant than energy savings realized in the nearer term.
                    </P>
                    <P/>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,16,16,16">
                        <TTITLE>Table VI.35—Standard-Size Refrigerator-Freezers: Cumulative National Energy Savings in Quads</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Top-mount refrigerator-freezers and all-refrigerators</CHED>
                            <CHED H="2">
                                Product classes 1, 1A, 2, 3, 3A, 3I
                                <LI>and 6</LI>
                            </CHED>
                            <CHED H="1">Bottom-mount refrigerator-freezers</CHED>
                            <CHED H="2">Product classes 5, 5A, and 5I</CHED>
                            <CHED H="1">Side-by-side refrigerator-freezers</CHED>
                            <CHED H="2">Product classes 4, 4I, and 7</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1.73</ENT>
                            <ENT>0.10</ENT>
                            <ENT>0.58</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>1.73</ENT>
                            <ENT>0.10</ENT>
                            <ENT>0.95</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>2.22</ENT>
                            <ENT>0.10</ENT>
                            <ENT>0.95</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>2.67</ENT>
                            <ENT>0.48</ENT>
                            <ENT>1.30</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>3.11</ENT>
                            <ENT>0.70</ENT>
                            <ENT>1.50</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,20,20">
                        <TTITLE>Table VI.36—Standard-Size Freezers: Cumulative National Energy Savings in Quads</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Upright freezers</CHED>
                            <CHED H="2">
                                Product classes 8, 9
                                <LI>and 9I</LI>
                            </CHED>
                            <CHED H="1">Chest freezers</CHED>
                            <CHED H="2">
                                Product classes 10
                                <LI>and 10A</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.49</ENT>
                            <ENT>0.31</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.75</ENT>
                            <ENT>0.38</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.87</ENT>
                            <ENT>0.46</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.98</ENT>
                            <ENT>0.53</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>1.01</ENT>
                            <ENT>0.60</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,20,20">
                        <TTITLE>Table VI.37—Compact Refrigeration Products: Cumulative National Energy Savings in Quads</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Compact refrigerators</CHED>
                            <CHED H="2">Product classes 11, 11A, 12, 13, 13I, 13A, 14, 14I, 15 and 15I</CHED>
                            <CHED H="1">Compact freezers</CHED>
                            <CHED H="2">
                                Product classes
                                <LI>16, 17, 18</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.28</ENT>
                            <ENT>0.03</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.35</ENT>
                            <ENT>0.03</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.39</ENT>
                            <ENT>0.04</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.48</ENT>
                            <ENT>0.07</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.51</ENT>
                            <ENT>0.09</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,16,16,16,16">
                        <TTITLE>Table VI.38—Built-In Refrigeration Products: Cumulative National Energy Savings in Quads</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">
                                Built-in all
                                <LI>refrigerators</LI>
                            </CHED>
                            <CHED H="2">
                                Product class
                                <LI>3A-BI</LI>
                            </CHED>
                            <CHED H="1">Built-in bottom-mount refrigerator-freezers</CHED>
                            <CHED H="2">
                                Product classes
                                <LI>5-BI and 5I-BI</LI>
                            </CHED>
                            <CHED H="1">Built-in side-by-side refrigerator-freezers</CHED>
                            <CHED H="2">
                                Product classes
                                <LI>4-BI, 4I-BI and</LI>
                                <LI>7-BI</LI>
                            </CHED>
                            <CHED H="1">Built-in upright freezers</CHED>
                            <CHED H="2">
                                Product classes
                                <LI>9-BI and 9I-BI</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.00</ENT>
                            <ENT>0.00</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.00</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.00</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.01</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.00</ENT>
                            <ENT>0.03</ENT>
                            <ENT>0.01</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.03</ENT>
                            <ENT>0.01</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.04</ENT>
                            <ENT>0.02</ENT>
                        </ROW>
                    </GPOTABLE>
                    <HD SOURCE="HD3">b. Net Present Value of Consumer Costs and Benefits</HD>
                    <P>
                        DOE estimated the cumulative NPV to the Nation of the total costs and savings for consumers that would result from particular standard levels for refrigeration products. In accordance with the OMB's guidelines on regulatory analysis (OMB Circular A-4, section E, September 17, 2003), DOE calculated NPV using both a 7-percent and a 3-percent real discount rate. The 7-percent rate is an estimate of the average before-tax rate of return on private capital in the U.S. economy and reflects the returns on real estate and small business capital as well as corporate capital. DOE used this discount rate to approximate the opportunity cost of capital in the private sector, since a recent OMB analysis has found the average rate of return on capital to be near this rate. See 
                        <E T="03">http://www.whitehouse.gov/omb/circulars_a004_a-4/.</E>
                         In addition, DOE used the 3-percent rate to capture the potential effects of standards on private 
                        <PRTPAGE P="57583"/>
                        consumption (
                        <E T="03">e.g.,</E>
                         through higher prices for products and the purchase of reduced amounts of energy). This rate represents the rate at which society discounts future consumption flows to their present value. It can be approximated by the real rate of return on long-term government debt (
                        <E T="03">i.e.</E>
                         yield on Treasury notes minus annual rate of change in the Consumer Price Index), which has averaged about 3 percent on a pre-tax basis for the last 30 years.
                    </P>
                    <P>Table VI-39 through Table VI-46 show the default consumer NPV results for each TSL DOE considered for refrigeration products, using both a 7-percent and a 3-percent discount rate. In each case, the impacts cover the lifetime of products purchased in 2014-2043. See chapter 10 of the final rule TSD for more detailed NPV results.</P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,16,16,16">
                        <TTITLE>Table VI.39—Cumulative Net Present Value of Consumer Benefits for Standard-Size Refrigerator-Freezers, 3-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">Top-mount refrigerator-freezers and all-refrigerators</CHED>
                            <CHED H="3">
                                Product classes 1, 1A, 2, 3, 3A, 3I
                                <LI>and 6</LI>
                            </CHED>
                            <CHED H="2">Bottom-mount refrigerator-freezers</CHED>
                            <CHED H="3">Product classes 5, 5A, and 5I</CHED>
                            <CHED H="2">Side-by-side refrigerator-freezers</CHED>
                            <CHED H="3">Product classes 4, 4I, and 7</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>11.45</ENT>
                            <ENT>0.94</ENT>
                            <ENT>5.43</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>11.45</ENT>
                            <ENT>0.94</ENT>
                            <ENT>6.34</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>12.91</ENT>
                            <ENT>0.94</ENT>
                            <ENT>6.34</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>9.11</ENT>
                            <ENT>(0.47)</ENT>
                            <ENT>3.52</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>1.87</ENT>
                            <ENT>(2.52)</ENT>
                            <ENT>0.83</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,16,16,16">
                        <TTITLE>Table VI.40—Cumulative Net Present Value of Consumer Benefits for Standard-Size Refrigerator-Freezers, 7-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">Top-mount refrigerator-freezers and all-refrigerators</CHED>
                            <CHED H="3">
                                Product classes 1, 1A, 2, 3, 3A, 3I
                                <LI>and 6</LI>
                            </CHED>
                            <CHED H="2">Bottom-mount refrigerator-freezers</CHED>
                            <CHED H="3">Product classes 5, 5A, and 5I</CHED>
                            <CHED H="2">Side-by-side refrigerator-freezers</CHED>
                            <CHED H="3">Product classes 4, 4I, and 7</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>2.99</ENT>
                            <ENT>0.34</ENT>
                            <ENT>1.88</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>2.99</ENT>
                            <ENT>0.34</ENT>
                            <ENT>1.67</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>2.81</ENT>
                            <ENT>0.34</ENT>
                            <ENT>1.67</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>(0.31)</ENT>
                            <ENT>(1.17)</ENT>
                            <ENT>(0.60)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(5.28)</ENT>
                            <ENT>(2.74)</ENT>
                            <ENT>(2.53)</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,20,20">
                        <TTITLE>Table VI.41—Cumulative Net Present Value of Consumer Benefits for Standard-Size Freezers, 3-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">Upright freezers</CHED>
                            <CHED H="3">
                                Product classes 8, 9
                                <LI>and 9I</LI>
                            </CHED>
                            <CHED H="2">Chest freezers</CHED>
                            <CHED H="3">
                                Product classes 10
                                <LI>and 10A</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>5.03</ENT>
                            <ENT>3.25</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>7.37</ENT>
                            <ENT>3.33</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>7.69</ENT>
                            <ENT>3.94</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>7.51</ENT>
                            <ENT>3.52</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>5.17</ENT>
                            <ENT>2.42</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,20,20">
                        <TTITLE>Table VI.42—Cumulative Net Present Value of Consumer Benefits for Standard-Size Freezers, 7-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">Upright freezers</CHED>
                            <CHED H="3">
                                Product classes 8, 9
                                <LI>and 9I</LI>
                            </CHED>
                            <CHED H="2">Chest freezers</CHED>
                            <CHED H="3">
                                Product classes 10
                                <LI>and 10A</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1.70</ENT>
                            <ENT>1.11</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>2.38</ENT>
                            <ENT>0.96</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57584"/>
                            <ENT I="01">3</ENT>
                            <ENT>2.30</ENT>
                            <ENT>1.12</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>1.96</ENT>
                            <ENT>0.75</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.56</ENT>
                            <ENT>(0.04)</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,20,20">
                        <TTITLE>Table VI.43—Cumulative Net Present Value of Consumer Benefits for Compact Refrigeration Products, 3-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">Compact refrigerators</CHED>
                            <CHED H="3">Product classes 11, 11A, 12, 13, 13I, 13A, 14, 14I, 15 and 15I</CHED>
                            <CHED H="2">Compact freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>16, 17, </LI>
                                <LI>18</LI>
                                <LI> </LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1.61</ENT>
                            <ENT>0.20</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>1.42</ENT>
                            <ENT>0.20</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>1.62</ENT>
                            <ENT>0.21</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.81</ENT>
                            <ENT>(0.01)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(1.86)</ENT>
                            <ENT>(0.48)</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s100,20,20">
                        <TTITLE>Table VI.44—Cumulative Net Present Value of Consumer Benefits for Compact Refrigeration Products, 7-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">Compact refrigerators</CHED>
                            <CHED H="3">Product classes 11, 11A, 12, 13, 13I, 13A, 14, 14I, 15 and 15I</CHED>
                            <CHED H="2">Compact freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>16, 17, </LI>
                                <LI>18</LI>
                                <LI> </LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.67</ENT>
                            <ENT>0.09</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.51</ENT>
                            <ENT>0.09</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.59</ENT>
                            <ENT>0.08</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.08</ENT>
                            <ENT>(0.07)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(1.44)</ENT>
                            <ENT>(0.36)</ENT>
                        </ROW>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,16,16,16,16">
                        <TTITLE>Table VI.45—Cumulative Net Present Value of Consumer Benefits for Built-In Refrigeration Products, 3-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">
                                Built-in all
                                <LI>refrigerators</LI>
                            </CHED>
                            <CHED H="3">
                                Product class
                                <LI>3A-BI</LI>
                            </CHED>
                            <CHED H="2">Built-in bottom-mount refrigerator-freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>5-BI and 5I-BI</LI>
                            </CHED>
                            <CHED H="2">Built-in side-by-side refrigerator-freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>4-BI, 4I-BI and</LI>
                                <LI>7-BI</LI>
                            </CHED>
                            <CHED H="2">Built-in upright freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>9-BI and 9I-BI</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.04</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.06</ENT>
                            <ENT>0.05</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.05</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.06</ENT>
                            <ENT>0.07</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.01</ENT>
                            <ENT>(0.17)</ENT>
                            <ENT>0.05</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>(0.04)</ENT>
                            <ENT>(0.20)</ENT>
                            <ENT>(0.17)</ENT>
                            <ENT>0.05</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(0.08)</ENT>
                            <ENT>(0.31)</ENT>
                            <ENT>(0.43)</ENT>
                            <ENT>0.02</ENT>
                        </ROW>
                    </GPOTABLE>
                    [?ERROR?]
                    <PRTPAGE P="57585"/>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,15)0,15)0,15)0,15)0">
                        <TTITLE>Table VI.46—Cumulative Net Present Value of Consumer Benefits for Built-In Refrigeration Products, 7-Percent Discount Rate</TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009 dollars</CHED>
                            <CHED H="2">
                                Built-in all
                                <LI>refrigerators</LI>
                            </CHED>
                            <CHED H="3">
                                Product class
                                <LI>3A-BI</LI>
                            </CHED>
                            <CHED H="2">Built-in bottom-mount refrigerator-freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>5-BI and 5I-BI</LI>
                            </CHED>
                            <CHED H="2">Built-in side-by-side refrigerator-freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>4-BI, 4I-BI and</LI>
                                <LI>7-BI</LI>
                            </CHED>
                            <CHED H="2">Built-in upright freezers</CHED>
                            <CHED H="3">
                                Product classes
                                <LI>9-BI and 9I-BI</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.02</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.00</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.02</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.00</ENT>
                            <ENT>0.00</ENT>
                            <ENT>(0.16)</ENT>
                            <ENT>0.00</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>(0.04)</ENT>
                            <ENT>(0.14)</ENT>
                            <ENT>(0.16)</ENT>
                            <ENT>0.00</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(0.07)</ENT>
                            <ENT>(0.21)</ENT>
                            <ENT>(0.32)</ENT>
                            <ENT>(0.02)</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        The NPV results presented above are based on a product price trend that reflects the default price trend. As discussed in section IV.G.3, DOE investigated the impact of different price trends on the NPV for the considered TSLs. DOE selected a high price decline case and a low price decline case from among a number of price trends that it analyzed. Table VI.47 through Table VI.54 provide the annualized NPV of consumer benefits at 7-percent and 3-percent discount rates, combined with the annualized present value of monetized benefits from CO
                        <E T="52">2</E>
                         and NO
                        <E T="52">X</E>
                         emissions reductions, for each of the considered TSLs for the default price trend and the two sensitivity cases. (DOE's method for annualization is described in section VI.C.5 of this notice. Section VI.B.6 provides a complete description and summary of the monetized benefits from CO
                        <E T="52">2</E>
                         and NO
                        <E T="52">X</E>
                         emissions reductions.) For details on the combined NPV results, see appendix 10-C of the final rule TSD.
                    </P>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,15)0,15)0,15)0">
                        <TTITLE>
                            Table VI.47—Standard-Size Refrigerator-Freezers: Annualized Net Present Value of Consumer Benefits (7-Percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price 
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.825</ENT>
                            <ENT>0.902</ENT>
                            <ENT>0.726</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.845</ENT>
                            <ENT>0.948</ENT>
                            <ENT>0.715</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.881</ENT>
                            <ENT>1.017</ENT>
                            <ENT>0.708</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.288</ENT>
                            <ENT>0.593</ENT>
                            <ENT>(0.100)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(0.507)</ENT>
                            <ENT>(0.029)</ENT>
                            <ENT>(1.114)</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 7-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,16,16,15)0">
                        <TTITLE>
                            Table VI.48—Standard-Size Refrigerator-Freezers: Annualized Net Present Value of Consumer Benefits (3-Percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price 
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1.302</ENT>
                            <ENT>1.389</ENT>
                            <ENT>1.195</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>1.397</ENT>
                            <ENT>1.513</ENT>
                            <ENT>1.255</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>1.537</ENT>
                            <ENT>1.691</ENT>
                            <ENT>1.349</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>1.213</ENT>
                            <ENT>1.560</ENT>
                            <ENT>0.791</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.626</ENT>
                            <ENT>1.171</ENT>
                            <ENT>(0.036)</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 3-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57586"/>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,16,16,16">
                        <TTITLE>
                            Table VI.49—Standard-Size Freezers: Annualized Net Present Value of Consumer Benefits (7-Percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price 
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.387</ENT>
                            <ENT>0.398</ENT>
                            <ENT>0.372</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.482</ENT>
                            <ENT>0.508</ENT>
                            <ENT>0.448</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.513</ENT>
                            <ENT>0.550</ENT>
                            <ENT>0.465</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.459</ENT>
                            <ENT>0.516</ENT>
                            <ENT>0.387</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.239</ENT>
                            <ENT>0.333</ENT>
                            <ENT>0.118</ENT>
                        </ROW>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 7-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,16,16,16">
                        <TTITLE>
                            Table VI.50—Standard-Size Freezers: Annualized Net Present Value of Consumer Benefits (3-Percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.566</ENT>
                            <ENT>0.579</ENT>
                            <ENT>0.551</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.745</ENT>
                            <ENT>0.775</ENT>
                            <ENT>0.708</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.822</ENT>
                            <ENT>0.865</ENT>
                            <ENT>0.770</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.808</ENT>
                            <ENT>0.873</ENT>
                            <ENT>0.729</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.623</ENT>
                            <ENT>0.730</ENT>
                            <ENT>0.492</ENT>
                        </ROW>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 3-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,15)0,15)0,15)0">
                        <TTITLE>
                            Table VI.51—Compact Refrigeration Products: Annualized Net Present Value of Consumer Benefits (7-Percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.105</ENT>
                            <ENT>0.112</ENT>
                            <ENT>0.096</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.094</ENT>
                            <ENT>0.107</ENT>
                            <ENT>0.077</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.106</ENT>
                            <ENT>0.122</ENT>
                            <ENT>0.086</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.045</ENT>
                            <ENT>0.077</ENT>
                            <ENT>0.006</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(0.142)</ENT>
                            <ENT>(0.083)</ENT>
                            <ENT>(0.216)</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 7-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,15)0,15)0,15)0">
                        <TTITLE>
                            Table VI.52—Compact Refrigeration Products: Annualized Net Present Value of Consumer Benefits (3-Percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.129</ENT>
                            <ENT>0.137</ENT>
                            <ENT>0.119</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.124</ENT>
                            <ENT>0.139</ENT>
                            <ENT>0.105</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.141</ENT>
                            <ENT>0.159</ENT>
                            <ENT>0.119</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.091</ENT>
                            <ENT>0.127</ENT>
                            <ENT>0.047</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(0.085)</ENT>
                            <ENT>(0.018)</ENT>
                            <ENT>(0.166)</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 3-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57587"/>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,15)0,15)0,15)0">
                        <TTITLE>
                            Table VI.53—Built-in Refrigeration Products: Annualized Net Present Value of Consumer Benefits (7-Percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.008</ENT>
                            <ENT>0.009</ENT>
                            <ENT>0.008</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.009</ENT>
                            <ENT>0.010</ENT>
                            <ENT>0.008</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>(0.011)</ENT>
                            <ENT>(0.005)</ENT>
                            <ENT>(0.018)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>(0.028)</ENT>
                            <ENT>(0.019)</ENT>
                            <ENT>(0.040)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(0.056)</ENT>
                            <ENT>(0.043)</ENT>
                            <ENT>(0.074)</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 7-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="4" OPTS="L2,i1" CDEF="s50,15)0,15)0,15)0">
                        <TTITLE>
                            Table VI.54—Built-In Refrigeration Products: Annualized Net Present Value of Consumer Benefits (3-percent Discount Rate) and Annualized Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions * for Products Shipped in 2014-2043
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Trial standard level</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">
                                Medium price 
                                <LI>decline (default)</LI>
                            </CHED>
                            <CHED H="2">High price decline</CHED>
                            <CHED H="2">Low price decline</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.012</ENT>
                            <ENT>0.013</ENT>
                            <ENT>0.012</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.015</ENT>
                            <ENT>0.016</ENT>
                            <ENT>0.014</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.002</ENT>
                            <ENT>0.008</ENT>
                            <ENT>(0.006)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>(0.013)</ENT>
                            <ENT>(0.002)</ENT>
                            <ENT>(0.025)</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(0.036)</ENT>
                            <ENT>(0.021)</ENT>
                            <ENT>(0.056)</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * The economic benefits from reduced CO
                            <E T="52">2</E>
                             emissions were calculated using a SCC value of $22.1/metric ton in 2010 (in 2009$) for CO
                            <E T="52">2</E>
                            , increasing at 3% per year, and a discount rate of 3%. The economic benefits from reduced NO
                            <E T="52">X</E>
                             emissions were calculated using a value of $2,519/ton (in 2009$), which is the average of the low and high values used in DOE's analysis, and a 3-percent discount rate.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">c. Indirect Impacts on Employment</HD>
                    <P>DOE develops estimates of the indirect employment impacts of potential standards on the economy in general. As discussed above, DOE expects amended energy conservation standards for refrigeration products to reduce energy bills for consumers and the resulting net savings to be redirected to other forms of economic activity. These expected shifts in spending and economic activity could affect the demand for labor. As described in section IV.J, above, to estimate these effects, DOE used an input/output model of the U.S. economy. Table VI.55 presents the estimated net indirect employment impacts in 2020 and 2043 for the TSLs that DOE considered in this rulemaking. Chapter 13 of the final rule TSD presents more detailed results.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,12,12,12,12,12">
                        <TTITLE>Table VI.55—Net Increase in Jobs From Indirect Employment Effects Under Refrigeration Product TSLs</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Thousands</CHED>
                            <CHED H="2">TSL 1</CHED>
                            <CHED H="2">TSL 2</CHED>
                            <CHED H="2">TSL 3</CHED>
                            <CHED H="2">TSL 4</CHED>
                            <CHED H="2">TSL 5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">Standard-Size Refrigerator-Freezers: </ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2020</ENT>
                            <ENT>2.35</ENT>
                            <ENT>2.34</ENT>
                            <ENT>2.33</ENT>
                            <ENT>−0.06</ENT>
                            <ENT>−3.18</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2043</ENT>
                            <ENT>16.24</ENT>
                            <ENT>18.45</ENT>
                            <ENT>21.33</ENT>
                            <ENT>26.31</ENT>
                            <ENT>28.85</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Standard-Size Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2020</ENT>
                            <ENT>0.93</ENT>
                            <ENT>1.06</ENT>
                            <ENT>1.06</ENT>
                            <ENT>0.82</ENT>
                            <ENT>−0.05</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2043</ENT>
                            <ENT>5.18</ENT>
                            <ENT>7.24</ENT>
                            <ENT>8.38</ENT>
                            <ENT>9.19</ENT>
                            <ENT>9.12</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Compact Refrigeration Products:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2020</ENT>
                            <ENT>0.51</ENT>
                            <ENT>0.52</ENT>
                            <ENT>0.60</ENT>
                            <ENT>0.50</ENT>
                            <ENT>−0.04</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2043</ENT>
                            <ENT>1.44</ENT>
                            <ENT>1.64</ENT>
                            <ENT>1.88</ENT>
                            <ENT>2.02</ENT>
                            <ENT>1.53</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Built-In Refrigeration Products:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2020</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.02</ENT>
                            <ENT>−0.05</ENT>
                            <ENT>−0.11</ENT>
                            <ENT>−0.21</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">2043</ENT>
                            <ENT>0.14</ENT>
                            <ENT>0.19</ENT>
                            <ENT>0.29</ENT>
                            <ENT>0.31</ENT>
                            <ENT>−0.30</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        The input/output model suggests that today's amended standards are likely to increase the net demand for labor in the economy. However, the model suggests that the projected gains are very small relative to total national employment (currently approximately 120 million). Moreover, neither the BLS data nor the input/output model DOE uses includes the quality or wage level of the jobs. Therefore, because the analysis indicates an increased demand for labor would likely result from the amended energy conservation standards in this rulemaking, DOE has concluded that the 
                        <PRTPAGE P="57588"/>
                        amended standards are likely to produce employment benefits sufficient to offset fully any adverse impacts on employment in the manufacturing industry for the refrigeration products that are the subject of this rulemaking.
                    </P>
                    <HD SOURCE="HD3">4. Impact on Utility or Performance of Products</HD>
                    <P>As presented in section III.D.1.d of this notice, DOE concluded that none of the TSLs considered in this notice would substantially reduce the utility or performance of the products under consideration in this rulemaking. However, the availability of features that increase energy use, such as multiple drawers, might shift to higher-price products because the cost premium for implementing such features will likely increase. Manufacturers currently offer refrigeration products that meet or exceed the amended standards for most of the product classes. (42 U.S.C. 6295(o)(2)(B)(i)(IV))</P>
                    <HD SOURCE="HD3">5. Impact of Any Lessening of Competition</HD>
                    <P>DOE has also considered any lessening of competition that is likely to result from amended standards. The Attorney General determines the impact, if any, of any lessening of competition likely to result from an amended standard, and transmits such determination to the Secretary, together with an analysis of the nature and extent of such impact. (42 U.S.C. 6295(o)(2)(B)(i)(V) and (B)(ii))</P>
                    <P>To assist the Attorney General in making such determination, DOE has provided DOJ with copies of this final rule and the TSD for review. As indicated earlier, DOE did not receive comments from DOJ. Accordingly, DOE does not believe that there is likely to be any lessening of competition as a result of today's final rule.</P>
                    <HD SOURCE="HD3">6. Need of the Nation To Conserve Energy</HD>
                    <P>An improvement in the energy efficiency of the products subject to today's rule is likely to improve the security of the Nation's energy system by reducing overall demand for energy. Reduced electricity demand may also improve the reliability of the electricity system. As a measure of this reduced demand, Table VI-56 presents the estimated reduction in generating capacity in 2043 for the TSLs that DOE considered in this rulemaking.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,9.3,9.3,9.3,9.3,9.3">
                        <TTITLE>Table VI.56—Reduction in Electric Generating Capacity in 2043 Under Refrigeration Product TSLs</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Gigawatts</CHED>
                            <CHED H="2">TSL 1</CHED>
                            <CHED H="2">TSL 2</CHED>
                            <CHED H="2">TSL 3</CHED>
                            <CHED H="2">TSL 4</CHED>
                            <CHED H="2">TSL 5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">Standard-Size Refrigerator-Freezers</ENT>
                            <ENT>2.62</ENT>
                            <ENT>3.03</ENT>
                            <ENT>3.56</ENT>
                            <ENT>4.86</ENT>
                            <ENT>5.82</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Standard-Size Freezers</ENT>
                            <ENT>0.83</ENT>
                            <ENT>0.83</ENT>
                            <ENT>1.40</ENT>
                            <ENT>1.59</ENT>
                            <ENT>1.71</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Compact Refrigeration Products</ENT>
                            <ENT>0.273</ENT>
                            <ENT>0.335</ENT>
                            <ENT>0.386</ENT>
                            <ENT>0.480</ENT>
                            <ENT>0.511</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Built-In Refrigeration Products</ENT>
                            <ENT>0.021</ENT>
                            <ENT>0.031</ENT>
                            <ENT>0.062</ENT>
                            <ENT>0.077</ENT>
                            <ENT>0.092</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>DOE used NEMS-BT to assess the impacts on electricity prices of the reduced need for new electric power plants and infrastructure projected to result from standards. The projected impacts on prices, and their value to electricity consumers, are presented in chapter 14 and chapter 10, respectively, of the final rule TSD. Although the aggregate benefits for all electricity users are potentially large, there may be negative effects on the actors involved in electricity supply. Because there is uncertainty about the extent to which the calculated impacts from reduced electricity prices would be a transfer from the actors involved in electricity supply to electricity consumers, DOE has concluded that, at present, it should not assign a heavy weight to this factor in considering the economic justification of standards on refrigeration products.</P>
                    <P>
                        Energy savings from amended standards for refrigeration products could also produce environmental benefits in the form of reduced emissions of air pollutants and greenhouse gases associated with electricity production. Table VI.57 provides DOE's estimate of cumulative CO
                        <E T="52">2</E>
                        , NO
                        <E T="52">X</E>
                        , and Hg emissions reductions projected to result from the TSLs considered in this rulemaking. DOE reports annual CO
                        <E T="52">2</E>
                        , NO
                        <E T="52">X</E>
                        , and Hg emissions reductions for each TSL in chapter 15 of the final rule TSD.
                    </P>
                    <P>
                        As discussed in section  V.M, DOE did not report SO
                        <E T="52">2</E>
                         emissions reductions from power plants because there is uncertainty about the effect of energy conservation standards on the overall level of SO
                        <E T="52">2</E>
                         emissions in the United States due to SO
                        <E T="52">2</E>
                         emissions caps. DOE also did not include NO
                        <E T="52">X</E>
                         emissions reduction from power plants in States subject to CAIR because an energy conservation standard would not affect the overall level of NO
                        <E T="52">X</E>
                         emissions in those States due to the emissions caps mandated by CAIR.
                    </P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,10.2,10.2,10.2,10.2,10.2">
                        <TTITLE>Table VI.57—Summary of Emissions Reduction Estimated for Refrigeration Product TSLs</TTITLE>
                        <TDESC>[Cumulative for 2014 through 2043]</TDESC>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">TSL 1</CHED>
                            <CHED H="1">TSL 2</CHED>
                            <CHED H="1">TSL 3</CHED>
                            <CHED H="1">TSL 4</CHED>
                            <CHED H="1">TSL 5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">Standard-Size Refrigerator-Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>175</ENT>
                            <ENT>202</ENT>
                            <ENT>238</ENT>
                            <ENT>323</ENT>
                            <ENT>386</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>141</ENT>
                            <ENT>162</ENT>
                            <ENT>191</ENT>
                            <ENT>260</ENT>
                            <ENT>310</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Hg (tons)</ENT>
                            <ENT>0.79</ENT>
                            <ENT>0.91</ENT>
                            <ENT>1.07</ENT>
                            <ENT>1.45</ENT>
                            <ENT>1.73</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Standard-Size Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>54</ENT>
                            <ENT>77</ENT>
                            <ENT>91</ENT>
                            <ENT>103</ENT>
                            <ENT>110</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>43</ENT>
                            <ENT>62</ENT>
                            <ENT>73</ENT>
                            <ENT>83</ENT>
                            <ENT>89</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Hg (tons)</ENT>
                            <ENT>0.24</ENT>
                            <ENT>0.34</ENT>
                            <ENT>0.41</ENT>
                            <ENT>0.47</ENT>
                            <ENT>0.50</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Compact Refrigeration Products:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>20</ENT>
                            <ENT>24</ENT>
                            <ENT>28</ENT>
                            <ENT>35</ENT>
                            <ENT>39</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>16</ENT>
                            <ENT>20</ENT>
                            <ENT>23</ENT>
                            <ENT>29</ENT>
                            <ENT>32</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Hg (tons)</ENT>
                            <ENT>0.10</ENT>
                            <ENT>0.12</ENT>
                            <ENT>0.15</ENT>
                            <ENT>0.19</ENT>
                            <ENT>0.21</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Built-In Refrigeration Products:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>1.41</ENT>
                            <ENT>2.05</ENT>
                            <ENT>4.10</ENT>
                            <ENT>5.09</ENT>
                            <ENT>6.09</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57589"/>
                            <ENT I="03">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>1.14</ENT>
                            <ENT>1.65</ENT>
                            <ENT>3.30</ENT>
                            <ENT>4.09</ENT>
                            <ENT>4.90</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Hg (tons)</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.03</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        As part the analysis for this final rule, DOE estimated monetary benefits likely to result from the reduced emissions of CO
                        <E T="52">2</E>
                         and NO
                        <E T="52">X</E>
                         that DOE estimated for each of the TSLs considered. As discussed in section IV.M, DOE used values for the SCC developed by an interagency process. The four values for CO
                        <E T="52">2</E>
                         emissions reductions resulting from that process (expressed in 2009$) are $4.9/ton (the average value from a distribution that uses a 5-percent discount rate), $22.1/ton (the average value from a distribution that uses a 3-percent discount rate), $36.3/ton (the average value from a distribution that uses a 2.5-percent discount rate), and $67.1/ton (the 95th-percentile value from a distribution that uses a 3-percent discount rate). These values correspond to the value of emission reductions in 2010; the values for later years are higher due to increasing damages as the magnitude of climate change increases.
                    </P>
                    <P>
                        Table VI-58 through Table VI-61 present the global values of CO
                        <E T="52">2</E>
                         emissions reductions at each TSL. For each of the four cases, DOE calculated a present value of the stream of annual values using the same discount rate as was used in the studies upon which the dollar-per-ton values are based. DOE calculated domestic values as a range from 7 percent to 23 percent of the global values, and these results are presented in Table VI-62 through Table VI-65.
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>
                            Table VI.58—Standard-Size Refrigerator-Freezers: Estimates of Global Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, average *</CHED>
                            <CHED H="2">2.5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, 95th percentile *</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>1.45</ENT>
                            <ENT>4.60</ENT>
                            <ENT>6.90</ENT>
                            <ENT>14.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>1.67</ENT>
                            <ENT>5.31</ENT>
                            <ENT>7.96</ENT>
                            <ENT>16.16</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>1.96</ENT>
                            <ENT>6.24</ENT>
                            <ENT>9.36</ENT>
                            <ENT>19.00</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>2.68</ENT>
                            <ENT>8.51</ENT>
                            <ENT>12.76</ENT>
                            <ENT>25.90</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>3.20</ENT>
                            <ENT>10.18</ENT>
                            <ENT>15.26</ENT>
                            <ENT>30.98</ENT>
                        </ROW>
                        <TNOTE>* Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>
                            Table VI.59—Standard-Size Freezers: Estimates of Global Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, average *</CHED>
                            <CHED H="2">2.5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, 95th percentile *</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.48</ENT>
                            <ENT>1.51</ENT>
                            <ENT>2.25</ENT>
                            <ENT>4.58</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.69</ENT>
                            <ENT>2.16</ENT>
                            <ENT>3.24</ENT>
                            <ENT>6.59</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.81</ENT>
                            <ENT>2.55</ENT>
                            <ENT>3.81</ENT>
                            <ENT>7.76</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.92</ENT>
                            <ENT>2.89</ENT>
                            <ENT>4.32</ENT>
                            <ENT>8.80</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.98</ENT>
                            <ENT>3.09</ENT>
                            <ENT>4.62</ENT>
                            <ENT>9.41</ENT>
                        </ROW>
                        <TNOTE>* Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>
                            Table VI.60—Compact Refrigeration Products: Estimates of Global Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, average *</CHED>
                            <CHED H="2">2.5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, 95th percentile *</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.12</ENT>
                            <ENT>0.41</ENT>
                            <ENT>0.63</ENT>
                            <ENT>1.26</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.15</ENT>
                            <ENT>0.51</ENT>
                            <ENT>0.77</ENT>
                            <ENT>1.54</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.18</ENT>
                            <ENT>0.59</ENT>
                            <ENT>0.89</ENT>
                            <ENT>1.79</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.22</ENT>
                            <ENT>0.74</ENT>
                            <ENT>1.12</ENT>
                            <ENT>2.25</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.24</ENT>
                            <ENT>0.81</ENT>
                            <ENT>1.23</ENT>
                            <ENT>2.47</ENT>
                        </ROW>
                        <TNOTE>* Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57590"/>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,14,11.3,11.3,14">
                        <TTITLE>
                            Table VI.61—Built-In Refrigeration Products: Estimates of Global Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, average *</CHED>
                            <CHED H="2">2.5% discount rate, average *</CHED>
                            <CHED H="2">3% discount rate, 95th percentile *</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.012</ENT>
                            <ENT>0.038</ENT>
                            <ENT>0.057</ENT>
                            <ENT>0.12</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.017</ENT>
                            <ENT>0.055</ENT>
                            <ENT>0.083</ENT>
                            <ENT>0.17</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.035</ENT>
                            <ENT>0.11</ENT>
                            <ENT>0.17</ENT>
                            <ENT>0.34</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.043</ENT>
                            <ENT>0.014</ENT>
                            <ENT>0.20</ENT>
                            <ENT>0.41</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.051</ENT>
                            <ENT>0.16</ENT>
                            <ENT>0.24</ENT>
                            <ENT>0.50</ENT>
                        </ROW>
                        <TNOTE>* Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,r50,r50,r50,r50">
                        <TTITLE>
                            Table VI.62—Standard-Size Refrigerator-Freezers: Estimates of Domestic Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$ *</CHED>
                            <CHED H="2">5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, average **</CHED>
                            <CHED H="2">2.5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, 95th percentile **</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.10 to 0.33</ENT>
                            <ENT>0.32 to 1.06</ENT>
                            <ENT>0.48 to 1.59</ENT>
                            <ENT>0.98 to 3.22.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.12 to 0.38</ENT>
                            <ENT>0.37 to 1.22</ENT>
                            <ENT>0.56 to 1.83</ENT>
                            <ENT>1.13 to 3.72.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.14 to 0.45</ENT>
                            <ENT>0.44 to 1.44</ENT>
                            <ENT>0.66 to 2.15</ENT>
                            <ENT>1.33 to 4.37.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.19 to 0.62</ENT>
                            <ENT>0.60 to 1.96</ENT>
                            <ENT>0.89 to 2.93</ENT>
                            <ENT>1.81 to 5.96.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.22 to 0.74</ENT>
                            <ENT>0.71 to 2.34</ENT>
                            <ENT>1.07 to 3.51</ENT>
                            <ENT>2.17 to 7.13.</ENT>
                        </ROW>
                        <TNOTE>* Domestic values are presented as a range between 7% and 23% of the global values.</TNOTE>
                        <TNOTE>** Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,r50,r50,r50,r50">
                        <TTITLE>
                            Table VI.63—Standard-Size Freezers: Estimates of Domestic Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$ *</CHED>
                            <CHED H="2">5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, average **</CHED>
                            <CHED H="2">2.5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, 95th percentile **</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.033 to 0.11</ENT>
                            <ENT>0.11 to 0.35</ENT>
                            <ENT>0.16 to 0.52</ENT>
                            <ENT>0.32 to 1.05.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.048 to 0.16</ENT>
                            <ENT>0.15 to 0.50</ENT>
                            <ENT>0.23 to 0.74</ENT>
                            <ENT>0.46 to 1.51.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.057 to 0.19</ENT>
                            <ENT>0.057 to 0.19</ENT>
                            <ENT>0.057 to 0.19</ENT>
                            <ENT>0.057 to 0.19.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.064 to 0.21</ENT>
                            <ENT>0.20 to 0.67</ENT>
                            <ENT>0.30 to 0.99</ENT>
                            <ENT>0.62 to 2.02.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.069 to 0.23</ENT>
                            <ENT>0.22 to 0.71</ENT>
                            <ENT>0.32 to 1.06</ENT>
                            <ENT>0.069 to 0.23.</ENT>
                        </ROW>
                        <TNOTE>* Domestic values are presented as a range between 7% and 23% of the global values.</TNOTE>
                        <TNOTE>** Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,r50,r50,r50,r50">
                        <TTITLE>
                            Table VI.64—Compact Refrigeration Products: Estimates of Domestic Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$ *</CHED>
                            <CHED H="2">5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, average **</CHED>
                            <CHED H="2">2.5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, 95th percentile **</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.0087 to 0.029</ENT>
                            <ENT>0.029 to 0.095</ENT>
                            <ENT>0.044 to 0.14</ENT>
                            <ENT>0.09 to 0.29.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.011 to 0.035</ENT>
                            <ENT>0.035 to 0.12</ENT>
                            <ENT>0.054 to 0.18</ENT>
                            <ENT>0.11 to 0.36.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.012 to 0.041</ENT>
                            <ENT>0.041 to 0.14</ENT>
                            <ENT>0.062 to 0.21</ENT>
                            <ENT>0.13 to 0.41.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.016 to 0.051</ENT>
                            <ENT>0.052 to 0.17</ENT>
                            <ENT>0.078 to 0.26</ENT>
                            <ENT>0.16 to 0.52.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.017 to 0.056</ENT>
                            <ENT>0.057 to 0.19</ENT>
                            <ENT>0.086 to 0.28</ENT>
                            <ENT>0.17 to 0.57.</ENT>
                        </ROW>
                        <TNOTE>* Domestic values are presented as a range between 7% and 23% of the global values.</TNOTE>
                        <TNOTE>** Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57591"/>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,r50,r50,r50,r50">
                        <TTITLE>
                            Table VI.65—Built-In Refrigeration Products: Estimates of Domestic Present Value of CO
                            <E T="52">2</E>
                             Emissions Reduction Under Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Billion 2009$ *</CHED>
                            <CHED H="2">5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, average **</CHED>
                            <CHED H="2">2.5% discount rate, average **</CHED>
                            <CHED H="2">3% discount rate, 95th percentile **</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>0.00083 to 0.0027</ENT>
                            <ENT>0.0026 to 0.0087</ENT>
                            <ENT>0.0040 to 0.013</ENT>
                            <ENT>0.0081 to 0.026.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>0.0012 to 0.0040</ENT>
                            <ENT>0.0039 to 0.013</ENT>
                            <ENT>0.0058 to 0.019</ENT>
                            <ENT>0.012 to 0.039.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>0.0024 to 0.0080</ENT>
                            <ENT>0.0077 to 0.025</ENT>
                            <ENT>0.012 to 0.038</ENT>
                            <ENT>0.023 to 0.077.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>0.0030 to 0.010</ENT>
                            <ENT>0.010 to 0.031</ENT>
                            <ENT>0.014 to 0.047</ENT>
                            <ENT>0.029 to 0.10.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>0.0036 to 0.012</ENT>
                            <ENT>0.011 to 0.037</ENT>
                            <ENT>0.017 to 0.056</ENT>
                            <ENT>0.035 to 0.11.</ENT>
                        </ROW>
                        <TNOTE>* Domestic values are presented as a range between 7% and 23% of the global values.</TNOTE>
                        <TNOTE>** Columns are labeled by the discount rate used to calculate the SCC and whether it is an average value or drawn from a different part of the distribution. Values presented in the table incorporate the escalation of the SCC over time.</TNOTE>
                    </GPOTABLE>
                    <P>
                        DOE is well aware that scientific and economic knowledge about the contribution of CO
                        <E T="52">2</E>
                         and other GHG emissions to changes in the future global climate and the potential resulting damages to the world economy continues to evolve rapidly. Thus, any value placed in this rulemaking on reducing CO
                        <E T="52">2</E>
                         emissions is subject to change. DOE, together with other Federal agencies, will continue to review various methodologies for estimating the monetary value of reductions in CO
                        <E T="52">2</E>
                         and other GHG emissions. This ongoing review will consider the comments on this subject that are part of the public record for this and other rulemakings, as well as other methodological assumptions and issues. However, consistent with DOE's legal obligations, and taking into account the uncertainty involved with this particular issue, DOE has included in this final rule the most recent values and analyses resulting from the ongoing interagency review process.
                    </P>
                    <P>
                        DOE also estimated a range for the cumulative monetary value of the economic benefits associated with NO
                        <E T="52">X</E>
                         emissions reductions anticipated to result from amended standards for refrigeration products. The dollar-per-ton values that DOE used are discussed in section IV.M. Table VI.66 presents the cumulative present values for each TSL calculated using seven-percent and three-percent discount rates.
                    </P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,xs72,xs72,xs72,xs72,xs72">
                        <TTITLE>
                            Table VI.66—Estimates of Present Value of NO
                            <E T="52">X</E>
                             Emissions Reduction Under Refrigeration Product Trial Standard Levels
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Billion 2009$</CHED>
                            <CHED H="2">TSL 1</CHED>
                            <CHED H="2">TSL 2</CHED>
                            <CHED H="2">TSL 3</CHED>
                            <CHED H="2">TSL 4</CHED>
                            <CHED H="2">TSL 5</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">Standard-Size Refrigerator-Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">7% discount rate</ENT>
                            <ENT>0.018 to 0.18</ENT>
                            <ENT>0.020 to 0.21</ENT>
                            <ENT>0.024 to 0.25</ENT>
                            <ENT>0.033 to 0.34</ENT>
                            <ENT>0.039 to 0.40.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">3% discount rate</ENT>
                            <ENT>0.044 to 0.45</ENT>
                            <ENT>0.051 to 0.52</ENT>
                            <ENT>0.060 to 0.62</ENT>
                            <ENT>0.082 to 0.84</ENT>
                            <ENT>0.097 to 1.00.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Standard-Size Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">7% discount rate</ENT>
                            <ENT>0.0055 to 0.056</ENT>
                            <ENT>0.008 to 0.081</ENT>
                            <ENT>0.009 to 0.095</ENT>
                            <ENT>0.011 to 0.107</ENT>
                            <ENT>0.011 to 0.12.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">3% discount rate</ENT>
                            <ENT>0.014 to 0.15</ENT>
                            <ENT>0.020 to 0.21</ENT>
                            <ENT>0.024 to 0.25</ENT>
                            <ENT>0.027 to 0.28</ENT>
                            <ENT>0.029 to 0.30.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Compact Refrigeration Products:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">7% discount rate</ENT>
                            <ENT>0.002 to 0.021</ENT>
                            <ENT>0.003 to 0.026</ENT>
                            <ENT>0.003 to 0.030</ENT>
                            <ENT>0.004 to 0.038</ENT>
                            <ENT>0.004 to 0.042.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">3% discount rate</ENT>
                            <ENT>0.004 to 0.044</ENT>
                            <ENT>0.005 to 0.054</ENT>
                            <ENT>0.006 to 0.063</ENT>
                            <ENT>0.008 to 0.079</ENT>
                            <ENT>0.009 to 0.088.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Built-In Refrigeration Products:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">7% discount rate</ENT>
                            <ENT>0.000 to 0.002</ENT>
                            <ENT>0.001 to 0.002</ENT>
                            <ENT>0.000 to 0.004</ENT>
                            <ENT>0.001 to 0.005</ENT>
                            <ENT>0.001 to 0.006.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">3% discount rate</ENT>
                            <ENT>0.000 to 0.004</ENT>
                            <ENT>0.001 to 0.005</ENT>
                            <ENT>0.001 to 0.018</ENT>
                            <ENT>0.001 to 0.013</ENT>
                            <ENT>0.002 to 0.016.</ENT>
                        </ROW>
                    </GPOTABLE>
                    <P>
                        The NPV of the monetized benefits associated with emissions reductions can be viewed as a complement to the NPV of the consumer savings calculated for each TSL considered in this rulemaking. Table VI.67 shows an example of the calculation of the combined NPV including benefits from emissions reductions for the case of TSL 3 for standard-size refrigerator-freezers. Table VI.68 and Table VI.69 present the NPV values that would result if DOE were to add the estimates of the potential economic benefits resulting from reduced CO
                        <E T="52">2</E>
                         and NO
                        <E T="52">X</E>
                         emissions in each of four valuation scenarios to the NPV of consumer savings calculated for each TSL considered in this rulemaking, at both a seven-percent and three-percent discount rate. The CO
                        <E T="52">2</E>
                         values used in the columns of each table correspond to the four scenarios for the valuation of CO
                        <E T="52">2</E>
                         emission reductions presented in section IV.M.
                    </P>
                    <GPOTABLE COLS="03" OPTS="L2,i1" CDEF="s100,9.3,12.1">
                        <TTITLE>
                            Table VI.67—Adding Net Present Value of Consumer Savings to Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions at TSL 3 for Standard-Size Refrigerator-Freezers
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">Category</CHED>
                            <CHED H="1">
                                Present value 
                                <LI>billion 2009$</LI>
                            </CHED>
                            <CHED H="1">
                                Discount rate 
                                <LI>(percent)</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">Benefits:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Operating Cost Savings</ENT>
                            <ENT>14.65</ENT>
                            <ENT>7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>37.41</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57592"/>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $4.9/t) *
                            </ENT>
                            <ENT>1.96</ENT>
                            <ENT>5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $22.1/t) *
                            </ENT>
                            <ENT>6.24</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $36.3/t) *
                            </ENT>
                            <ENT>9.36</ENT>
                            <ENT>2.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                CO
                                <E T="52">2</E>
                                 Reduction Monetized Value (at $67.1/t) *
                            </ENT>
                            <ENT>19.0</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                NO
                                <E T="52">X</E>
                                 Reduction Monetized Value (at $2,519/ton) *
                            </ENT>
                            <ENT>0.136</ENT>
                            <ENT>7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>0.338</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Monetary Benefits **</ENT>
                            <ENT>21.02</ENT>
                            <ENT>7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>43.99</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Costs:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total Incremental Installed Costs</ENT>
                            <ENT>9.83</ENT>
                            <ENT>7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>17.22</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Net Benefits:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">
                                Including CO
                                <E T="52">2</E>
                                 and NO
                                <E T="52">X</E>
                                **
                            </ENT>
                            <ENT>11.19</ENT>
                            <ENT>7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>26.77</ENT>
                            <ENT>3</ENT>
                        </ROW>
                        <TNOTE>
                            * These values represent global values (in 2009$) of the social cost of CO
                            <E T="52">2</E>
                             emissions in 2010 under several scenarios. The values of $4.9, $22.1, and $36.3 per metric ton (t) are the averages of SCC distributions calculated using 5%, 3%, and 2.5% discount rates, respectively. The value of $67.1/t represents the 95th percentile of the SCC distribution calculated using a 3% discount rate. See section IV.M for details. The value for NO
                            <E T="52">X</E>
                             (in 2009$) is the average of the low and high values used in DOE's analysis.
                        </TNOTE>
                        <TNOTE>
                            ** Total Monetary Benefits for both the 3% and 7% cases utilize the central estimate of social cost of CO
                            <E T="52">2</E>
                             emissions calculated at a 3% discount rate, which is equal to $22.1/t in 2010 (in 2009$).
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="05" OPTS="L2,i1" CDEF="s50,13)0,14,14,14">
                        <TTITLE>
                            Table VI.68—Adding Net Present Value of Consumer Savings (at 7% Discount Rate) to Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions at Trial Standard Levels for Refrigeration Products
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Consumer NPV at 7% discount rate added with</CHED>
                            <CHED H="2">
                                SCC Value of $4.9/metric ton CO
                                <E T="52">2</E>
                                * and low value for NO
                                <E T="52">X</E>
                                ** 
                                <LI>billion 2009$</LI>
                            </CHED>
                            <CHED H="2">
                                SCC Value of $22.1/metric ton CO
                                <E T="52">2</E>
                                * and
                                <LI>
                                    medium value for NO
                                    <E T="52">X</E>
                                    ** 
                                </LI>
                                <LI>billion 2009$</LI>
                            </CHED>
                            <CHED H="2">
                                SCC Value of $36.3/metric ton CO
                                <E T="52">2</E>
                                * and
                                <LI>
                                    medium value for NO
                                    <E T="52">X</E>
                                    ** 
                                </LI>
                                <LI>billion 2009$</LI>
                            </CHED>
                            <CHED H="2">
                                SCC Value of $67.1/metric ton CO
                                <E T="52">2</E>
                                * and high value for NO
                                <E T="52">X</E>
                                ** 
                                <LI>billion 2009$</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>10.92</ENT>
                            <ENT>15.53</ENT>
                            <ENT>18.81</ENT>
                            <ENT>29.06</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>11.55</ENT>
                            <ENT>17.20</ENT>
                            <ENT>21.22</ENT>
                            <ENT>33.77</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>11.75</ENT>
                            <ENT>18.42</ENT>
                            <ENT>23.17</ENT>
                            <ENT>37.99</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>4.20</ENT>
                            <ENT>12.83</ENT>
                            <ENT>18.97</ENT>
                            <ENT>38.14</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>(7.93)</ENT>
                            <ENT>2.08</ENT>
                            <ENT>9.20</ENT>
                            <ENT>31.45</ENT>
                        </ROW>
                        <TNOTE>
                            * These label values represent the global SCC of CO
                            <E T="52">2</E>
                             in 2010, in 2009$. Their present values have been calculated with scenario-consistent discount rates. See section IV.M for a discussion of the derivation of these values.
                        </TNOTE>
                        <TNOTE>
                            ** Low Value corresponds to $447 per ton of NO
                            <E T="52">X</E>
                             emissions. Medium Value corresponds to $2,519 per ton of NO
                            <E T="52">X</E>
                             emissions. High Value corresponds to $4,591 per ton of NO
                            <E T="52">X</E>
                             emissions.
                        </TNOTE>
                    </GPOTABLE>
                    <GPOTABLE COLS="05" OPTS="L2,i1" CDEF="s50,14,14,14,14">
                        <TTITLE>
                            Table VI.69—Adding Net Present Value of Consumer Savings (at 3% Discount Rate) to Present Value of Monetized Benefits From CO
                            <E T="52">2</E>
                             and NO
                            <E T="52">X</E>
                             Emissions Reductions at Trial Standard Levels for Refrigeration Products
                        </TTITLE>
                        <BOXHD>
                            <CHED H="1">TSL</CHED>
                            <CHED H="1">Consumer NPV at 3% discount rate added with</CHED>
                            <CHED H="2">
                                SCC Value of $4.9/metric ton CO
                                <E T="52">2</E>
                                * and low value for NO
                                <E T="52">X</E>
                                ** 
                                <LI>billion 2009$</LI>
                            </CHED>
                            <CHED H="2">
                                SCC Value of $22.1/metric ton CO
                                <E T="52">2</E>
                                * and
                                <LI>
                                    medium value for NO
                                    <E T="52">X</E>
                                    ** 
                                </LI>
                                <LI>billion 2009$</LI>
                            </CHED>
                            <CHED H="2">
                                SCC Value of $36.31/metric ton CO
                                <E T="52">2</E>
                                * and
                                <LI>
                                    medium value for NO
                                    <E T="52">X</E>
                                    ** 
                                </LI>
                                <LI>billion 2009$</LI>
                            </CHED>
                            <CHED H="2">
                                SCC Value of $67.1/metric ton CO
                                <E T="52">2</E>
                                * and high value for NO
                                <E T="52">X</E>
                                ** 
                                <LI>billion 2009$</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1</ENT>
                            <ENT>30.20</ENT>
                            <ENT>34.99</ENT>
                            <ENT>38.27</ENT>
                            <ENT>48.69</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2</ENT>
                            <ENT>33.85</ENT>
                            <ENT>39.71</ENT>
                            <ENT>43.73</ENT>
                            <ENT>56.50</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3</ENT>
                            <ENT>36.64</ENT>
                            <ENT>43.57</ENT>
                            <ENT>48.31</ENT>
                            <ENT>63.39</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4</ENT>
                            <ENT>27.59</ENT>
                            <ENT>36.56</ENT>
                            <ENT>42.69</ENT>
                            <ENT>62.19</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5</ENT>
                            <ENT>9.25</ENT>
                            <ENT>19.65</ENT>
                            <ENT>26.76</ENT>
                            <ENT>49.39</ENT>
                        </ROW>
                        <TNOTE>
                            * These label values represent the global SCC of CO
                            <E T="52">2</E>
                             in 2010, in 2009$. Their present values have been calculated with scenario-consistent discount rates. See section IV.M for a discussion of the derivation of these values.
                        </TNOTE>
                        <TNOTE>
                            ** Low Value corresponds to $447 per ton of NO
                            <E T="52">X</E>
                             emissions. Medium Value corresponds to $2,519 per ton of NO
                            <E T="52">X</E>
                             emissions. High Value corresponds to $4,591 per ton of NO
                            <E T="52">X</E>
                             emissions.
                        </TNOTE>
                    </GPOTABLE>
                    <PRTPAGE P="57593"/>
                    <P>
                        Although adding the value of consumer savings to the values of emission reductions provides a valuable perspective, two issues should be considered. First, the national operating savings are domestic U.S. consumer monetary savings that occur as a result of market transactions while the value of CO
                        <E T="52">2</E>
                         reductions is based on a global value. Second, the assessments of operating cost savings and CO
                        <E T="52">2</E>
                         savings are performed with different methods that use quite different time frames for analysis. The national operating cost savings is measured for the lifetime of refrigeration products shipped in 2014-2043. The SCC values, on the other hand, reflect the present value of future climate-related impacts resulting from the emission of one ton of carbon dioxide in each year. These impacts continue well beyond 2100.
                    </P>
                    <HD SOURCE="HD3">7. Other Factors</HD>
                    <P>The Secretary, in determining whether a standard is economically justified, may consider any other factors that he deems to be relevant. (42 U.S.C. 6295(o)(2)(B)(i)(VI))) DOE is aware of pending legislation that proposes to phase out substances with significant GWP and that HFCs are included in the list of substances to be phased out. DOE recognizes the significance that such legislation would have to the refrigeration products industry and the impact it would have on the ability of manufacturers to meet energy conservation standards. Given the uncertainty regarding such legislation, however, DOE did not factor the impact of potential HFC limitations in developing the standard levels presented in today's final rule.</P>
                    <P>DOE has also considered the Joint Comments submitted to DOE containing the various recommended standard levels for refrigeration products. DOE recognizes the value of consensus agreements submitted by parties in accordance with 42 U.S.C. 6295(p)(4) and has weighed the value of such consensus in establishing the standards set forth in today's final rule.</P>
                    <HD SOURCE="HD2">C. Conclusion</HD>
                    <P>When prescribing new or amended standards, the standard that DOE adopts for any type (or class) of covered product shall be designed to achieve the maximum improvement in energy efficiency that the Secretary determines is technologically feasible and economically justified. (42 U.S.C. 6295(o)(2)(A)) In determining whether a standard is economically justified, the Secretary must determine whether the benefits of the standard exceed its burdens to the greatest extent practicable, in light of the seven statutory factors discussed previously. (42 U.S.C. 6295(o)(2)(B)(i)) The new or amended standard must also “result in significant conservation of energy.” (42 U.S.C. 6295(o)(3)(B))</P>
                    <P>For today's final rule, DOE considered the impacts of standards at each trial standard level, beginning with the maximum technologically feasible level, to determine whether that level was economically justified. Where the max-tech level was not justified, DOE then considered the next most efficient level and undertook the same evaluation until it reached the most efficient level that is both technologically feasible and economically justified and saves a significant amount of energy.</P>
                    <P>For ease of presentation, DOE separately discusses the benefits and/or burdens of each trial standard level for standard-size refrigerator-freezers, standard-size freezers, compact refrigeration products, and built-in refrigeration products. Tables that present a summary of the results of DOE's quantitative analysis for each TSL have been provided to aid the reader as DOE discusses the benefits and/or burdens of each trial standard level.</P>
                    <P>In addition to the quantitative results presented in the tables, DOE also considers other burdens and benefits that affect economic justification. These include the impacts on identifiable subgroups of consumers, such as low-income households and seniors, who may be disproportionately affected by a national standard. Section VI.B.1.b presents the estimated impacts of each TSL for these subgroups.</P>
                    <P>DOE notes that the proposed standards set forth in the Joint Comments were also carefully considered by the agency. These suggested standards, along with the comments from all interested parties and the agency's analytical work developed in preparation of today's final rule, were considered during the development of the standards being adopted today.</P>
                    <P>
                        DOE also notes that the economics literature provides a wide-ranging discussion of how consumers trade off upfront costs and energy savings in the absence of government intervention. Much of this literature attempts to explain why consumers appear to undervalue energy efficiency improvements. This undervaluation suggests that regulation that promotes energy efficiency can produce significant net private gains (as well as producing social gains by, for example, reducing pollution). There is evidence that consumers undervalue future energy savings as a result of (1) A lack of information, (2) a lack of sufficient salience of the long-term or aggregate benefits, (3) a lack of sufficient savings to warrant delaying or altering purchases (
                        <E T="03">e.g.</E>
                         an inefficient ventilation fan in a new building or the delayed replacement of a water pump), (4) excessive focus on the short term, in the form of inconsistent weighting of future energy cost savings relative to available returns on other investments, (5) computational or other difficulties associated with the evaluation of relevant tradeoffs, and (6) a divergence in incentives (
                        <E T="03">e.g.,</E>
                         renter versus building owner; builder vs. home buyer). Other literature indicates that with less than perfect foresight and a high degree of uncertainty about the future, consumers may trade off these types of investments at a higher than expected rate between current consumption and uncertain future energy cost savings.
                    </P>
                    <P>In DOE's current regulatory analysis, potential changes in the benefits and costs of a regulation due to changes in consumer purchase decisions are included in two ways. First, if consumers forego a purchase of a product in the standards case, this decreases sales for product manufacturers, and the cost to manufacturers is included in the MIA. Second, DOE accounts for energy savings attributable only to products actually used by consumers in the standards case; if a regulatory option decreases the number of products used by consumers, this decreases the potential energy savings from an energy conservation standard. DOE provides detailed estimates of shipments and changes in the volume of product purchases in chapter 9 of the final rule TSD. However, DOE's current analysis does not explicitly control for heterogeneity in consumer preferences, preferences across subcategories of products or specific features, or consumer price sensitivity variation according to household income.</P>
                    <P>
                        While DOE is not prepared at present to provide a fuller quantifiable framework for estimating the benefits and costs of changes in consumer purchase decisions due to an energy conservation standard, DOE has posted a paper that discusses the issue of consumer welfare impacts of appliance energy efficiency standards, and potential enhancements to the methodology by which these impacts are defined and estimated in the 
                        <PRTPAGE P="57594"/>
                        regulatory process.
                        <SU>48</SU>
                        <FTREF/>
                         DOE is committed to developing a framework that can support empirical quantitative tools for improved assessment of the consumer welfare impacts of appliance standards. DOE welcomes comments on how to more fully assess the potential impact of energy conservation standards on consumer choice and how to quantify this impact in its regulatory analysis in future rulemakings.
                    </P>
                    <FTNT>
                        <P>
                            <SU>48</SU>
                             Alan Sanstad, Notes on the Economics of Household Energy Consumption and Technology Choice. Lawrence Berkeley National Laboratory. 2010. 
                            <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/pdfs/consumer_ee_theory.pdf.</E>
                        </P>
                    </FTNT>
                    <HD SOURCE="HD3">1. Standard-Size Refrigerator-Freezers</HD>
                    <P>Table VI-70 presents a summary of the quantitative impacts estimated for each TSL for standard-size refrigerator-freezers. The efficiency levels contained in each TSL are described in section VI.A. The range of results for NPV of consumer benefits reflects the range of product price forecasts discussed in section IV.G.3.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,xs64,xs64,xs64,xs64,xs75">
                        <TTITLE>Table VI.70—Summary of Results for Standard-Size Refrigerator-Freezers</TTITLE>
                        <BOXHD>
                            <CHED H="1">Category</CHED>
                            <CHED H="1">TSL 1</CHED>
                            <CHED H="1">TSL 2</CHED>
                            <CHED H="1">TSL 3</CHED>
                            <CHED H="1">TSL 4</CHED>
                            <CHED H="1">TSL 5</CHED>
                        </BOXHD>
                        <ROW RUL="s">
                            <ENT I="01">National Energy Savings (quads)</ENT>
                            <ENT>2.41</ENT>
                            <ENT>2.78</ENT>
                            <ENT>3.27</ENT>
                            <ENT>4.45</ENT>
                            <ENT>5.30.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">NPV of Consumer Benefits (2009$ billion)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">3% discount rate</ENT>
                            <ENT>15.96 to 19.35</ENT>
                            <ENT>16.26 to 20.76</ENT>
                            <ENT>16.92 to 22.88</ENT>
                            <ENT>4.800 to 18.20</ENT>
                            <ENT>(11.4) to 9.67.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">7% discount rate</ENT>
                            <ENT>4.272 to 5.940</ENT>
                            <ENT>3.764 to 5.973</ENT>
                            <ENT>3.173 to 6.104</ENT>
                            <ENT>(5.756) to 0.804</ENT>
                            <ENT>(16.30) to (6.03).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Industry Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Industry NPV (2009$ million)</ENT>
                            <ENT>(117.8) to (252.6)</ENT>
                            <ENT>(219.2) to (395.9)</ENT>
                            <ENT>(345.0) to (580.7)</ENT>
                            <ENT>(784.9) to (1,309.3)</ENT>
                            <ENT>(1,042.2) to (1,841.5).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Industry NPV (% change)</ENT>
                            <ENT>(4.4) to (9.5)</ENT>
                            <ENT>(8.2) to (14.8)</ENT>
                            <ENT>(12.9) to (21.7)</ENT>
                            <ENT>(29.4) to (49.0)</ENT>
                            <ENT>(39.0) to (69.0).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>175</ENT>
                            <ENT>202</ENT>
                            <ENT>238</ENT>
                            <ENT>323</ENT>
                            <ENT>386.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>141</ENT>
                            <ENT>162</ENT>
                            <ENT>191</ENT>
                            <ENT>260</ENT>
                            <ENT>310.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Hg (tons)</ENT>
                            <ENT>0.79</ENT>
                            <ENT>0.91</ENT>
                            <ENT>1.07</ENT>
                            <ENT>1.45</ENT>
                            <ENT>1.73.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Value of Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (2009$ billion) *
                            </ENT>
                            <ENT>1.45 to 14.0</ENT>
                            <ENT>1.67 to 16.2</ENT>
                            <ENT>1.96 to 19.0</ENT>
                            <ENT>2.68 to 25.9</ENT>
                            <ENT>3.20 to 31.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                —3% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.044 to 0.45</ENT>
                            <ENT>0.051 to 0.52</ENT>
                            <ENT>0.060 to 0.62</ENT>
                            <ENT>0.082 to 0.84</ENT>
                            <ENT>0.097 to 1.00.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                —7% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.018 to 0.18</ENT>
                            <ENT>0.020 to 0.21</ENT>
                            <ENT>0.024 to 0.25</ENT>
                            <ENT>0.033 to 0.34</ENT>
                            <ENT>0.039 to 0.40.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Mean LCC Savings ** (2009$)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Top-Mount Refrigerator-Freezers</ENT>
                            <ENT>44</ENT>
                            <ENT>44</ENT>
                            <ENT>42</ENT>
                            <ENT>(6)</ENT>
                            <ENT>(87).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bottom-Mount Refrigerator-Freezers</ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                            <ENT>22</ENT>
                            <ENT>(53)</ENT>
                            <ENT>(136).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Side-by-Side Refrigerator-Freezers</ENT>
                            <ENT>62</ENT>
                            <ENT>57</ENT>
                            <ENT>57</ENT>
                            <ENT>(18)</ENT>
                            <ENT>(83).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Median PBP (years)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Top-Mount Refrigerator-Freezers</ENT>
                            <ENT>8.0</ENT>
                            <ENT>8.0</ENT>
                            <ENT>9.5</ENT>
                            <ENT>13.3</ENT>
                            <ENT>17.8.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Bottom-Mount Refrigerator-Freezers</ENT>
                            <ENT>4.2</ENT>
                            <ENT>4.2</ENT>
                            <ENT>4.2</ENT>
                            <ENT>21.0</ENT>
                            <ENT>24.7.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Side-by-Side Refrigerator-Freezers</ENT>
                            <ENT>4.0</ENT>
                            <ENT>9.2</ENT>
                            <ENT>9.2</ENT>
                            <ENT>15.6</ENT>
                            <ENT>19.1.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Distribution of Consumer LCC Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="22">Top-Mount Refrigerator-Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>34</ENT>
                            <ENT>34</ENT>
                            <ENT>46</ENT>
                            <ENT>65</ENT>
                            <ENT>80.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>8.3</ENT>
                            <ENT>8.3</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>58</ENT>
                            <ENT>58</ENT>
                            <ENT>54</ENT>
                            <ENT>35</ENT>
                            <ENT>20.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Bottom-Mount Refrigerator-Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>2.5</ENT>
                            <ENT>2.5</ENT>
                            <ENT>2.5</ENT>
                            <ENT>83</ENT>
                            <ENT>89.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                            <ENT>68</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>30</ENT>
                            <ENT>17</ENT>
                            <ENT>11.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Side-by-Side Refrigerator-Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>4.3</ENT>
                            <ENT>42</ENT>
                            <ENT>42</ENT>
                            <ENT>70</ENT>
                            <ENT>80.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>37</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>59</ENT>
                            <ENT>59</ENT>
                            <ENT>59</ENT>
                            <ENT>30</ENT>
                            <ENT>21.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Generation Capacity Reduction (GW) †</ENT>
                            <ENT>2.62</ENT>
                            <ENT>3.03</ENT>
                            <ENT>3.56</ENT>
                            <ENT>4.86</ENT>
                            <ENT>5.82.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Employment Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Total Potential Changes in Domestic Production Workers in 2014 (thousands)</ENT>
                            <ENT>(0.19) to (7.35)</ENT>
                            <ENT>(0.22) to (7.35)</ENT>
                            <ENT>(0.18) to (7.35)</ENT>
                            <ENT>(0.24) to (7.35)</ENT>
                            <ENT>(0.37) to (7.35).</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57595"/>
                            <ENT I="01">Indirect Domestic Jobs (thousands) †</ENT>
                            <ENT>16.24</ENT>
                            <ENT>18.45</ENT>
                            <ENT>21.33</ENT>
                            <ENT>26.31</ENT>
                            <ENT>28.85.</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * Range of the economic value of CO
                            <E T="52">2</E>
                             reductions is based on estimates of the global benefit of reduced CO
                            <E T="52">2</E>
                             emissions.
                        </TNOTE>
                        <TNOTE>** For LCCs, a negative value means an increase in LCC by the amount indicated.</TNOTE>
                        <TNOTE>† Changes in 2043.</TNOTE>
                    </GPOTABLE>
                    <P>DOE first considered TSL 5, which represents the max-tech efficiency levels. TSL 5 would save 5.30 quads of energy, an amount DOE considers significant. Under TSL 5, the NPV of consumer benefit would be −$6.03 billion to −$16.3 billion, using a discount rate of 7 percent, and −$11.4 to $9.67 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 5 are 386 Mt of CO
                        <E T="52">2</E>
                        , 310,000 tons of NO
                        <E T="52">X</E>
                        , and 1.73 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 5 ranges from $3.20 billion to $30.98 billion. Total generating capacity in 2043 is estimated to decrease by 5.82 GW under TSL 5.
                    </P>
                    <P>At TSL 5, the average LCC impact is a cost (LCC increase) of $87 for top-mount refrigerator-freezers, a cost of $136 for bottom-mount refrigerator-freezers, and a cost of $83 for side-by-side refrigerator-freezers. The median payback period is 17.8 years for top-mount refrigerator-freezers, 24.7 years for bottom-mount refrigerator-freezers, and 19.1 years for side-by-side refrigerator-freezers. The fraction of consumers experiencing an LCC benefit is 20 percent for top-mount refrigerator-freezers, 11 percent for bottom-mount refrigerator-freezers, and 21 percent for side-by-side refrigerator-freezers. The fraction of consumers experiencing an LCC cost is 80 percent for top-mount refrigerator-freezers, 89 percent for bottom-mount refrigerator-freezers, and 80 percent for side-by-side refrigerator-freezers.</P>
                    <P>At TSL 5, the projected change in INPV ranges from a decrease of $1,042.2 million to a decrease of $1,841.5 million. At TSL 5, DOE recognizes the risk of very large negative impacts if manufacturers' expectations concerning reduced profit margins are realized. If the high end of the range of impacts is reached as DOE expects, TSL 5 could result in a net loss of 69.0 percent in INPV to standard-size refrigerator-freezer manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 5 for standard-size refrigerator-freezers, the benefits of energy savings, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the negative NPV of consumer benefits, the economic burden on a significant fraction of consumers due to the large increases in product cost, and the capital conversion costs and profit margin impacts that could result in a very large reduction in INPV for manufacturers. Consequently, the Secretary has concluded that TSL 5 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 4. TSL 4 would save 4.45 quads of energy, an amount DOE considers significant. Under TSL 4, the NPV of consumer benefit would be −$5.76 billion to $0.80 billion, using a discount rate of 7 percent, and $4.80 billion to $18.2 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 4 are 323 Mt of CO
                        <E T="52">2</E>
                        , 260,000 tons of NO
                        <E T="52">X</E>
                        , and 1.45 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 4 ranges from $2.68 billion to $25.9 billion. Total generating capacity in 2043 is estimated to decrease by 4.86 GW under TSL 4.
                    </P>
                    <P>At TSL 4, DOE projects that the average LCC impact is a cost (LCC increase) of $6 for top-mount refrigerator-freezers, a cost of $53 for bottom-mount refrigerator-freezers, and a cost of $18 for side-by-side refrigerator-freezers. The median payback period is 13.3 years for top-mount refrigerator-freezers, 21.0 years for bottom-mount refrigerator-freezers, and 15.6 years for side-by-side refrigerator-freezers. The fraction of consumers experiencing an LCC benefit is 35 percent for top-mount refrigerator-freezers, 17 percent for bottom-mount refrigerator-freezers, and 30 percent for side-by-side refrigerator-freezers. The fraction of consumers experiencing an LCC cost is 65 percent for top-mount refrigerator-freezers, 83 percent for bottom-mount refrigerator-freezers, and 70 percent for side-by-side refrigerator-freezers.</P>
                    <P>At TSL 4, the projected change in INPV ranges from a decrease of $784.9 million to a decrease of $1,309.3 million. DOE recognizes the risk of large negative impacts if manufacturers' expectations concerning reduced profit margins are realized. If the high end of the range of impacts is reached as DOE expects, TSL 4 could result in a net loss of 49.0 percent in INPV to standard-size refrigerator-freezer manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 4 for standard-size refrigerator-freezers, the benefits of energy savings, positive NPV of consumer benefits at 3-percent discount rate, generating capacity reductions, and emission reductions and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the negative NPV of consumer benefits at 7-percent discount rate, the economic burden on a significant fraction of consumers due to the large increases in product cost, and the capital conversion costs and profit margin impacts that could result in a substantial reduction in INPV for the manufacturers. Consequently, the Secretary has concluded that TSL 4 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 3. TSL 3 would save 3.27 quads of energy, an amount DOE considers significant. Under TSL 3, the NPV of consumer benefit would be $3.17 billion to $6.10 billion, using a discount rate of 7 percent, and $16.9 billion to $22.9 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 3 are 238 Mt of CO
                        <E T="52">2</E>
                        , 191,000 tons of NO
                        <E T="52">X</E>
                        , and 1.07 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 3 ranges from $1.96 billion to $19.0 billion. Total generating capacity in 2043 is estimated to decrease by 3.56 GW under TSL 3.
                    </P>
                    <P>
                        At TSL 3, the average LCC impact is a gain (consumer savings) of $42 for top-mount refrigerator-freezers, a gain of $22 for bottom-mount refrigerator-freezers, and a gain of $57 for side-by-side refrigerator-freezers. The median payback period is 9.5 years for top-mount refrigerator-freezers, 4.2 years for bottom-mount refrigerator-freezers, and 9.2 years for side-by-side refrigerator-freezers. The fraction of consumers experiencing an LCC benefit is 54 percent for top-mount refrigerator-freezers, 30 percent for bottom-mount refrigerator-freezers, and 59 percent for 
                        <PRTPAGE P="57596"/>
                        side-by-side refrigerator-freezers. The fraction of consumers experiencing an LCC cost is 46 percent for top-mount refrigerator-freezers, 2.5 percent for bottom-mount refrigerator-freezers, and 42 percent for side-by-side refrigerator-freezers.
                    </P>
                    <P>At TSL 3, the projected change in INPV ranges from a decrease of $345.0 million to a decrease of $580.7 million. DOE recognizes the risk of negative impacts if manufacturers' expectations concerning reduced profit margins are realized. If the high end of the range of impacts is reached as DOE expects, TSL 3 could result in a net loss of 21.7 percent in INPV to standard-size refrigerator-freezer manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 3 for standard-size refrigerator-freezers, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions outweigh the economic burden on a significant fraction of consumers due to the increases in product cost, and the capital conversion costs and profit margin impacts that could result in a reduction in INPV for the manufacturers. In addition to the aforementioned benefits of the amended standards, DOE notes that the efficiency levels in TSL 3 correspond to the recommended levels presented in the Joint Comments and, as stated previously, DOE recognizes the value of consensus agreements submitted in accordance with 42 U.S.C. 6295(p)(4).
                    </P>
                    <P>After considering the analysis, comments responding to the September 2010 NOPR, and the benefits and burdens of TSL 3, the Secretary has concluded that this trial standard level will offer the maximum improvement in efficiency that is technologically feasible and economically justified, and will result in the significant conservation of energy. Therefore, DOE is adopting TSL 3 for standard-size refrigerator-freezers. The amended energy conservation standards for standard-size refrigerator-freezers, expressed as equations for maximum energy use, are shown in Table VI.71.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,xs70,xs70">
                        <TTITLE>Table VI.71—Amended Standards for Standard-Size Refrigerators and Refrigerator-Freezers</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class</CHED>
                            <CHED H="1">Equations for maximum energy use (kWh/yr)</CHED>
                            <CHED H="2">
                                Based on AV (ft 
                                <SU>3</SU>
                                )
                            </CHED>
                            <CHED H="2">Based on av (L)</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">1. Refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost</ENT>
                            <ENT>7.99AV + 225.0</ENT>
                            <ENT>0.282av + 225.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">1A. All-refrigerators—manual defrost</ENT>
                            <ENT>6.79AV + 193.6</ENT>
                            <ENT>0.240av + 193.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">2. Refrigerator-freezers—partial automatic defrost</ENT>
                            <ENT>7.99AV + 225.0</ENT>
                            <ENT>0.282av + 225.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3. Refrigerator-freezers—automatic defrost with top-mounted freezer without an automatic icemaker</ENT>
                            <ENT>8.07AV + 233.7</ENT>
                            <ENT>0.285av + 233.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3I. Refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>8.07AV + 317.7</ENT>
                            <ENT>0.285av + 317.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3A. All-refrigerators—automatic defrost</ENT>
                            <ENT>7.07AV + 201.6</ENT>
                            <ENT>0.250av + 201.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4. Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker</ENT>
                            <ENT>8.51AV + 297.8</ENT>
                            <ENT>0.301av + 297.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4I. Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>8.51AV + 381.8</ENT>
                            <ENT>0.301av + 381.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5. Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker</ENT>
                            <ENT>8.85AV + 317.0</ENT>
                            <ENT>0.312av + 317.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5I. Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>8.85AV + 401.0</ENT>
                            <ENT>0.312av + 401.0</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5A. Refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service</ENT>
                            <ENT>9.25AV + 475.4</ENT>
                            <ENT>0.327av + 475.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">6. Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service</ENT>
                            <ENT>8.40AV + 385.4</ENT>
                            <ENT>0.297av + 385.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7. Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                            <ENT>8.54AV + 432.8</ENT>
                            <ENT>0.302av + 432.8</ENT>
                        </ROW>
                        <TNOTE>AV = adjusted volume in cubic feet; av = adjusted volume in liters.</TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">2. Standard-Size Freezers</HD>
                    <P>Table VI.72 presents a summary of the quantitative impacts estimated for each TSL for standard-size freezers. The efficiency levels contained in each TSL are described in section VI.A. The range of results for NPV of consumer benefits reflects the range of product price forecasts discussed in section IV.G.3.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,xs64,xs64,xs64,xs64,xs64">
                        <TTITLE>Table VI.72—Summary of Results for Standard-Size Freezers</TTITLE>
                        <BOXHD>
                            <CHED H="1">Category</CHED>
                            <CHED H="1">TSL 1</CHED>
                            <CHED H="1">TSL 2</CHED>
                            <CHED H="1">TSL 3</CHED>
                            <CHED H="1">TSL 4</CHED>
                            <CHED H="1">TSL 5</CHED>
                        </BOXHD>
                        <ROW RUL="s">
                            <ENT I="01">National Energy Savings (quads)</ENT>
                            <ENT>0.79</ENT>
                            <ENT>1.14</ENT>
                            <ENT>1.34</ENT>
                            <ENT>1.52</ENT>
                            <ENT>1.62.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">NPV of Consumer Benefits (2009$ billion)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">3% discount rate</ENT>
                            <ENT>8.00 to 8.50</ENT>
                            <ENT>10.1 to 11.2</ENT>
                            <ENT>10.7 to 12.4</ENT>
                            <ENT>9.66 to 12.2</ENT>
                            <ENT>5.32 to 9.46.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">7% discount rate</ENT>
                            <ENT>2.67 to 2.92</ENT>
                            <ENT>3.02 to 3.59</ENT>
                            <ENT>2.96 to 3.77</ENT>
                            <ENT>2.03 to 3.25</ENT>
                            <ENT>(0.63) to 1.41.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Industry Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Industry NPV (2009$ million)</ENT>
                            <ENT>(29.8) to (50.0)</ENT>
                            <ENT>(123.7) to (170.5)</ENT>
                            <ENT>(112.5) to (178.1)</ENT>
                            <ENT>(85.4) to (182.4)</ENT>
                            <ENT>(145.0) to (298.8).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Industry NPV (% change)</ENT>
                            <ENT>(8.8) to (14.8)</ENT>
                            <ENT>(36.6) to (50.5)</ENT>
                            <ENT>(33.3) to (52.7)</ENT>
                            <ENT>(25.3) to (54.0)</ENT>
                            <ENT>(42.9) to (88.5).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <PRTPAGE P="57597"/>
                            <ENT I="21">
                                <E T="02">Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>54</ENT>
                            <ENT>77</ENT>
                            <ENT>91</ENT>
                            <ENT>103</ENT>
                            <ENT>110.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>43</ENT>
                            <ENT>62</ENT>
                            <ENT>73</ENT>
                            <ENT>83</ENT>
                            <ENT>89.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Hg (tons)</ENT>
                            <ENT>0.24</ENT>
                            <ENT>0.34</ENT>
                            <ENT>0.41</ENT>
                            <ENT>0.47</ENT>
                            <ENT>0.50.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Value of Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (2009$ billion) *
                            </ENT>
                            <ENT>0.48 to 4.58</ENT>
                            <ENT>0.69 to 6.59</ENT>
                            <ENT>0.81 to 7.76</ENT>
                            <ENT>0.92 to 8.80</ENT>
                            <ENT>0.98 to 9.41.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                —3% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.014 to 0.15</ENT>
                            <ENT>0.020 to 0.21</ENT>
                            <ENT>0.024 to 0.25</ENT>
                            <ENT>0.027 to 0.28</ENT>
                            <ENT>0.029 to 0.30.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                —7% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.006 to 0.056</ENT>
                            <ENT>0.008 to 0.081</ENT>
                            <ENT>0.009 to 0.095</ENT>
                            <ENT>0.011 to 0.107</ENT>
                            <ENT>0.011 to 0.115.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Mean LCC Savings** (2009$)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Upright Freezers</ENT>
                            <ENT>140</ENT>
                            <ENT>195</ENT>
                            <ENT>189</ENT>
                            <ENT>161</ENT>
                            <ENT>33.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Chest Freezers</ENT>
                            <ENT>82</ENT>
                            <ENT>69</ENT>
                            <ENT>79</ENT>
                            <ENT>47</ENT>
                            <ENT>(25).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Median PBP (years)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Upright Freezers</ENT>
                            <ENT>4.0</ENT>
                            <ENT>5.3</ENT>
                            <ENT>7.1</ENT>
                            <ENT>9.3</ENT>
                            <ENT>14.7.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Chest Freezers</ENT>
                            <ENT>3.9</ENT>
                            <ENT>8.1</ENT>
                            <ENT>8.5</ENT>
                            <ENT>12.1</ENT>
                            <ENT>17.8.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Distribution of Consumer LCC Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="22">Upright Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>6.0</ENT>
                            <ENT>12</ENT>
                            <ENT>22</ENT>
                            <ENT>35</ENT>
                            <ENT>60.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>0.6</ENT>
                            <ENT>0.2</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>93</ENT>
                            <ENT>88</ENT>
                            <ENT>78</ENT>
                            <ENT>65</ENT>
                            <ENT>40.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Chest Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>5</ENT>
                            <ENT>27</ENT>
                            <ENT>29</ENT>
                            <ENT>49</ENT>
                            <ENT>69.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>0.2</ENT>
                            <ENT>0.2</ENT>
                            <ENT>0.2</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>95</ENT>
                            <ENT>73</ENT>
                            <ENT>71</ENT>
                            <ENT>51</ENT>
                            <ENT>31.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Generation Capacity Reduction (GW) †</ENT>
                            <ENT>0.83</ENT>
                            <ENT>0.83</ENT>
                            <ENT>1.40</ENT>
                            <ENT>1.59</ENT>
                            <ENT>1.71.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Employment Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Total Potential Changes in Domestic Production Workers in 2014 (thousands)</ENT>
                            <ENT>(0.05) to (1.64)</ENT>
                            <ENT>(0.11) to (1.64)</ENT>
                            <ENT>(0.15) to (1.64)</ENT>
                            <ENT>(0.23) to (1.64)</ENT>
                            <ENT>(0.34) to (1.64).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Indirect Domestic Jobs (thousands) †</ENT>
                            <ENT>5.18</ENT>
                            <ENT>7.24</ENT>
                            <ENT>8.38</ENT>
                            <ENT>9.19</ENT>
                            <ENT>9.12.</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            Range of the economic value of CO
                            <E T="52">2</E>
                             reductions is based on estimates of the global benefit of reduced CO
                            <E T="52">2</E>
                             emissions.
                        </TNOTE>
                        <TNOTE>** For LCCs, a negative value means an increase in LCC by the amount indicated.</TNOTE>
                        <TNOTE>† Changes in 2043.</TNOTE>
                    </GPOTABLE>
                    <P>DOE first considered TSL 5, which represents the max-tech efficiency levels. TSL 5 would save 1.62 quads of energy, an amount DOE considers significant. Under TSL 5, the NPV of consumer benefit would be −$0.63 billion to $1.41 billion, using a discount rate of 7 percent, and $5.32 billion to $9.46 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 5 are 110 Mt of CO
                        <E T="52">2</E>
                        , 89,000 tons of NO
                        <E T="52">X</E>
                        , and 0.50 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 5 ranges from $0.98 billion to $9.41 billion. Total generating capacity in 2043 is estimated to decrease by 1.71 GW under TSL 5.
                    </P>
                    <P>At TSL 5, the average LCC impact is a gain (LCC decrease) of $33 for upright freezers, and a cost of $25 for chest freezers. The median payback period is 14.7 years for upright freezers and 17.8 years for chest freezers. The fraction of consumers experiencing an LCC benefit is 40 percent for upright freezers and 31 percent for chest freezers. The fraction of consumers experiencing an LCC cost is 60 percent for upright freezers and 69 percent for chest freezers.</P>
                    <P>At TSL 5, the projected change in INPV ranges from a decrease of $145.0 million to a decrease of $298.8 million. DOE recognizes the risk of very large negative impacts if manufacturers' expectations concerning reduced profit margins are realized. Standards at TSL 5 would require efficiency levels that are far higher than the most efficient products currently available on the market. Manufacturing products to meet standards at TSL 5 would require large investments in product redesign and conversion of facilities. Because standard-size freezers are currently low-cost, low-margin products, there is a limited ability to pass on to consumers the required conversion costs and added product costs associated with efficiency-improving technologies for freezers. If the high end of the range of impacts is reached as DOE expects, TSL 5 could result in a net loss of 88.5 percent in INPV to standard-size freezer manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 5 for standard-size freezers, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the economic burden on a significant fraction of consumers due to the large increases in product cost, and the capital conversion costs and profit margin impacts that could result in a very large reduction in 
                        <PRTPAGE P="57598"/>
                        INPV for manufacturers. Consequently, the Secretary has concluded that TSL 5 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 4. TSL 4 would save 1.52 quads of energy, an amount DOE considers significant. Under TSL 4, the NPV of consumer benefit would be $2.03 billion to $3.25 billion, using a discount rate of 7 percent, and $9.66 billion to $12.2 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 4 are 103 Mt of CO
                        <E T="52">2</E>
                        , 83,000 tons of NO
                        <E T="52">X</E>
                        , and 0.47 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 4 ranges from $0.92 billion to $8.80 billion. Total generating capacity in 2043 is estimated to decrease by 1.59 GW under TSL 4.
                    </P>
                    <P>At TSL 4, the average LCC impact is a gain (consumer savings) of $161 for upright freezers and a gain of $47 for chest freezers. The median payback period is 9.3 years for upright freezers and 12.1 years for chest freezers. The fraction of consumers experiencing an LCC benefit is 65 percent for upright freezers and 51 percent for chest freezers. The fraction of consumers experiencing an LCC cost is 35 percent for upright freezers and 49 percent for chest freezers.</P>
                    <P>At TSL 4, the projected change in INPV ranges from a decrease of $85.4 million to a decrease of $182.4 million. DOE recognizes the risk of very large negative impacts if manufacturers' expectations concerning reduced profit margins are realized. Standards at TSL 4 would require efficiency levels that are substantially higher than the most efficient products currently available on the market. Manufacturing products to meet standards at TSL 4 would require large investments in product redesign and conversion of facilities. Because standard-size freezers are currently low-cost, low-margin products, there is a limited ability to pass on to consumers the required conversion costs and added product costs associated with efficiency-improving technologies for freezers. If the high end of the range of impacts is reached as DOE expects, TSL 4 could result in a net loss of 54.0 percent in INPV to standard-size freezer manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 4 for standard-size freezers, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, the estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions, and the economic benefit on a significant fraction of upright freezer consumers would be outweighed by the economic burden on a significant fraction of chest freezer consumers due to the increase in product cost, and the large capital conversion costs and margin impacts that could result in a large reduction in INPV for manufacturers.
                    </P>
                    <P>DOE then considered TSL 3. TSL 3 would save 1.34 quads of energy, an amount DOE considers significant. Under TSL 3, the NPV of consumer benefit would be $2.96 billion to $3.77 billion, using a discount rate of 7 percent, and $10.7 billion to $12.4 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 3 are 91 Mt of CO
                        <E T="52">2</E>
                        , 73,000 tons of NO
                        <E T="52">X</E>
                        , and 0.41 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 3 ranges from $0.81 billion to $7.76 billion. Total generating capacity in 2043 is estimated to decrease by 1.40 GW under TSL 3.
                    </P>
                    <P>At TSL 3, the average LCC impact is a gain (consumer savings) of $189 for upright freezers and a gain of $79 for chest freezers. The median payback period is 7.1 years for upright freezers and 8.5 years for chest freezers. The fraction of consumers experiencing an LCC benefit is 78 percent for upright freezers and 71 percent for chest freezers. The fraction of consumers experiencing an LCC cost is 22 percent for upright freezers and 29 percent for chest freezers.</P>
                    <P>At TSL 3, the projected change in INPV ranges from a decrease of $112.5 million to a decrease of $178.1 million. DOE recognizes the risk of very large negative impacts if manufacturers' expectations concerning reduced profit margins are realized. Standards at TSL 3 would require efficiency levels that are substantially higher than the most efficient products currently available on the market. Similar to the case of TSL 4, manufacturing products to meet standards at TSL 3 would require large investments in product redesign and conversion of facilities. Because standard-size freezers are currently low-cost, low-margin products, there is a limited ability to pass on to consumers the required conversion costs and added product costs associated with more energy efficient technologies for freezers. If the high end of the range of impacts is reached, as DOE expects, TSL 3 could result in a net loss of 52.7 percent in INPV to standard-size freezer manufacturers.</P>
                    <P>DOE notes that TSL 3 is not at the level recommended in the consensus agreement. DOE also notes that the TSL 3 efficiency levels are significantly higher than the maximum-efficiency products on the market: From 8% higher for product class 9 (upright freezers with automatic defrost) to 15% higher for product class 10 (chest freezers). Hence, DOE believes that there may be other factors, including additional burdens, that the parties to that agreement may have considered that are not reflected in DOE's analysis. Given this possibility, the strong support expressed by commenters in favor of the consensus agreement levels, and the lack of product on the market that is close to meeting the requirements of this level, DOE is declining to adopt TSL 3 as part of today's final rule. It may, however, reconsider this level as part of a future review of the standards set by today's rulemaking as part of the agency's required review under 42 U.S.C. 6295(m).</P>
                    <P>
                        Accordingly, the Secretary has concluded that at TSL 3 for standard-size freezers, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, the estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions, and the economic benefit for a significant fraction of freezer consumers would be outweighed by the large capital conversion costs and profit margin impacts and other burdens that manufacturers would bear in order to produce freezers that meet efficiency requirements substantially more stringent than what products on the market presently can satisfy.
                    </P>
                    <P>DOE then considered TSL 2. TSL 2 would save 1.14 quads of energy, an amount DOE considers significant. Under TSL 2, the NPV of consumer benefit would be $3.02 billion to $3.59 billion, using a discount rate of 7 percent, and $10.1 billion to $11.2 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 2 are 77 Mt of CO
                        <E T="52">2</E>
                        , 62,000 tons of NO
                        <E T="52">X</E>
                        , and 0.34 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 2 ranges from $0.69 billion to $6.59 billion. Total generating capacity in 2043 is estimated to decrease by 0.83 GW under TSL 2.
                    </P>
                    <P>
                        At TSL 2, the average LCC impact is a gain (consumer savings) of $195 for upright freezers and a gain of $69 for chest freezers. The median payback period is 5.3 years for upright freezers and 8.1 years for chest freezers. The fraction of consumers experiencing an LCC benefit is 88 percent for upright freezers and 73 percent for chest freezers. The fraction of consumers experiencing an LCC cost is 12 percent for upright freezers and 27 percent for chest freezers.
                        <PRTPAGE P="57599"/>
                    </P>
                    <P>DOE estimated the projected change in INPV ranges from a decrease of $123.7 million to a decrease of $170.5 million. At TSL 2, DOE recognizes the risk of negative impacts if manufacturers' expectations concerning reduced profit margins are realized. Standards at TSL 2 would pose many of the same issues as discussed above for TSL3, but the projected negative impacts are somewhat less. If the high end of the range of impacts is reached as DOE expects, TSL 2 could result in a net loss of 50.5 percent in INPV to standard-size freezer manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 2 for standard-size freezers, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, the estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions, and the economic benefit for a significant fraction of freezer consumers would outweigh the capital conversion costs and profit margin impacts that could result in a reduction in INPV for the manufacturers. In addition to the aforementioned benefits, DOE notes that the efficiency levels in TSL 2 correspond to the recommended levels in the Joint Comments and, as stated previously, DOE recognizes the value of consensus agreements submitted in accordance with 42 U.S.C. 6295(p)(4).
                    </P>
                    <P>After considering the analysis, comments responding to the September 2010 NOPR, and the benefits and burdens of TSL 2, the Secretary has concluded that this trial standard level will offer the maximum improvement in efficiency that is technologically feasible and economically justified, and will result in the significant conservation of energy. Therefore, DOE today is adopting TSL 2 for standard-size freezers. The amended energy conservation standards for standard-size freezers, expressed as equations for maximum energy use, are shown in Table VI.73.</P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,xs70,xs70">
                        <TTITLE>Table VI.73—Amended Standards for Standard-Size Freezers</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class</CHED>
                            <CHED H="1">Equations for maximum energy use (kWh/yr)</CHED>
                            <CHED H="2">
                                Based on AV (ft 
                                <SU>3</SU>
                                )
                            </CHED>
                            <CHED H="2">Based on av (L)</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">8. Upright freezers with manual defrost</ENT>
                            <ENT>5.57AV + 193.7</ENT>
                            <ENT>0.197av + 193.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9. Upright freezers with automatic defrost without an automatic icemaker</ENT>
                            <ENT>8.62AV + 228.3</ENT>
                            <ENT>0.305av + 228.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9I. Upright freezers with automatic defrost with an automatic icemaker</ENT>
                            <ENT>8.62AV + 312.3</ENT>
                            <ENT>0.305av + 312.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10. Chest freezers and all other freezers except compact freezers</ENT>
                            <ENT>7.29AV + 107.8</ENT>
                            <ENT>0.257av + 107.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">10A. Chest freezers with automatic defrost</ENT>
                            <ENT>10.24AV + 148.1</ENT>
                            <ENT>0.362av + 148.1</ENT>
                        </ROW>
                        <TNOTE>AV = adjusted volume in cubic feet; av = adjusted volume in liters.</TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">3. Compact Refrigeration Products</HD>
                    <P>Table VI.74 presents a summary of the quantitative impacts estimated for each TSL for compact refrigeration products. The efficiency levels contained in each TSL are described in section VI.A. The range of results for NPV of consumer benefits reflects the range of product price forecasts discussed in section IV.G.3.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,xs64,xs64,xs64,xs64,xs64">
                        <TTITLE>Table VI.74—Summary of Results for Compact Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1">Category</CHED>
                            <CHED H="1">TSL 1</CHED>
                            <CHED H="1">TSL 2</CHED>
                            <CHED H="1">TSL 3</CHED>
                            <CHED H="1">TSL 4</CHED>
                            <CHED H="1">TSL 5</CHED>
                        </BOXHD>
                        <ROW RUL="s">
                            <ENT I="01">National Energy Savings (quads)</ENT>
                            <ENT>0.30</ENT>
                            <ENT>0.37</ENT>
                            <ENT>0.43</ENT>
                            <ENT>0.54</ENT>
                            <ENT>0.59.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">NPV of Consumer Benefits (2009$ billion)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">3% discount rate</ENT>
                            <ENT>1.64 to 1.95</ENT>
                            <ENT>1.29 to 1.89</ENT>
                            <ENT>1.45 to 2.15</ENT>
                            <ENT>0.046 to 1.43</ENT>
                            <ENT>(3.75) to (1.17).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">7% discount rate</ENT>
                            <ENT>0.675 to 0.821</ENT>
                            <ENT>0.439 to 0.724</ENT>
                            <ENT>0.482 to 0.819</ENT>
                            <ENT>(0.363) to 0.304</ENT>
                            <ENT>(2.51) to (1.25).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Industry Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="22">Compact Refrigeration Products:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Industry NPV (2009$ million)</ENT>
                            <ENT>(16.6) to (27.8)</ENT>
                            <ENT>(36.2) to (58.7)</ENT>
                            <ENT>(62.9) to (89.3)</ENT>
                            <ENT>(41.5) to (92.8)</ENT>
                            <ENT>(154.9) to (242.6).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="03">Industry NPV (% change)</ENT>
                            <ENT>(9.8) to (16.4)</ENT>
                            <ENT>(21.4) to (34.6)</ENT>
                            <ENT>(37.1) to (52.7)</ENT>
                            <ENT>(24.5) to (54.8)</ENT>
                            <ENT>(91.4) to (143.2).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>20</ENT>
                            <ENT>24</ENT>
                            <ENT>28</ENT>
                            <ENT>35</ENT>
                            <ENT>39.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>16</ENT>
                            <ENT>20</ENT>
                            <ENT>23</ENT>
                            <ENT>29</ENT>
                            <ENT>31.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Hg (tons)</ENT>
                            <ENT>0.10</ENT>
                            <ENT>0.12</ENT>
                            <ENT>0.15</ENT>
                            <ENT>0.19</ENT>
                            <ENT>0.21.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Value of Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (2009$ billion)*
                            </ENT>
                            <ENT>0.12 to 1.26</ENT>
                            <ENT>0.15 to 1.54</ENT>
                            <ENT>0.18 to 1.79</ENT>
                            <ENT>0.22 to 2.25</ENT>
                            <ENT>0.24 to 2.47.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                —3% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.004 to 0.044</ENT>
                            <ENT>0.005 to 0.054</ENT>
                            <ENT>0.006 to 0.063</ENT>
                            <ENT>0.008 to 0.079</ENT>
                            <ENT>0.009 to 0.088.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                —7% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.002 to 0.021</ENT>
                            <ENT>0.003 to 0.026</ENT>
                            <ENT>0.003 to 0.030</ENT>
                            <ENT>0.004 to 0.038</ENT>
                            <ENT>0.004 to 0.042.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Mean LCC Savings ** (2009$)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Compact Refrigerators</ENT>
                            <ENT>17</ENT>
                            <ENT>14</ENT>
                            <ENT>13</ENT>
                            <ENT>(5)</ENT>
                            <ENT>(85).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Compact Freezers</ENT>
                            <ENT>12</ENT>
                            <ENT>12</ENT>
                            <ENT>9</ENT>
                            <ENT>(23)</ENT>
                            <ENT>(102).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <PRTPAGE P="57600"/>
                            <ENT I="21">
                                <E T="02">Median PBP (years)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Compact Refrigerators</ENT>
                            <ENT>2.5</ENT>
                            <ENT>3.5</ENT>
                            <ENT>3.9</ENT>
                            <ENT>5.8</ENT>
                            <ENT>10.4.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Compact Freezers</ENT>
                            <ENT>2.2</ENT>
                            <ENT>2.2</ENT>
                            <ENT>4.2</ENT>
                            <ENT>9.1</ENT>
                            <ENT>14.4.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Distribution of Consumer LCC Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="22">Compact Refrigerators:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>20</ENT>
                            <ENT>37</ENT>
                            <ENT>44</ENT>
                            <ENT>70</ENT>
                            <ENT>92.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>1.4</ENT>
                            <ENT>1.0</ENT>
                            <ENT>0.9</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>79</ENT>
                            <ENT>62</ENT>
                            <ENT>56</ENT>
                            <ENT>30</ENT>
                            <ENT>7.9.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Compact Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>8</ENT>
                            <ENT>8</ENT>
                            <ENT>34</ENT>
                            <ENT>85</ENT>
                            <ENT>97.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>5</ENT>
                            <ENT>5</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>87</ENT>
                            <ENT>87</ENT>
                            <ENT>66</ENT>
                            <ENT>16</ENT>
                            <ENT>3.3.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Generation Capacity Reduction (GW) †</ENT>
                            <ENT>0.27</ENT>
                            <ENT>0.34</ENT>
                            <ENT>0.39</ENT>
                            <ENT>0.48</ENT>
                            <ENT>0.51.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Employment Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Total Potential Changes in Domestic Production Workers in 2014 (thousands)</ENT>
                            <ENT>(0.00) to (0.03)</ENT>
                            <ENT>(0.00) to (0.03)</ENT>
                            <ENT>(0.00) to (0.03)</ENT>
                            <ENT>(0.00) to (0.03)</ENT>
                            <ENT>(0.01) to (0.03).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Indirect Domestic Jobs (thousands) †</ENT>
                            <ENT>1.44</ENT>
                            <ENT>1.64</ENT>
                            <ENT>1.88</ENT>
                            <ENT>2.02</ENT>
                            <ENT>1.53.</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            * Range of the economic value of CO
                            <E T="52">2</E>
                             reductions is based on estimates of the global benefit of reduced CO
                            <E T="52">2</E>
                             emissions.
                        </TNOTE>
                        <TNOTE>** For LCCs, a negative value means an increase in LCC by the amount indicated.</TNOTE>
                        <TNOTE>† Changes in 2043.</TNOTE>
                    </GPOTABLE>
                    <P>DOE first considered TSL 5, which represents the max-tech efficiency levels. TSL 5 would save 0.59 quads of energy, an amount DOE considers significant. Under TSL 5, the NPV of consumer benefit would be −$2.51 billion to −$1.25 billion, using a discount rate of 7 percent, and −$3.75 billion to −$1.17 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 5 are 39 Mt of CO
                        <E T="52">2</E>
                        , 31,000 tons of NO
                        <E T="52">X</E>
                        , and 0.21 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 5 ranges from $0.24 billion to $2.47 billion. Total generating capacity in 2043 is estimated to decrease by 0.51 GW under TSL 5.
                    </P>
                    <P>At TSL 5, the average LCC impact is a cost (LCC increase) of $85 for compact refrigerators and a cost of $102 for compact freezers. The median payback period is 10.4 years for compact refrigerators and 14.4 years for compact freezers. The fraction of consumers experiencing an LCC benefit is 7.9 percent for compact refrigerators and 3.3 percent for compact freezers. The fraction of consumers experiencing an LCC cost is 92 percent for compact refrigerators and 97 percent for compact freezers.</P>
                    <P>At TSL 5, the projected change in INPV ranges from a decrease of $154.9 million to a decrease of $242.6 million. DOE recognizes the risk of very large negative impacts if manufacturers' expectations concerning reduced profit margins are realized. Manufacturing products to meet standards at TSL 5 would require large investments in product redesign and conversion of facilities. Because compact refrigeration products are currently low-cost, low-margin products, there is a limited ability to pass on to consumers the required conversion costs and added product costs associated with efficiency-improving technologies. If the high end of the range of impacts is reached as DOE expects, TSL 5 could result in a net loss of 143.2 percent in INPV to compact refrigeration product manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 5 for compact refrigeration products, the benefits of energy savings, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the negative NPV of consumer benefits, the economic burden on a significant fraction of consumers due to the increases in product cost, the capital conversion costs and profit margin impacts that could result in a large reduction in INPV for manufacturers. Consequently, the Secretary has concluded that TSL 5 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 4. TSL 4 would save 0.54 quads of energy, an amount DOE considers significant. Under TSL 4, the NPV of consumer benefit would be −$0.363 billion to $0.304 billion, using a discount rate of 7 percent, and $0.46 billion to $1.43 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 4 are 35 Mt of CO
                        <E T="52">2</E>
                        , 29,000 tons of NO
                        <E T="52">X</E>
                        , and 0.19 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 4 ranges from $0.22 billion to $2.25 billion. Total generating capacity in 2043 is estimated to decrease by 0.48 GW under TSL 4.
                    </P>
                    <P>At TSL 4, the average LCC impact is a cost (LCC increase) of $5 for compact refrigerators and a cost of $23 for compact freezers. The median payback period is 5.8 years for compact refrigerators and 9.1 years for compact freezers. The fraction of consumers experiencing an LCC benefit is 30 percent for compact refrigerators and 16 percent for compact freezers. The fraction of consumers experiencing an LCC cost is 70 percent for compact refrigerators and 85 percent for compact freezers.</P>
                    <P>
                        At TSL 4, the projected change in INPV ranges from a decrease of $41.5 million to a decrease of $92.8 million. DOE recognizes the risk of very large negative impacts if manufacturers' expectations about reduced profit margins are realized. Manufacturing products to meet standards at TSL 4 would require large investments in product redesign and conversion of facilities. Because compact refrigeration products are currently low-cost, low-margin products, there is a limited 
                        <PRTPAGE P="57601"/>
                        ability to pass on to consumers the required conversion costs and added product costs associated with efficiency-improving technologies. If the high end of the range of impacts is reached as DOE expects, TSL 4 could result in a net loss of 54.8 percent in INPV to compact refrigeration product manufacturers.
                    </P>
                    <P>
                        The Secretary has concluded that at TSL 4 for compact refrigeration products, the benefits of energy savings, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the negative NPV of consumer benefits, the economic burden on a significant fraction of consumers due to the increases in product costs, and the capital conversion costs and profit margin impacts that could result in a large reduction in INPV for manufacturers. Consequently, the Secretary has concluded that TSL 4 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 3. TSL 3 would save 0.43 quads of energy, an amount DOE considers significant. Under TSL 3, the NPV of consumer benefit would be $0.482 billion to $0.819 billion, using a discount rate of 7 percent, and $1.45 to $2.15 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 3 are 28 Mt of CO
                        <E T="52">2</E>
                        , 23,000 tons of NO
                        <E T="52">X</E>
                        , and 0.15 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 3 ranges from $0.18 billion to $1.79 billion. Total generating capacity in 2043 is estimated to decrease by 0.39 GW under TSL 3.
                    </P>
                    <P>At TSL 3, the average LCC impact is a gain (consumer savings) of $13 for compact refrigerators and a gain of $9 for compact freezers. The median payback period is 3.9 years for compact refrigerators and 4.2 years for compact freezers. The fraction of consumers experiencing an LCC benefit is 56 percent for compact refrigerators and 66 percent for compact freezers. The fraction of consumers experiencing an LCC cost is 44 percent for compact refrigerators and 34 percent for compact freezers.</P>
                    <P>At TSL 3, the projected change in INPV ranges from a decrease of $62.9 million to a decrease of $89.3 million. DOE recognizes the risk of large negative impacts if manufacturers' expectations about reduced profit margins are realized. Manufacturing products to meet standards at TSL 3 would require large investments in product redesign and conversion of facilities. Because compact refrigeration products are currently low-cost, low-margin products, there is a limited ability to pass on to consumers the required conversion costs and added product costs associated with efficiency-improving technologies. If the high end of the range of impacts is reached as DOE expects, TSL 3 could result in a net loss of 52.7 percent in INPV to compact refrigeration product manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 3 for compact refrigeration products, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, and the estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the economic burden on a significant fraction of consumers due to the increases in product costs, and by the capital conversion costs and profit margin impacts that could result in a large reduction in INPV for manufacturers. Consequently, the Secretary has concluded that TSL 3 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 2. TSL 2 would save 0.37 quads of energy, an amount DOE considers significant. Under TSL 2, the NPV of consumer benefit would be $0.439 billion to $0.724 billion, using a discount rate of 7 percent, and $1.29 billion to $1.89 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 2 are 24 Mt of CO
                        <E T="52">2</E>
                        , 20,000 tons of NO
                        <E T="52">X</E>
                        , and 0.12 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 2 ranges from $0.15 billion to $1.54 billion. Total generating capacity in 2043 is estimated to decrease by 0.34 GW under TSL 2.
                    </P>
                    <P>At TSL 2, the average LCC impact is a gain (consumer savings) of $14 for compact refrigerators and a gain of $12 for compact freezers. The median payback period is 3.5 years for compact refrigerators and 2.2 years for compact freezers. The fraction of consumers experiencing an LCC benefit is 62 percent for compact refrigerators and 87 percent for compact freezers. The fraction of consumers experiencing an LCC cost is 37 percent for compact refrigerators and 8 percent for compact freezers.</P>
                    <P>At TSL 2, the projected change in INPV ranges from a decrease of $36.2 million to a decrease of $58.7 million. DOE recognizes the risk of negative impacts if manufacturers' expectations about reduced profit margins are realized. Manufacturing products to meet standards at TSL 2 would require investments in product redesign and conversion of facilities. Because compact refrigeration products are currently low-cost, low-margin products, there is a limited ability to pass on to consumers the required conversion costs and added product costs associated with efficiency-improving technologies. If the high end of the range of impacts is reached as DOE expects, TSL 2 could result in a net loss of 34.6 percent in INPV to compact refrigeration product manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 2 for compact refrigeration products, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, the estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions, and the economic benefit to a significant fraction of consumers would outweigh the capital conversion costs that could result in a reduction in INPV for manufacturers. In addition to the aforementioned benefits of the amended standards, DOE notes that the efficiency levels in TSL 2 correspond to the recommended levels in the Joint Comments
                    </P>
                    <P>AHAM and ASAP both commented that the proposed standard energy efficiency equation for product class 15 (compact refrigerator-freezers—automatic defrost with bottom-mounted freezer) was inconsistent with the consensus agreement, which had recommended that both product class 15 and product class 13 (compact refrigerator-freezers—automatic defrost with top-mounted freezer) should have identical standards. (ASAP, Public Meeting Transcript, No. 67 at p. 91; AHAM, Public Meeting Transcript, No. 67 at p. 92) DOE agrees that the standards of these two product classes should be the same, based on the similarities between these classes. Commenters favored this approach and none offered any information suggesting an alternative approach. As stated previously, DOE recognizes the value of consensus agreements submitted in accordance with 42 U.S.C. 6295(p)(4).</P>
                    <P>
                        After considering the analysis, comments responding to the September 2010 NOPR, and the benefits and burdens of TSL 2, the Secretary has concluded that this trial standard level will offer the maximum improvement in efficiency that is technologically feasible and economically justified, and will result in the significant conservation of energy. Therefore, DOE today is adopting TSL 2 for compact refrigeration products. The amended energy conservation standards for compact refrigeration products, expressed as equations for maximum energy use, are shown in Table VI-75.
                        <PRTPAGE P="57602"/>
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,xs70,xs70">
                        <TTITLE>Table VI.75—Amended Standards for Compact Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class</CHED>
                            <CHED H="1">Equations for maximum energy use (kWh/yr)</CHED>
                            <CHED H="2">
                                Based on AV (ft 
                                <SU>3</SU>
                                )
                            </CHED>
                            <CHED H="2">Based on av (L)</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">11. Compact refrigerators and refrigerator-freezers with manual defrost</ENT>
                            <ENT>9.03AV + 252.3</ENT>
                            <ENT>0.319av + 252.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">11A. Compact all-refrigerators—manual defrost</ENT>
                            <ENT>7.84AV + 219.1</ENT>
                            <ENT>0.277av + 219.1</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">12. Compact refrigerator-freezers—partial automatic defrost</ENT>
                            <ENT>5.91AV + 335.8</ENT>
                            <ENT>0.209av + 335.8</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13. Compact refrigerator-freezers—automatic defrost with top-mounted freezer</ENT>
                            <ENT>11.80AV + 339.2</ENT>
                            <ENT>0.417av + 339.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13I. Compact refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker</ENT>
                            <ENT>11.80AV + 423.2</ENT>
                            <ENT>0.417av + 423.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">13A. Compact all-refrigerators—automatic defrost</ENT>
                            <ENT>9.17AV + 259.3</ENT>
                            <ENT>0.324av + 259.3</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">14. Compact refrigerator-freezers—automatic defrost with side-mounted freezer</ENT>
                            <ENT>6.82AV + 456.9</ENT>
                            <ENT>0.241av + 456.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">14I. Compact refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker</ENT>
                            <ENT>6.82AV + 540.9</ENT>
                            <ENT>0.241av + 540.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">15. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer</ENT>
                            <ENT>11.80AV + 339.2</ENT>
                            <ENT>0.417av + 339.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">15I. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker</ENT>
                            <ENT>11.80AV + 423.2</ENT>
                            <ENT>0.417av + 423.2</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">16. Compact upright freezers with manual defrost</ENT>
                            <ENT>8.65AV + 225.7</ENT>
                            <ENT>0.306av + 225.7</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">17. Compact upright freezers with automatic defrost</ENT>
                            <ENT>10.17AV + 351.9</ENT>
                            <ENT>0.359av + 351.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">18. Compact chest freezers.</ENT>
                            <ENT>9.25AV + 136.8</ENT>
                            <ENT>0.327av + 136.8</ENT>
                        </ROW>
                        <TNOTE> AV = adjusted volume in cubic feet; av = adjusted volume in liters.</TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">4. Built-In Refrigeration Products</HD>
                    <P>Table V-76 presents a summary of the quantitative impacts estimated for each TSL for built-in refrigeration products. The efficiency levels contained in each TSL are described in section VI.A. The range of results for NPV of consumer benefits reflects the range of product price forecasts discussed in section IV.G.3.</P>
                    <GPOTABLE COLS="6" OPTS="L2,i1" CDEF="s50,xs64,xs64,xs64,xs64,xs64">
                        <TTITLE>Table VI.76—Summary of Results for Built-in Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1">Category</CHED>
                            <CHED H="1">TSL 1</CHED>
                            <CHED H="1">TSL 2</CHED>
                            <CHED H="1">TSL 3</CHED>
                            <CHED H="1">TSL 4</CHED>
                            <CHED H="1">TSL 5</CHED>
                        </BOXHD>
                        <ROW RUL="s">
                            <ENT I="01">National Energy Savings (quads)</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.03</ENT>
                            <ENT>0.058</ENT>
                            <ENT>0.071</ENT>
                            <ENT>0.085.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">NPV of Consumer Benefits (2009$ billion)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">3% discount rate</ENT>
                            <ENT>0.166 to 0.184</ENT>
                            <ENT>0.183 to 0.226</ENT>
                            <ENT>(0.228) to 0.029</ENT>
                            <ENT>(0.580) to (0.185)</ENT>
                            <ENT>(1.14) to (0.531).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">7% discount rate</ENT>
                            <ENT>0.053 to 0.062</ENT>
                            <ENT>0.045 to 0.066</ENT>
                            <ENT>(0.237) to (0.111)</ENT>
                            <ENT>(0.455) to (0.261)</ENT>
                            <ENT>(0.791) to (0.495).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Industry Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Industry NPV (2009$ million)</ENT>
                            <ENT>(51.9) to (52.6)</ENT>
                            <ENT>(55.1) to (56.5)</ENT>
                            <ENT>(68.0) to (77.2)</ENT>
                            <ENT>(82.9) to (97.6)</ENT>
                            <ENT>(89.9) to (112.1).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Industry NPV (% change)</ENT>
                            <ENT>(9.4) to (9.5)</ENT>
                            <ENT>(9.9) to (10.2)</ENT>
                            <ENT>(12.3) to (13.9)</ENT>
                            <ENT>(15.0) to (17.6)</ENT>
                            <ENT>(16.2) to (20.2).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (Mt)
                            </ENT>
                            <ENT>1.41</ENT>
                            <ENT>2.05</ENT>
                            <ENT>4.1</ENT>
                            <ENT>5.09</ENT>
                            <ENT>6.09.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="52">X</E>
                                 (1000 tons)
                            </ENT>
                            <ENT>1.14</ENT>
                            <ENT>1.65</ENT>
                            <ENT>3.3</ENT>
                            <ENT>4.09</ENT>
                            <ENT>4.9.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Hg (tons)</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.01</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.03.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Value of Cumulative Emissions Reduction</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 (2009$ billion) *
                            </ENT>
                            <ENT>0.012 to 0.12</ENT>
                            <ENT>0.017 to 0.17</ENT>
                            <ENT>0.035 to 0.34</ENT>
                            <ENT>0.043 to 0.41</ENT>
                            <ENT>0.051 to 0.50.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="0732">X</E>
                                —3% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.000 to 0.004</ENT>
                            <ENT>0.001 to 0.005</ENT>
                            <ENT>0.001 to 0.011</ENT>
                            <ENT>0.001 to 0.013</ENT>
                            <ENT>0.002 to 0.016.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">
                                NO
                                <E T="0732">X</E>
                                —7% discount rate (2009$ billion)
                            </ENT>
                            <ENT>0.000 to 0.002</ENT>
                            <ENT>0.000 to 0.002</ENT>
                            <ENT>0.000 to 0.004</ENT>
                            <ENT>0.001 to 0.005</ENT>
                            <ENT>0.001 to 0.006.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Mean LCC Savings ** (2009$)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Built-in All-Refrigerators</ENT>
                            <ENT>52</ENT>
                            <ENT>71</ENT>
                            <ENT>(11)</ENT>
                            <ENT>(151)</ENT>
                            <ENT>(258).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Built-in Bottom-Mount Refrigerator-Freezers</ENT>
                            <ENT>8</ENT>
                            <ENT>2</ENT>
                            <ENT>2</ENT>
                            <ENT>(138)</ENT>
                            <ENT>(207).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Built-in Side-by-Side Refrigerator-Freezers</ENT>
                            <ENT>10</ENT>
                            <ENT>10</ENT>
                            <ENT>(91)</ENT>
                            <ENT>(91)</ENT>
                            <ENT>(182).</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Built-in Upright Freezers</ENT>
                            <ENT>66</ENT>
                            <ENT>59</ENT>
                            <ENT>(23)</ENT>
                            <ENT>(23)</ENT>
                            <ENT>(101).</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Median PBP (years)</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Built-in All-Refrigerators</ENT>
                            <ENT>1.4</ENT>
                            <ENT>2.6</ENT>
                            <ENT>13.7</ENT>
                            <ENT>25.5</ENT>
                            <ENT>31.4.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Built-in Bottom-Mount Refrigerator-Freezers</ENT>
                            <ENT>3.8</ENT>
                            <ENT>11.1</ENT>
                            <ENT>11.1</ENT>
                            <ENT>52.8</ENT>
                            <ENT>52.2.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Built-in Side-by-Side Refrigerator-Freezers</ENT>
                            <ENT>7.5</ENT>
                            <ENT>7.5</ENT>
                            <ENT>31.0</ENT>
                            <ENT>31.0</ENT>
                            <ENT>50.4.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Built-in Upright Freezers</ENT>
                            <ENT>2.9</ENT>
                            <ENT>10.7</ENT>
                            <ENT>17.8</ENT>
                            <ENT>17.8</ENT>
                            <ENT>22.6.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <PRTPAGE P="57603"/>
                            <ENT I="21">
                                <E T="02">Distribution of Consumer LCC Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="22">Built-in All-Refrigerators:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.9</ENT>
                            <ENT>62</ENT>
                            <ENT>91</ENT>
                            <ENT>95.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>23</ENT>
                            <ENT>18.</ENT>
                            <ENT>9.1</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>77.</ENT>
                            <ENT>81</ENT>
                            <ENT>29</ENT>
                            <ENT>9.0</ENT>
                            <ENT>5.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Built-in Bottom-Mount Refrigerator-Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>0.6</ENT>
                            <ENT>7.0</ENT>
                            <ENT>7.0</ENT>
                            <ENT>98</ENT>
                            <ENT>99.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>87</ENT>
                            <ENT>87</ENT>
                            <ENT>87</ENT>
                            <ENT>0.0</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>12</ENT>
                            <ENT>5.9</ENT>
                            <ENT>5.9</ENT>
                            <ENT>2.0</ENT>
                            <ENT>1.5.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Built-in Side-by-Side Refrigerator-Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>5.8</ENT>
                            <ENT>5.8</ENT>
                            <ENT>59</ENT>
                            <ENT>59</ENT>
                            <ENT>98.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>79</ENT>
                            <ENT>79</ENT>
                            <ENT>37</ENT>
                            <ENT>37</ENT>
                            <ENT>0.0.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>16</ENT>
                            <ENT>16</ENT>
                            <ENT>4.3</ENT>
                            <ENT>4.3</ENT>
                            <ENT>2.4.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Built-in Upright Freezers:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Cost (%)</ENT>
                            <ENT>1.5</ENT>
                            <ENT>43</ENT>
                            <ENT>69</ENT>
                            <ENT>69</ENT>
                            <ENT>80.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">No Impact (%)</ENT>
                            <ENT>20</ENT>
                            <ENT>0.6</ENT>
                            <ENT>0.5</ENT>
                            <ENT>0.5</ENT>
                            <ENT>0.3.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Net Benefit (%)</ENT>
                            <ENT>79</ENT>
                            <ENT>57</ENT>
                            <ENT>31</ENT>
                            <ENT>31</ENT>
                            <ENT>20.</ENT>
                        </ROW>
                        <ROW RUL="s">
                            <ENT I="01">Generation Capacity Reduction (GW) †</ENT>
                            <ENT>0.02</ENT>
                            <ENT>0.03</ENT>
                            <ENT>0.06</ENT>
                            <ENT>0.08</ENT>
                            <ENT>0.09.</ENT>
                        </ROW>
                        <ROW EXPSTB="05" RUL="s">
                            <ENT I="21">
                                <E T="02">Employment Impacts</E>
                            </ENT>
                        </ROW>
                        <ROW EXPSTB="00">
                            <ENT I="01">Total Potential Changes in Domestic Production Workers in 2014 (thousands)</ENT>
                            <ENT>0.00 to (1.14)</ENT>
                            <ENT>(0.00) to (1.14)</ENT>
                            <ENT>0.01 to (1.14)</ENT>
                            <ENT>0.01 to (1.14)</ENT>
                            <ENT>0.03 to (1.14).</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">Indirect Domestic Jobs (thousands) †</ENT>
                            <ENT>0.14</ENT>
                            <ENT>0.19</ENT>
                            <ENT>0.29</ENT>
                            <ENT>0.31</ENT>
                            <ENT>0.30.</ENT>
                        </ROW>
                        <TNOTE>Parentheses indicate negative (−) values.</TNOTE>
                        <TNOTE>
                            Range of the economic value of CO
                            <E T="52">2</E>
                             reductions is based on estimates of the global benefit of reduced CO
                            <E T="52">2</E>
                             emissions.
                        </TNOTE>
                        <TNOTE>** For LCCs, a negative value means an increase in LCC by the amount indicated.</TNOTE>
                        <TNOTE>† Changes in 2043.</TNOTE>
                    </GPOTABLE>
                    <P>DOE first considered TSL 5, which represents the max-tech efficiency levels. TSL 5 would save 0.085 quads of energy, an amount DOE considers significant. Under TSL 5, the NPV of consumer benefit would be −$0.791 billion to −$0.495 billion, using a discount rate of 7 percent, and −$1.14 billion to −$0.531 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 5 are 6.09 Mt of CO
                        <E T="52">2</E>
                        , 4,900 tons of NO
                        <E T="52">X</E>
                        , and 0.03 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 5 ranges from $0.051 billion to $0.50 billion. Total generating capacity in 2043 is estimated to decrease by 0.09 GW under TSL 5.
                    </P>
                    <P>At TSL 5, the average LCC impact is a cost (LCC increase) of $258 for built-in all-refrigerators, a cost of $207 for built-in bottom-mount refrigerator-freezers, a cost of $182 for built-in side-by-side refrigerator-freezers, and a cost of $101 for built-in upright freezers. The median payback period is 31.4 years for built-in all-refrigerators, 52.2 years for built-in bottom-mount refrigerator-freezers, 50.4 years for built-in side-by-side refrigerator-freezers, and 22.6 years for built-in upright freezers. The fraction of consumers experiencing an LCC benefit is 5 percent for built-in all-refrigerators, 1.5 percent for built-in bottom-mount refrigerator-freezers, 2.4 percent for built-in side-by-side refrigerator-freezers, and 20 percent for built-in upright freezers. The fraction of consumers experiencing an LCC cost is 95 percent for built-in all-refrigerators, 99 percent for built-in bottom-mount refrigerator-freezers, 98 percent for built-in side-by-side refrigerator-freezers, and 80 percent for built-in upright freezers.</P>
                    <P>At TSL 5, the projected change in INPV ranges from a decrease of $89.9 million to a decrease of $112.1 million. If the high end of the range of impacts is reached as DOE expects, TSL 5 could result in a net loss of 20.2 percent in INPV to built-in refrigeration product manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 5 for built-in refrigeration products, the benefits of energy savings, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the negative NPV of consumer benefits, the economic burden on a significant fraction of consumers due to the large increases in product cost, and the capital conversion costs and profit margin impacts that could result in a reduction in INPV for the manufacturers. Consequently, the Secretary has concluded that TSL 5 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 4. TSL 4 would save 0.071 quads of energy, an amount DOE considers significant. Under TSL 4, the NPV of consumer benefit would be −$0.455 billion to −$0.261 billion, using a discount rate of 7 percent, and −$0.580 billion to −$0.185 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 4 are 5.09 Mt of CO
                        <E T="52">2</E>
                        , 4,090 tons of NO
                        <E T="52">X</E>
                        , and 0.02 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reductions at TSL 4 ranges from $0.043 billion to $0.41 billion. Total generating capacity in 2043 is estimated to decrease by 0.08 GW under TSL 4.
                    </P>
                    <P>
                        At TSL 4, DOE projects that the average LCC impact is a cost (LCC increase) of $151 for built-in all-refrigerators, a cost of $138 for built-in bottom-mount refrigerator-freezers, a cost of $91 for built-in side-by-side refrigerator-freezers, and a cost of $23 for built-in upright freezers. The median payback period is 25.5 years for built-in all-refrigerators, 52.8 years for built-in bottom-mount refrigerator-freezers, 31.0 years for built-in side-by-side refrigerator-freezers, and 17.8 years for built-in upright freezers. The fraction of consumers experiencing an LCC benefit is 9 percent for built-in all-refrigerators, 2 percent for built-in bottom-mount refrigerator-freezers, 4.3 percent for 
                        <PRTPAGE P="57604"/>
                        built-in side-by-side refrigerator-freezers, and 31 percent for built-in upright freezers. The fraction of consumers experiencing an LCC cost is 91 percent for built-in all-refrigerators, 98 percent for built-in bottom-mount refrigerator-freezers, 59 percent for built-in side-by-side refrigerator-freezers, and 69 percent for built-in upright freezers.
                    </P>
                    <P>At TSL 4, the projected change in INPV ranges from a decrease of $82.9 million to a decrease of $97.6 million. If the high end of the range of impacts is reached as DOE expects, TSL 4 could result in a net loss of 17.6 percent in INPV to built-in refrigeration product manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 4 for built-in refrigeration products, the benefits of energy savings, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the negative NPV of consumer benefits, the economic burden on a significant fraction of consumers due to the increases in product cost, and the capital conversion costs and profit margin impacts that could result in a reduction in INPV for the manufacturers. Consequently, the Secretary has concluded that TSL 4 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 3. TSL 3 would save 0.058 quads of energy, an amount DOE considers significant. Under TSL 3, the NPV of consumer benefit would be −0.237 billion to −$0.111 billion, using a discount rate of 7 percent, and −$0.228 billion to $0.029 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 3 are 4.1 Mt of CO
                        <E T="52">2</E>
                        , 3,300 tons of NO
                        <E T="52">X</E>
                        , and 0.02 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reduction at TSL 3 ranges from $0.035 billion to $0.34 billion. Total generating capacity in 2043 is estimated to decrease by 0.06 GW under TSL 3.
                    </P>
                    <P>At TSL 3, the average LCC impact is a cost (LCC increase) of $11 for built-in all-refrigerators, a gain of $2 for built-in bottom-mount refrigerator-freezers, a cost of $91 for built-in side-by-side refrigerator-freezers, and a cost of $23 for built-in upright freezers. The median payback period is 13.7 years for built-in all-refrigerators, 11.1 years for built-in bottom-mount refrigerator-freezers, 31.0 years for built-in side-by-side refrigerator-freezers, and 17.8 years for built-in upright freezers. The fraction of consumers experiencing an LCC benefit is 29 percent for built-in all-refrigerators, 5.9 percent for built-in bottom-mount refrigerator-freezers, 4.3 percent for built-in side-by-side refrigerator-freezers, and 31 percent for built-in upright freezers. The fraction of consumers experiencing an LCC cost is 62 percent for built-in all-refrigerators, 7 percent for built-in bottom-mount refrigerator-freezers, 59 percent for built-in side-by-side refrigerator-freezers, and 69 percent for built-in upright freezers.</P>
                    <P>At TSL 3, the projected change in INPV ranges from a decrease of $68.0 million to a decrease of $77.2 million. If the high end of the range of impacts is reached as DOE expects, TSL 3 could result in a net loss of 13.9 percent in INPV to built-in refrigeration product manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 3 for built-in refrigeration products, the benefits of energy savings, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would be outweighed by the negative NPV of of consumer benefits, the slight economic burden on a significant fraction of consumers due to the increases in product cost, and the capital conversion costs and profit margin impacts that could result in a reduction in INPV for the manufacturers. Consequently, the Secretary has concluded that TSL 3 is not economically justified.
                    </P>
                    <P>DOE then considered TSL 2. TSL 2 would save 0.03 quads of energy, an amount DOE considers significant. Under TSL 2, the NPV of consumer benefit would be $0.045 billion to $0.066 billion, using a discount rate of 7 percent, and $0.183 billion to $0.226 billion, using a discount rate of 3 percent.</P>
                    <P>
                        The cumulative emissions reductions at TSL 2 are 2.05 Mt of CO
                        <E T="52">2</E>
                        , 1,650 tons of NO
                        <E T="52">X</E>
                        , and 0.01 tons of Hg. The estimated monetary value of the cumulative CO
                        <E T="52">2</E>
                         emissions reduction at TSL 2 ranges from $0.017 billion to $0.17 billion. Total generating capacity in 2043 is estimated to decrease by 0.03 GW under TSL 2.
                    </P>
                    <P>At TSL 2, the average LCC impact is a gain (LCC decrease) of $71 for built-in all-refrigerators, a gain of $2 for built-in bottom-mount refrigerator-freezers, a gain of $10 for built-in side-by-side refrigerator-freezers, and a gain of $59 for built-in upright freezers. The median payback period is 2.6 years for built-in all-refrigerators, 11.1 years for built-in bottom-mount refrigerator-freezers, 7.5 years for built-in side-by-side refrigerator-freezers, and 10.7 years for built-in upright freezers. The fraction of consumers experiencing an LCC benefit is 81 percent for built-in all-refrigerators, 5.9 percent for built-in bottom-mount refrigerator-freezers, 16 percent for built-in side-by-side refrigerator-freezers, and 57 percent for built-in upright freezers. The fraction of consumers experiencing an LCC cost is 0.9 percent for built-in all-refrigerators, 7 percent for built-in bottom-mount refrigerator-freezers, 5.8 percent for built-in side-by-side refrigerator-freezers, and 43 percent for built-in upright freezers.</P>
                    <P>At TSL 2, the projected change in INPV ranges from a decrease of $55.1 million to a decrease of $56.5 million. If the high end of the range of impacts is reached as DOE expects, TSL 2 could result in a net loss of 10.2 percent in INPV to built-in refrigeration product manufacturers.</P>
                    <P>
                        The Secretary has concluded that at TSL 2 for built-in refrigeration products, the benefits of energy savings, positive NPV of consumer benefits, generating capacity reductions, emission reductions, and the estimated monetary value of the CO
                        <E T="52">2</E>
                         emissions reductions would outweigh the slight economic burden on a small fraction of consumers due to the increases in product cost, and the capital conversion costs and profit margin impacts that could result in a reduction in INPV for the manufacturers.
                    </P>
                    <P>
                        After considering the analysis, comments responding to the September 2010 NOPR, and the benefits and burdens of TSL 2, the Secretary has concluded that this trial standard level will offer the maximum improvement in efficiency that is technologically feasible and economically justified, and will result in significant conservation of energy. Therefore, DOE today is adopting TSL 2 for built-in refrigeration products. The amended energy conservation standards for built-in refrigeration products, expressed as equations for maximum energy use, are shown in Table VI.77.
                        <PRTPAGE P="57605"/>
                    </P>
                    <GPOTABLE COLS="3" OPTS="L2,i1" CDEF="s50,xs70,xs70">
                        <TTITLE>Table VI.77—Amended Standards for Built-In Refrigeration Products</TTITLE>
                        <BOXHD>
                            <CHED H="1">Product class</CHED>
                            <CHED H="1">Equations for maximum energy use (kWh/yr)</CHED>
                            <CHED H="2">
                                Based on AV (ft
                                <SU>3</SU>
                                )
                            </CHED>
                            <CHED H="2">Based on av (L)</CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="01">3-BI. Built-in Refrigerator-freezer—automatic defrost with top-mounted freezer without an automatic icemaker</ENT>
                            <ENT>9.15AV + 264.9</ENT>
                            <ENT>0.323av + 264.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3I-BI. Built-in Refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>9.15AV + 348.9</ENT>
                            <ENT>0.323av + 348.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">3A-BI. Built-in All-refrigerators—automatic defrost</ENT>
                            <ENT>8.02AV + 228.5</ENT>
                            <ENT>0.283av + 228.5</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker</ENT>
                            <ENT>10.22AV + 357.4</ENT>
                            <ENT>0.361av + 357.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">4I-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>10.22AV + 441.4</ENT>
                            <ENT>0.361av + 441.4</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker</ENT>
                            <ENT>9.40AV + 336.9</ENT>
                            <ENT>0.332av + 336.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5I-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                            <ENT>9.40AV + 420.9</ENT>
                            <ENT>0.332av + 420.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">5A-BI. Built-in Refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service</ENT>
                            <ENT>9.83AV + 499.9</ENT>
                            <ENT>0.347av + 499.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">7-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                            <ENT>10.25AV + 502.6</ENT>
                            <ENT>0.362av + 502.6</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9-BI. Built-In Upright freezers with automatic defrost without an automatic icemaker</ENT>
                            <ENT>9.86AV + 260.9</ENT>
                            <ENT>0.348av + 260.9</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">9I-BI. Built-in Upright freezers with automatic defrost with an automatic icemaker</ENT>
                            <ENT>9.86AV + 344.9</ENT>
                            <ENT>0.348av + 344.9</ENT>
                        </ROW>
                        <TNOTE>AV= adjusted volume in cubic feet; av = adjusted volume in liters.</TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD3">5. Summary of Benefits and Costs (Annualized) of Amended Standards</HD>
                    <P>
                        The benefits and costs of today's amended standards can also be expressed in terms of annualized values. The annualized monetary values are the sum of (1) the annualized national economic value, expressed in 2009$, of the benefits from operating products that meet the amended standards (consisting primarily of operating cost savings from using less energy, minus increases in equipment purchase costs, which is another way of representing consumer NPV), and (2) the monetary value of the benefits of emission reductions, including CO
                        <E T="52">2</E>
                         emission reductions.
                        <SU>49</SU>
                        <FTREF/>
                         The value of the CO
                        <E T="52">2</E>
                         reductions (
                        <E T="03">i.e.</E>
                         SCC) is calculated using a range of values per metric ton of CO
                        <E T="52">2</E>
                         developed by a recent interagency process. The monetary costs and benefits of cumulative emissions reductions are reported in 2009$ to permit comparisons with the other costs and benefits in the same dollar units.
                    </P>
                    <FTNT>
                        <P>
                            <SU>49</SU>
                             DOE used a two-step calculation process to convert the time-series of costs and benefits into annualized values. First, DOE calculated a present value in 2010, the year used for discounting the NPV of total consumer costs and savings, for the time-series of costs and benefits using discount rates of three and seven percent for all costs and benefits except for the value of CO
                            <E T="52">2</E>
                             reductions. For the latter, DOE used a range of discount rates, as shown in Table I.2. From the present value, DOE then calculated the fixed annual payment over a 30-year period (2014 through 2043) that yields the same present value. The fixed annual payment is the annualized value. Although DOE calculated annualized values, this does not imply that the time-series of cost and benefits from which the annualized values were determined is a steady stream of payments.
                        </P>
                    </FTNT>
                    <P>
                        Although combining the values of operating savings and CO
                        <E T="52">2</E>
                         reductions provides a useful perspective, two issues should be considered. First, the national operating savings are domestic U.S. consumer monetary savings that occur as a result of market transactions while the value of CO
                        <E T="52">2</E>
                         reductions is based on a global value. Second, the assessments of operating cost savings and SCC are performed with different methods that use quite different time frames for analysis. The national operating cost savings is measured for the lifetime of refrigeration products shipped in 2014-2043. The SCC values, on the other hand, reflect the present value of future climate-related impacts resulting from the emission of one ton of carbon dioxide in each year. These impacts continue well beyond 2100.
                    </P>
                    <P>
                        Estimates of annualized values are shown in Table VI.78. The results under the primary estimate are as follows. Using a 7-percent discount rate and the SCC series having a value of $22.1/ton in 2010 (in 2009$), the cost of the standards in today's rule is $1,167 to $1,569 million per year in increased equipment costs, while the annualized benefits are $2,275 million per year in reduced equipment operating costs, $515 million in CO
                        <E T="52">2</E>
                         reductions, and $21 million in reduced NO
                        <E T="52">X</E>
                         emissions. In this case, the net benefit amounts to $1,241 to $1,643 million per year. Using a 3-percent discount rate and the SCC series having a value of $22.1/ton in 2010, the cost of the standards in today's rule is $1,081 to $1,526 million per year in increased equipment costs, while the benefits are $3,160 million per year in reduced operating costs, $515 million in CO
                        <E T="52">2</E>
                         reductions, and $28 million in reduced NO
                        <E T="52">X</E>
                         emissions. In this case, the net benefit amounts to $2,176 to $2,622 million per year.
                    </P>
                    <GPOTABLE COLS="5" OPTS="L2,i1" CDEF="s50,xs80,xs80,xs80,xs80">
                        <TTITLE>Table VI-78—Annualized Benefits and Costs of Amended Standards for Refrigeration Products Sold in 2014-2043</TTITLE>
                        <BOXHD>
                            <CHED H="1"> </CHED>
                            <CHED H="1">Discount rate</CHED>
                            <CHED H="1">Monetized (million 2009$/year)</CHED>
                            <CHED H="2">Primary estimate *</CHED>
                            <CHED H="2">
                                Low net benefits
                                <LI>estimate *</LI>
                            </CHED>
                            <CHED H="2">
                                High net benefits
                                <LI>estimate *</LI>
                            </CHED>
                        </BOXHD>
                        <ROW>
                            <ENT I="22">Benefits:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Operating Cost Savings</ENT>
                            <ENT>7%</ENT>
                            <ENT>2275</ENT>
                            <ENT>1996</ENT>
                            <ENT>2560.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>3160</ENT>
                            <ENT>2720</ENT>
                            <ENT>3596.</ENT>
                        </ROW>
                        <ROW>
                            <PRTPAGE P="57606"/>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction at $4.9/t **
                            </ENT>
                            <ENT>5%</ENT>
                            <ENT>162</ENT>
                            <ENT>162</ENT>
                            <ENT>162.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction at $22.1/t **
                            </ENT>
                            <ENT>3%</ENT>
                            <ENT>515</ENT>
                            <ENT>515</ENT>
                            <ENT>515.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction at $36.3/t **
                            </ENT>
                            <ENT>2.5%</ENT>
                            <ENT>772</ENT>
                            <ENT>772</ENT>
                            <ENT>772.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                CO
                                <E T="52">2</E>
                                 Reduction at $67.1/t **
                            </ENT>
                            <ENT>3%</ENT>
                            <ENT>1567</ENT>
                            <ENT>1567</ENT>
                            <ENT>1567.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="01">
                                NO
                                <E T="0732">X</E>
                                 Reduction at $2,519/ton **
                            </ENT>
                            <ENT>7%</ENT>
                            <ENT>21</ENT>
                            <ENT>21</ENT>
                            <ENT>21.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>28</ENT>
                            <ENT>28</ENT>
                            <ENT>28.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total †</ENT>
                            <ENT>
                                7% plus CO
                                <E T="52">2</E>
                                 range
                            </ENT>
                            <ENT>2457 to 3863</ENT>
                            <ENT>2178 to 3584</ENT>
                            <ENT>2742 to 4148.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>7%</ENT>
                            <ENT>2810</ENT>
                            <ENT>2531</ENT>
                            <ENT>3095.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>3703</ENT>
                            <ENT>3263</ENT>
                            <ENT>4139.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                3% plus CO
                                <E T="52">2</E>
                                 range
                            </ENT>
                            <ENT>3350 to 4755</ENT>
                            <ENT>2910 to 4315</ENT>
                            <ENT>3786 to 5192.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Costs:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Incremental Product Costs</ENT>
                            <ENT>7%</ENT>
                            <ENT>1167 to 1569</ENT>
                            <ENT>1480</ENT>
                            <ENT>1232.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>1081 to 1526</ENT>
                            <ENT>1430</ENT>
                            <ENT>1147.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22">Net Benefits/Costs:</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="03">Total †</ENT>
                            <ENT>
                                7% plus CO
                                <E T="52">2</E>
                                 range
                            </ENT>
                            <ENT>888 to 2696</ENT>
                            <ENT>698 to 2103</ENT>
                            <ENT>1511 to 2916.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>7%</ENT>
                            <ENT>1241 to 1643</ENT>
                            <ENT>1051</ENT>
                            <ENT>1863.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>3%</ENT>
                            <ENT>2176 to 2622</ENT>
                            <ENT>1832</ENT>
                            <ENT>2993.</ENT>
                        </ROW>
                        <ROW>
                            <ENT I="22"> </ENT>
                            <ENT>
                                3% plus CO
                                <E T="52">2</E>
                                 range
                            </ENT>
                            <ENT>1823 to 3674</ENT>
                            <ENT>1479 to 2885</ENT>
                            <ENT>2640 to 4045.</ENT>
                        </ROW>
                        <TNOTE>* The Primary, Low Benefits, and High Benefits Estimates utilize forecasts of energy prices and housing starts from the AEO2010 Reference case, Low Economic Growth case, and High Economic Growth case, respectively. In addition, incremental product costs reflect a medium decline rate for product prices in the Primary Estimate, a low decline rate for product prices in the Low Benefits Estimate, and a high decline rate for product prices in the High Benefits Estimate. In the Primary estimate, the range of results for incremental product costs reflects the range of product price forecasts.</TNOTE>
                        <TNOTE>
                            ** The CO
                            <E T="52">2</E>
                             values represent global values (in 2009$) of the social cost of CO
                            <E T="52">2</E>
                             emissions in 2010 under several scenarios. The values of $4.9, $22.1, and $36.3 per metric ton (t) are the averages of SCC distributions calculated using 5%, 3%, and 2.5% discount rates, respectively. The value of $67.1/t represents the 95th percentile of the SCC distribution calculated using a 3% discount rate. The value for NO
                            <E T="52">X</E>
                             (in 2009$) is the average of the low and high values used in DOE's analysis.
                        </TNOTE>
                        <TNOTE>
                            <E T="51">†</E>
                             Total Benefits for both the 3% and 7% cases are derived using the SCC value calculated at a 3% discount rate, which is $22.1/t in 2010 (in 2009$). In the rows labeled as “7% plus CO
                            <E T="52">2</E>
                             range” and “3% plus CO
                            <E T="52">2</E>
                             range,” the operating cost and NO
                            <E T="52">X</E>
                             benefits are calculated using the labeled discount rate, and those values are added to the full range of CO
                            <E T="52">2</E>
                             values.
                        </TNOTE>
                    </GPOTABLE>
                    <HD SOURCE="HD1">VII. Procedural Issues and Regulatory Review</HD>
                    <HD SOURCE="HD2">A. Review Under Executive Order 12866 and 13563</HD>
                    <P>Section 1(b)(1) of Executive Order 12866, “Regulatory Planning and Review,” 58 FR 51735 (Oct. 4, 1993), requires each agency to identify the problem that it intends to address, including, where applicable, the failures of private markets or public institutions that warrant new agency action, as well as to assess the significance of that problem. The problems that today's standards address are as follows:</P>
                    <P>(1) There is a lack of consumer information and/or information processing capability about energy efficiency opportunities in the home appliance market.</P>
                    <P>(2) There is asymmetric information (one party to a transaction has more and better information than the other) and/or high transactions costs (costs of gathering information and effecting exchanges of goods and services).</P>
                    <P>(3) There are external benefits resulting from improved energy efficiency of refrigeration products that are not captured by the users of such products. These benefits include externalities related to environmental protection and energy security that are not reflected in energy prices, such as reduced emissions of greenhouse gases.</P>
                    <P>In addition, DOE has determined that today's regulatory action is an “economically significant regulatory action” under section 3(f)(1) of Executive Order 12866. Accordingly, section 6(a)(3) of the Executive Order requires that DOE prepare a regulatory impact analysis (RIA) on today's rule and that the Office of Information and Regulatory Affairs (OIRA) in the Office of Management and Budget (OMB) review this rule. DOE presented to OIRA for review the draft rule and other documents prepared for this rulemaking, including the RIA, and has included these documents in the rulemaking record. The assessments prepared pursuant to Executive Order 12866 can be found in the technical support document for this rulemaking. They are available for public review in the Resource Room of DOE's Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 600, Washington, DC 20024, (202) 586-2945, between 9 a.m. and 4 p.m., Monday through Friday, except Federal holidays.</P>
                    <P>
                        DOE has also reviewed this regulation pursuant to Executive Order 13563, issued on January 18, 2011 (76 FR 3281, Jan. 21, 2011). EO 13563 is supplemental to, and explicitly reaffirms the principles, structures, and definitions governing regulatory review established in, Executive Order 12866. To the extent permitted by law, agencies are required by Executive Order 13563 to: (1) Propose or adopt a regulation only upon a reasoned determination that its benefits justify its costs (recognizing that some benefits and costs are difficult to quantify); (2) tailor regulations to impose the least burden on society, consistent with obtaining regulatory objectives, taking into account, among other things, and to the extent practicable, the costs of cumulative regulations; (3) select, in choosing among alternative regulatory approaches, those approaches that maximize net benefits (including potential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity); (4) to the extent feasible, specify performance objectives, rather than specifying the behavior or manner of compliance that regulated entities must adopt; and (5) identify and assess available alternatives to direct regulation, including providing economic incentives to encourage the 
                        <PRTPAGE P="57607"/>
                        desired behavior, such as user fees or marketable permits, or providing information upon which choices can be made by the public.
                    </P>
                    <P>We emphasize as well that Executive Order 13563 requires agencies “to use the best available techniques to quantify anticipated present and future benefits and costs as accurately as possible.” In its guidance, the Office of Information and Regulatory Affairs has emphasized that such techniques may include “identifying changing future compliance costs that might result from technological innovation or anticipated behavioral changes.”</P>
                    <P>
                        DOE emphasizes that Executive Order 13563 calls for “periodic review of existing significant regulations,” with close reference to empirical evidence. Moreover, with respect to energy conservation standards, EPCA mandates that DOE review its regulations, “not later than 6 years after issuance of any final rule establishing or amending an energy efficiency standard. As part of the retrospective review, DOE will review its data on refrigerator prices and costs and, as part of that review, will consider tracking additional data on retail refrigerator prices and costs for the product classes identified in the rule as a means of comparing actual refrigerator prices and costs to prices and costs forecasted as a result of the standards imposed by today's and any future rule. Such a review will likely be a part of the periodic review of energy efficiency standards for refrigerators called for under Executive Order 13563. DOE's plan for conducting periodic review, which will be updated regularly, should be consulted for further information. See: 
                        <E T="03">http://energy.gov/gc/report-appliance-regulation-violation/ex-parte-communications/restrospective-regulatory-review</E>
                        .
                    </P>
                    <P>For the reasons stated in the preamble, DOE believes that today's final rule is consistent with these principles, including that, to the extent permitted by law, agencies adopt a regulation only upon a reasoned determination that its benefits justify its costs and select, in choosing among alternative regulatory approaches, those approaches that maximize net benefits.</P>
                    <HD SOURCE="HD2">B. Review Under the Regulatory Flexibility Act</HD>
                    <P>
                        The Regulatory Flexibility Act (5 U.S.C. 601 
                        <E T="03">et seq.</E>
                        ) requires preparation of an initial regulatory flexibility analysis (IRFA) for any rule that by law must be proposed for public comment, and a final regulatory flexibility analysis (FRFA) for any such rule that an agency adopts as a final rule, unless the agency certifies that the rule, if promulgated, will not have a significant economic impact on a substantial number of small entities. As required by Executive Order 13272, “Proper Consideration of Small Entities in Agency Rulemaking,” 67 FR 53461 (August 16, 2002), DOE published procedures and policies on February 19, 2003, to ensure that the potential impacts of its rules on small entities are properly considered during the rulemaking process. 68 FR 7990. DOE has made its procedures and policies available on the Office of the General Counsel's Web site (
                        <E T="03">http://www.gc.doe.gov</E>
                        ).
                    </P>
                    <P>
                        For manufacturers of residential refrigerators, refrigerator-freezers, and freezers, the Small Business Administration (SBA) has set a size threshold, which defines those entities classified as “small businesses” for the purposes of the statute. DOE used the SBA's small business size standards to determine whether any small entities would be subject to the requirements of the rule. 65 FR 30836, 30850 (May 15, 2000), as amended at 65 FR 53533, 53545 (September 5, 2000) and codified at 13 CFR part 121.The size standards are listed by North American Industry Classification System (NAICS) code and industry description and are available at 
                        <E T="03">http://www.sba.gov/idc/groups/public/documents/sba_homepage/serv_sstd_tablepdf.pdf</E>
                         . Residential refrigeration product manufacturing is classified under NAICS 335222, “Household Refrigerator and Home Freezer Manufacturing.” The SBA sets a threshold of 1,000 employees or less for an entity to be considered as a small business for this category.
                    </P>
                    <P>DOE reviewed its September 2010 NOPR under the provisions of the Regulatory Flexibility Act and the procedure and policies published on February 19, 2003. In the NOPR, DOE certified that the standards for residential refrigeration products set forth in the proposed rule, if promulgated, would not have a significant economic impact on a substantial number of small entities. DOE made this determination because only one small business manufacturer would potentially be impacted by the proposed energy conservation standards, and that manufacturer represents a small percentage of covered products and is a leader in a niche market. 75 FR at 59571-59572 (September 27, 2010).</P>
                    <P>DOE also sought comment on the impacts of the proposed amended energy conservation standards on small business manufacturers of residential refrigeration products. DOE received no comments on the certification or its additional requests for comment on small business impacts in response to the NOPR. Thus, DOE reaffirms the certification and has not prepared a FRFA for this final rule.</P>
                    <HD SOURCE="HD2">C. Review Under the Paperwork Reduction Act</HD>
                    <P>
                        Manufacturers of refrigeration products must certify to DOE that those products comply with any applicable energy conservation standard. In certifying compliance, manufacturers must test their refrigeration products according to the DOE test procedure for refrigeration products, including any amendments adopted for that test procedure. DOE has proposed regulations for the certification and recordkeeping requirements for all covered consumer products and commercial equipment, including refrigeration products (
                        <E T="03">i.e.</E>
                         refrigerators, refrigerator-freezers, and freezers). 75 FR 56796 (Sept. 16, 2010). The information collection requirement for the certification and recordkeeping is subject to review and approval by OMB under the Paperwork Reduction Act (PRA). DOE received OMB approval for collecting certification, compliance, and enforcement information for all covered products and covered equipment on February 3, 2011 under OMB control number 1910-1400.
                    </P>
                    <P>Public reporting burden for the certification is estimated to average 20 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Office of the Chief Information Officer, Records Management Division, IM-23, Paperwork Reduction Project (1910-1400), U.S. Department of Energy, 1000 Independence Ave., SW., Washington, DC 20585-1290; and to the Office of Management and Budget (OMB), OIRA, Paperwork Reduction Project (1910-1400), Washington, DC 20503.</P>
                    <P>Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the PRA, unless that collection of information displays a currently valid OMB Control Number.</P>
                    <HD SOURCE="HD2">D. Review Under the National Environmental Policy Act of 1969</HD>
                    <P>
                        DOE has prepared an environmental assessment (EA) of the impacts of the amended rule pursuant to the National 
                        <PRTPAGE P="57608"/>
                        Environmental Policy Act of 1969 (42 U.S.C. 4321 
                        <E T="03">et seq.</E>
                        ), the regulations of the Council on Environmental Quality (40 CFR parts 1500-1508), and DOE's regulations for compliance with the National Environmental Policy Act of 1969 (10 CFR part 1021). This assessment includes an examination of the potential effects of emission reductions likely to result from the rule in the context of global climate change, as well as other types of environmental impacts. The final EA has been included as chapter 15 of the final rule TSD. Before issuing this final rule for refrigeration products, DOE considered public comments. A finding of no significant impact (FONSI) accompanies the final EA.
                    </P>
                    <HD SOURCE="HD2">E. Review Under Executive Order 13132</HD>
                    <P>Executive Order 13132, “Federalism,” 64 FR 43255 (August 10, 1999) imposes certain requirements on agencies formulating and implementing policies or regulations that preempt State law or that have federalism implications. The Executive Order requires agencies to examine the constitutional and statutory authority supporting any action that would limit the policymaking discretion of the States and to carefully assess the necessity for such actions. The Executive Order also requires agencies to have an accountable process to ensure meaningful and timely input by State and local officials in the development of regulatory policies that have federalism implications. On March 14, 2000, DOE published a statement of policy describing the intergovernmental consultation process it will follow in the development of such regulations. 65 FR 13735. EPCA governs and prescribes Federal preemption of State regulations as to energy conservation for the products that are the subject of today's final rule. States can petition DOE for exemption from such preemption to the extent, and based on criteria, set forth in EPCA. (42 U.S.C. 6297) No further action is required by Executive Order 13132.</P>
                    <HD SOURCE="HD2">F. Review Under Executive Order 12988</HD>
                    <P>With respect to the review of existing regulations and the promulgation of new regulations, section 3(a) of Executive Order 12988, “Civil Justice Reform,” imposes on Federal agencies the general duty to adhere to the following requirements: (1) Eliminate drafting errors and ambiguity; (2) write regulations to minimize litigation; and (3) provide a clear legal standard for affected conduct rather than a general standard and promote simplification and burden reduction. 61 FR 4729 (February 7, 1996). Section 3(b) of Executive Order 12988 specifically requires that Executive agencies make every reasonable effort to ensure that the regulation: (1) Clearly specifies the preemptive effect, if any; (2) clearly specifies any effect on existing Federal law or regulation; (3) provides a clear legal standard for affected conduct while promoting simplification and burden reduction; (4) specifies the retroactive effect, if any; (5) adequately defines key terms; and (6) addresses other important issues affecting clarity and general draftsmanship under any guidelines issued by the Attorney General. Section 3(c) of Executive Order 12988 requires Executive agencies to review regulations in light of applicable standards in section 3(a) and section 3(b) to determine whether they are met or it is unreasonable to meet one or more of them. DOE has completed the required review and determined that, to the extent permitted by law, this final rule meets the relevant standards of Executive Order 12988.</P>
                    <HD SOURCE="HD2">G. Review Under the Unfunded Mandates Reform Act of 1995</HD>
                    <P>
                        Title II of the Unfunded Mandates Reform Act of 1995 (UMRA) requires each Federal agency to assess the effects of Federal regulatory actions on State, local, and Tribal governments and the private sector. Public Law 104-4, section 201 (codified at 2 U.S.C. 1531). For an amended regulatory action likely to result in a rule that may cause the expenditure by State, local, and Tribal governments, in the aggregate, or by the private sector of $100 million or more in any one year (adjusted annually for inflation), section 202 of UMRA requires a Federal agency to publish a written statement that estimates the resulting costs, benefits, and other effects on the national economy. (2 U.S.C. 1532(a), (b)) The UMRA also requires a Federal agency to develop an effective process to permit timely input by elected officers of State, local, and Tribal governments on a “significant intergovernmental mandate,” and requires an agency plan for giving notice and opportunity for timely input to potentially affected small governments before establishing any requirements that might significantly or uniquely affect small governments. On March 18, 1997, DOE published a statement of policy on its process for intergovernmental consultation under UMRA. 62 FR 12820; also available at 
                        <E T="03">http://www.gc.doe.gov.</E>
                    </P>
                    <P>Although today's final rule does not contain a Federal intergovernmental mandate, it may impose expenditures of $100 million or more on the private sector. Specifically, the final rule will likely result in a final rule that could impose expenditures of $100 million or more. Such expenditures may include (1) investment in research and development and in capital expenditures by refrigeration product manufacturers in the years between the final rule and the compliance date for the new standard, and (2) incremental additional expenditures by consumers to purchase higher-efficiency refrigeration products, starting in 2014.</P>
                    <P>Section 202 of UMRA authorizes an agency to respond to the content requirements of UMRA in any other statement or analysis that accompanies the final rule. 2 U.S.C. 1532(c). The content requirements of section 202(b) of UMRA relevant to a private sector mandate substantially overlap the economic analysis requirements that apply under section 325(o) of EPCA and Executive Order 12866. The Supplementary Information section of the notice of final rulemaking and the “Regulatory Impact Analysis” section of the TSD for this final rule respond to those requirements.</P>
                    <P>Under section 205 of UMRA, the Department is obligated to identify and consider a reasonable number of regulatory alternatives before promulgating a rule for which a written statement under section 202 is required. 2 U.S.C. 1535(a). DOE is required to select from those alternatives the most cost-effective and least burdensome alternative that achieves the objectives of the rule unless DOE publishes an explanation for doing otherwise or the selection of such an alternative is inconsistent with law. As required by 42 U.S.C. 6295(h) and (o), 6313(e), and 6316(a), today's final rule would establish energy conservation standards for residential refrigeration products that are designed to achieve the maximum improvement in energy efficiency that DOE has determined to be both technologically feasible and economically justified. A full discussion of the alternatives considered by DOE is presented in the “Regulatory Impact Analysis” section of the TSD for today's final rule.</P>
                    <HD SOURCE="HD2">H. Review Under the Treasury and General Government Appropriations Act, 1999</HD>
                    <P>
                        Section 654 of the Treasury and General Government Appropriations Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family Policymaking Assessment for any rule that may affect family well-being. This rule would not have any impact on the autonomy or integrity of the family as an institution. Accordingly, DOE has concluded that it is not necessary to 
                        <PRTPAGE P="57609"/>
                        prepare a Family Policymaking Assessment.
                    </P>
                    <HD SOURCE="HD2">I. Review Under Executive Order 12630</HD>
                    <P>DOE has determined, under Executive Order 12630, “Governmental Actions and Interference with Constitutionally Protected Property Rights” 53 FR 8859 (March 18, 1988), that this regulation would not result in any takings that might require compensation under the Fifth Amendment to the U.S. Constitution.</P>
                    <HD SOURCE="HD2">J. Review Under the Treasury and General Government Appropriations Act, 2001</HD>
                    <P>Section 515 of the Treasury and General Government Appropriations Act, 2001 (44 U.S.C. 3516, note) provides for agencies to review most disseminations of information to the public under guidelines established by each agency pursuant to general guidelines issued by OMB. OMB's guidelines were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines were published at 67 FR 62446 (October 7, 2002). DOE has reviewed today's final rule under the OMB and DOE guidelines and has concluded that it is consistent with applicable policies in those guidelines.</P>
                    <HD SOURCE="HD2">K. Review Under Executive Order 13211</HD>
                    <P>Executive Order 13211, “Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use” 66 FR 28355 (May 22, 2001), requires Federal agencies to prepare and submit to OIRA at OMB, a Statement of Energy Effects for any significant energy action. A “significant energy action” is defined as any action by an agency that promulgates or is expected to lead to promulgation of a final rule, and that (1) Is a significant regulatory action under Executive Order 12866, or any successor order; and (2) is likely to have a significant adverse effect on the supply, distribution, or use of energy, or (3) is designated by the Administrator of OIRA as a significant energy action. For any significant energy action, the agency must give a detailed statement of any adverse effects on energy supply, distribution, or use should the proposal be implemented, and of reasonable alternatives to the action and their expected benefits on energy supply, distribution, and use.</P>
                    <P>DOE has concluded that today's regulatory action, which sets forth energy conservation standards for refrigeration products, is not a significant energy action because the amended standards are not likely to have a significant adverse effect on the supply, distribution, or use of energy, nor has it been designated as such by the Administrator at OIRA. Accordingly, DOE has not prepared a Statement of Energy Effects on the final rule.</P>
                    <HD SOURCE="HD2">L. Review Under the Information Quality Bulletin for Peer Review</HD>
                    <P>On December 16, 2004, OMB, in consultation with the Office of Science and Technology (OSTP), issued its Final Information Quality Bulletin for Peer Review (the Bulletin). 70 FR 2664 (January 14, 2005). The Bulletin establishes that certain scientific information shall be peer reviewed by qualified specialists before it is disseminated by the Federal Government, including influential scientific information related to agency regulatory actions. The purpose of the bulletin is to enhance the quality and credibility of the Government's scientific information. Under the Bulletin, the energy conservation standards rulemaking analyses are “influential scientific information,” which the Bulletin defines as “scientific information the agency reasonably can determine will have or does have a clear and substantial impact on important public policies or private sector decisions.” 70 FR 2667.</P>
                    <P>
                        In response to OMB's Bulletin, DOE conducted formal in-progress peer reviews of the energy conservation standards development process and analyses and has prepared a Peer Review Report pertaining to the energy conservation standards rulemaking analyses. Generation of this report involved a rigorous, formal, and documented evaluation using objective criteria and qualified and independent reviewers to make a judgment as to the technical/scientific/business merit, the actual or anticipated results, and the productivity and management effectiveness of programs and/or projects. The “Energy Conservation Standards Rulemaking Peer Review Report” dated February 2007 has been disseminated and is available at the following Web site: 
                        <E T="03">http://www1.eere.energy.gov/buildings/appliance_standards/peer_review.html.</E>
                    </P>
                    <HD SOURCE="HD2">M. Congressional Notification</HD>
                    <P>As required by 5 U.S.C. 801, DOE will submit to Congress a report regarding the issuance of today's final rule prior to the effective date set forth at the outset of this notice. The report will state that it has been determined that the rule is a “major rule” as defined by 5 U.S.C. 804(2). DOE will also submit the supporting analyses to the Comptroller General in the U.S. Government Accountability Office (GAO) and make them available to each House of Congress.</P>
                    <HD SOURCE="HD1">VIII. Approval of the Office of the Secretary</HD>
                    <P>The Secretary of Energy has approved publication of today's amended rule.</P>
                    <LSTSUB>
                        <HD SOURCE="HED">List of Subjects in 10 CFR Part 430</HD>
                        <P>Administrative practice and procedure, Confidential business information, Energy conservation, Household appliances, Reporting and recordkeeping requirements, and Small businesses. </P>
                    </LSTSUB>
                    <SIG>
                        <DATED>Issued in Washington, DC, on August 25, 2011.</DATED>
                        <NAME>Henry Kelly,</NAME>
                        <TITLE>Acting Assistant Secretary, Energy Efficiency and Renewable Energy.</TITLE>
                    </SIG>
                    <P>For the reasons set forth in the preamble, DOE amends chapter II, subchapter D, of title 10 of the Code of Federal Regulations, as set forth below:</P>
                    <REGTEXT TITLE="10" PART="430">
                        <PART>
                            <HD SOURCE="HED">PART 430—ENERGY CONSERVATION PROGRAM FOR CONSUMER PRODUCTS</HD>
                        </PART>
                        <AMDPAR>1. The authority citation for Part 430 continues to read as follows:</AMDPAR>
                        <AUTH>
                            <HD SOURCE="HED">Authority:</HD>
                            <P>42 U.S.C. 6291-6309; 28 U.S.C. 2461 note.</P>
                        </AUTH>
                    </REGTEXT>
                    <REGTEXT TITLE="10" PART="430">
                        <AMDPAR>2. In § 430.2, add the definition for “Built-in refrigerator/refrigerator-freezer/freezer,” in alphabetical order, and revise the definition for “Compact refrigerator/refrigerator-freezer/freezer” to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 430.2 </SECTNO>
                            <SUBJECT>Definitions.</SUBJECT>
                            <STARS/>
                            <P>
                                <E T="03">Built-in refrigerator/refrigerator-freezer/freezer</E>
                                 means any refrigerator, refrigerator-freezer or freezer with 7.75 cubic feet or greater total volume and 24 inches or less depth not including doors, handles, and custom front panels; with sides which are not finished and not designed to be visible after installation; and that is designed, intended, and marketed exclusively (1) To be installed totally encased by cabinetry or panels that are attached during installation, (2) to be securely fastened to adjacent cabinetry, walls or floor, and (3) to either be equipped with an integral factory-finished face or accept a custom front panel.
                            </P>
                            <STARS/>
                            <P>
                                <E T="03">Compact refrigerator/refrigerator-freezer/freezer</E>
                                 means any refrigerator, refrigerator-freezer or freezer with total volume less than 7.75 cubic foot (220 liters) (rated volume as determined in appendices A1 and B1 of subpart B of this part before appendices A and B become mandatory and as determined 
                                <PRTPAGE P="57610"/>
                                in appendices A and B of this subpart once appendices A and B become mandatory (see the notes at the beginning of appendices A and B)).
                            </P>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                    <REGTEXT TITLE="10" PART="430">
                        <AMDPAR>3. In § 430.32 revise paragraph (a) to read as follows:</AMDPAR>
                        <SECTION>
                            <SECTNO>§ 430.32 </SECTNO>
                            <SUBJECT>Energy and water conservation standards and their effective dates.</SUBJECT>
                            <STARS/>
                            <P>
                                (a) 
                                <E T="03">Refrigerators/refrigerator-freezers/freezers.</E>
                                 These standards do not apply to refrigerators and refrigerator-freezers with total refrigerated volume exceeding 39 cubic feet (1104 liters) or freezers with total refrigerated volume exceeding 30 cubic feet (850 liters). The energy standards as determined by the equations of the following table(s) shall be rounded off to the nearest kWh per year. If the equation calculation is halfway between the nearest two kWh per year values, the standard shall be rounded up to the higher of these values.
                            </P>
                            <P>The following standards remain in effect from July 1, 2001 until September 15, 2014:</P>
                            <GPOTABLE COLS="2" OPTS="L2,tp0,i1" CDEF="s150,xs70">
                                <TTITLE> </TTITLE>
                                <BOXHD>
                                    <CHED H="1">Product class</CHED>
                                    <CHED H="1">
                                        Energy standard equations for maximum energy use
                                        <LI>(kWh/yr)</LI>
                                    </CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">1. Refrigerators and refrigerator-freezers with manual defrost</ENT>
                                    <ENT>
                                        8.82AV + 248.4
                                        <LI>0.31av + 248.4</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">2. Refrigerator-freezers—partial automatic defrost</ENT>
                                    <ENT>
                                        8.82AV + 248.4
                                        <LI>0.31av + 248.4</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">3. Refrigerator-freezers—automatic defrost with top-mounted freezer without through-the-door ice service and all-refrigerator—automatic defrost</ENT>
                                    <ENT>
                                        9.80AV + 276.0
                                        <LI>0.35av + 276.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">4. Refrigerator-freezers—automatic defrost with side-mounted freezer without through-the-door ice service</ENT>
                                    <ENT>
                                        4.91AV + 507.5
                                        <LI>0.17av + 507.5</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5. Refrigerator-freezers—automatic defrost with bottom-mounted freezer without through-the-door ice service</ENT>
                                    <ENT>
                                        4.60AV + 459.0
                                        <LI>0.16av + 459.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">6. Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service</ENT>
                                    <ENT>
                                        10.20AV + 356.0
                                        <LI>0.36av + 356.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">7. Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                                    <ENT>
                                        10.10AV + 406.0
                                        <LI>0.36av + 406.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">8. Upright freezers with manual defrost</ENT>
                                    <ENT>
                                        7.55AV + 258.3
                                        <LI>0.27av + 258.3</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">9. Upright freezers with automatic defrost</ENT>
                                    <ENT>
                                        12.43AV + 326.1
                                        <LI>0.44av + 326.1</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">10. Chest freezers and all other freezers except compact freezers</ENT>
                                    <ENT>
                                        9.88AV + 143.7
                                        <LI>0.35av + 143.7</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">11. Compact refrigerators and refrigerator-freezers with manual defrost</ENT>
                                    <ENT>
                                        10.70AV + 299.0
                                        <LI>0.38av + 299.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">12. Compact refrigerator-freezer—partial automatic defrost</ENT>
                                    <ENT>
                                        7.00AV + 398.0
                                        <LI>0.25av + 398.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">13. Compact refrigerator-freezers—automatic defrost with top-mounted freezer and compact all-refrigerator—automatic defrost</ENT>
                                    <ENT>
                                        12.70AV + 355.0
                                        <LI>0.45av + 355.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">14. Compact refrigerator-freezers—automatic defrost with side-mounted freezer</ENT>
                                    <ENT>
                                        7.60AV + 501.0
                                        <LI>0.27av + 501.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">15. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer</ENT>
                                    <ENT>
                                        13.10AV + 367.0
                                        <LI>0.46av + 367.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">16. Compact upright freezers with manual defrost</ENT>
                                    <ENT>
                                        9.78AV + 250.8
                                        <LI>0.35av + 250.8</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">17. Compact upright freezers with automatic defrost</ENT>
                                    <ENT>
                                        11.40AV + 391.0
                                        <LI>0.40av + 391.0</LI>
                                    </ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">18. Compact chest freezers</ENT>
                                    <ENT>
                                        10.45AV + 152.0
                                        <LI>0.37av + 152.0</LI>
                                    </ENT>
                                </ROW>
                                <TNOTE>
                                    AV: Adjusted Volume in ft
                                    <SU>3</SU>
                                    ; av: Adjusted Volume in liters (L).
                                </TNOTE>
                            </GPOTABLE>
                            <P>The following standards apply to products manufactured starting on September 14, 2014:</P>
                            <GPOTABLE COLS="3" OPTS="L2,tp0,i1" CDEF="s50,xs70,xs70">
                                <TTITLE> </TTITLE>
                                <BOXHD>
                                    <CHED H="1">
                                        <LI>Product class</LI>
                                    </CHED>
                                    <CHED H="1">
                                        Equations for maximum energy use
                                        <LI>(kWh/yr)</LI>
                                    </CHED>
                                    <CHED H="2">
                                        Based on AV (ft
                                        <SU>3</SU>
                                        )
                                    </CHED>
                                    <CHED H="2">Based on av (L)</CHED>
                                </BOXHD>
                                <ROW>
                                    <ENT I="01">1. Refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost</ENT>
                                    <ENT>7.99AV + 225.0</ENT>
                                    <ENT>0.282av + 225.0</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">1A. All-refrigerators—manual defrost</ENT>
                                    <ENT>6.79AV + 193.6</ENT>
                                    <ENT>0.240av + 193.6</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">2. Refrigerator-freezers—partial automatic defrost</ENT>
                                    <ENT>7.99AV + 225.0</ENT>
                                    <ENT>0.282av + 225.0</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">3. Refrigerator-freezers—automatic defrost with top-mounted freezer without an automatic icemaker</ENT>
                                    <ENT>8.07AV + 233.7</ENT>
                                    <ENT>0.285av + 233.7</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">3-BI. Built-in refrigerator-freezer—automatic defrost with top-mounted freezer without an automatic icemaker</ENT>
                                    <ENT>9.15AV + 264.9</ENT>
                                    <ENT>0.323av + 264.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">3I. Refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                                    <ENT>8.07AV + 317.7</ENT>
                                    <ENT>0.285av + 317.7</ENT>
                                </ROW>
                                <ROW>
                                    <PRTPAGE P="57611"/>
                                    <ENT I="01">3I-BI. Built-in refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                                    <ENT>9.15AV + 348.9</ENT>
                                    <ENT>0.323av + 348.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">3A. All-refrigerators—automatic defrost</ENT>
                                    <ENT>7.07AV + 201.6</ENT>
                                    <ENT>0.250av + 201.6</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">3A-BI. Built-in All-refrigerators—automatic defrost</ENT>
                                    <ENT>8.02AV + 228.5</ENT>
                                    <ENT>0.283av + 228.5</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">4. Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker</ENT>
                                    <ENT>8.51AV + 297.8</ENT>
                                    <ENT>0.301av + 297.8</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">4-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer without an automatic icemaker</ENT>
                                    <ENT>10.22AV + 357.4</ENT>
                                    <ENT>0.361av + 357.4</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">4I. Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                                    <ENT>8.51AV + 381.8</ENT>
                                    <ENT>0.301av + 381.8</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">4I-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                                    <ENT>10.22AV + 441.4</ENT>
                                    <ENT>0.361av + 441.4</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5. Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker</ENT>
                                    <ENT>8.85AV + 317.0</ENT>
                                    <ENT>0.312av + 317.0</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer without an automatic icemaker</ENT>
                                    <ENT>9.40AV + 336.9</ENT>
                                    <ENT>0.332av + 336.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5I. Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                                    <ENT>8.85AV + 401.0</ENT>
                                    <ENT>0.312av + 401.0</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5I-BI. Built-In Refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker without through-the-door ice service</ENT>
                                    <ENT>9.40AV + 420.9</ENT>
                                    <ENT>0.332av + 420.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5A. Refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service</ENT>
                                    <ENT>9.25AV + 475.4</ENT>
                                    <ENT>0.327av + 475.4</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">5A-BI. Built-in refrigerator-freezer—automatic defrost with bottom-mounted freezer with through-the-door ice service</ENT>
                                    <ENT>9.83AV + 499.9</ENT>
                                    <ENT>0.347av + 499.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">6. Refrigerator-freezers—automatic defrost with top-mounted freezer with through-the-door ice service</ENT>
                                    <ENT>8.40AV + 385.4</ENT>
                                    <ENT>0.297av + 385.4</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">7. Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                                    <ENT>8.54AV + 432.8</ENT>
                                    <ENT>0.302av + 432.8</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">7-BI. Built-In Refrigerator-freezers—automatic defrost with side-mounted freezer with through-the-door ice service</ENT>
                                    <ENT>10.25AV + 502.6</ENT>
                                    <ENT>0.362av + 502.6</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">8. Upright freezers with manual defrost</ENT>
                                    <ENT>5.57AV + 193.7</ENT>
                                    <ENT>0.197av + 193.7</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">9. Upright freezers with automatic defrost without an automatic icemaker</ENT>
                                    <ENT>8.62AV + 228.3</ENT>
                                    <ENT>0.305av + 228.3</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">9I. Upright freezers with automatic defrost with an automatic icemaker</ENT>
                                    <ENT>8.62AV + 312.3</ENT>
                                    <ENT>0.305av + 312.3</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">9-BI. Built-In Upright freezers with automatic defrost without an automatic icemaker</ENT>
                                    <ENT>9.86AV + 260.9</ENT>
                                    <ENT>0.348av + 260.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">9I-BI. Built-in upright freezers with automatic defrost with an automatic icemaker</ENT>
                                    <ENT>9.86AV + 344.9</ENT>
                                    <ENT>0.348av + 344.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">10. Chest freezers and all other freezers except compact freezers</ENT>
                                    <ENT>7.29AV + 107.8</ENT>
                                    <ENT>0.257av + 107.8</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">10A. Chest freezers with automatic defrost</ENT>
                                    <ENT>10.24AV + 148.1</ENT>
                                    <ENT>0.362av + 148.1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">11. Compact refrigerator-freezers and refrigerators other than all-refrigerators with manual defrost</ENT>
                                    <ENT>9.03AV + 252.3</ENT>
                                    <ENT>0.319av + 252.3</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">11A.Compact all-refrigerators—manual defrost</ENT>
                                    <ENT>7.84AV + 219.1</ENT>
                                    <ENT>0.277av + 219.1</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">12. Compact refrigerator-freezers—partial automatic defrost</ENT>
                                    <ENT>5.91AV + 335.8</ENT>
                                    <ENT>0.209av + 335.8</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">13. Compact refrigerator-freezers—automatic defrost with top-mounted freezer</ENT>
                                    <ENT>11.80AV + 339.2</ENT>
                                    <ENT>0.417av + 339.2</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">13I. Compact refrigerator-freezers—automatic defrost with top-mounted freezer with an automatic icemaker</ENT>
                                    <ENT>11.80AV + 423.2</ENT>
                                    <ENT>0.417av + 423.2</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">13A. Compact all-refrigerators—automatic defrost</ENT>
                                    <ENT>9.17AV + 259.3</ENT>
                                    <ENT>0.324av + 259.3</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">14. Compact refrigerator-freezers—automatic defrost with side-mounted freezer</ENT>
                                    <ENT>6.82AV + 456.9</ENT>
                                    <ENT>0.241av + 456.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">14I. Compact refrigerator-freezers—automatic defrost with side-mounted freezer with an automatic icemaker</ENT>
                                    <ENT>6.82AV + 540.9</ENT>
                                    <ENT>0.241av + 540.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">15. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer</ENT>
                                    <ENT>11.80AV + 339.2</ENT>
                                    <ENT>0.417av + 339.2</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">15I. Compact refrigerator-freezers—automatic defrost with bottom-mounted freezer with an automatic icemaker</ENT>
                                    <ENT>11.80AV + 423.2</ENT>
                                    <ENT>0.417av + 423.2</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">16. Compact upright freezers with manual defrost</ENT>
                                    <ENT>8.65AV + 225.7</ENT>
                                    <ENT>0.306av + 225.7</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">17. Compact upright freezers with automatic defrost</ENT>
                                    <ENT>10.17AV + 351.9</ENT>
                                    <ENT>0.359av + 351.9</ENT>
                                </ROW>
                                <ROW>
                                    <ENT I="01">18. Compact chest freezers</ENT>
                                    <ENT>9.25AV + 136.8</ENT>
                                    <ENT>0.327av + 136.8</ENT>
                                </ROW>
                                <TNOTE>
                                    AV = Total adjusted volume, expressed in ft
                                    <SU>3</SU>
                                    , as determined in appendices A and B of subpart B of this part.
                                </TNOTE>
                                <TNOTE>av = Total adjusted volume, expressed in Liters.</TNOTE>
                            </GPOTABLE>
                            <PRTPAGE P="57612"/>
                            <STARS/>
                        </SECTION>
                    </REGTEXT>
                </SUPLINF>
                <FRDOC>[FR Doc. 2011-22329 Filed 9-14-11; 8:45 am]</FRDOC>
                <BILCOD>BILLING CODE 6450-01-P</BILCOD>
            </RULE>
            <RULE>
                <PREAMB>
                    <AGENCY TYPE="S">DEPARTMENT OF ENERGY</AGENCY>
                    <CFR>10 CFR Part 430</CFR>
                    <DEPDOC>[Docket No. EERE-2009-BT-TP-0003]</DEPDOC>
                    <RIN>RIN 1904-AB92</RIN>
                    <SUBJECT>Energy Efficiency Program for Consumer Products: Test Procedures for Residential Refrigerators, Refrigerator-Freezers, and Freezers</SUBJECT>
                    <AGY>
                        <HD SOURCE="HED">AGENCY:</HD>
                        <P>Office of Energy Efficiency and Renewable Energy, Department of Energy.</P>
                    </AGY>
                    <ACT>
                        <HD SOURCE="HED">ACTION:</HD>
                        <P>Interim final rule; reopening of comment period.</P>
                    </ACT>
                    <SUM>
                        <HD SOURCE="HED">SUMMARY:</HD>
                        <P>This document announces a limited reopening of the comment period for interested parties seeking to submit comments on the December 16, 2011 interim final rule to amend the test procedures for residential refrigerators, refrigerator-freezers, and freezers that will apply to products that are manufactured starting in 2014. The comment period is extended until October 17, 2011.</P>
                    </SUM>
                    <EFFDATE>
                        <HD SOURCE="HED">DATES:</HD>
                        <P>Comments must be submitted no later than October 17, 2011.</P>
                    </EFFDATE>
                    <ADD>
                        <HD SOURCE="HED">ADDRESSES:</HD>
                        <P>Any comments submitted must identify the “Interim Final Rule on Test Procedures for Residential Refrigerators, Refrigerator-Freezers, and Freezers” and provide the appropriate docket number EERE-2009-BT-TP-0003 and/or RIN number 1904-AB92. Comments may be submitted using any of the following methods:</P>
                        <P>
                            • 
                            <E T="03">Federal eRulemaking Portal:  http://www.regulations.gov.</E>
                             Follow the instructions for submitting comments.
                        </P>
                        <P>
                            • 
                            <E T="03">E-mail: Refrig-2009-TP-0003@ee.doe.gov.</E>
                             Include docket number EERE-BT-TP-0003 and/or RIN number 1904-AB92 in the subject line of the message.
                        </P>
                        <P>
                            • 
                            <E T="03">Mail:</E>
                             Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, Mail-stop EE-2J, Interim Final Rule for Test Procedures for Refrigerators and Refrigerator-Freezers, docket number EERE-2009-BT-TP-0003 and/or RIN number 1904-AB92, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Please submit one signed paper original.
                        </P>
                        <P>
                            • 
                            <E T="03">Hand Delivery/Courier:</E>
                             Ms. Brenda Edwards, U.S. Department of Energy, Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 600, Washington, DC 20024. Telephone: (202) 586-2945. Please submit one signed paper original.
                        </P>
                        <P>The public may review copies of all materials related to this rulemaking at the U.S. Department of Energy, Resource Room of the Building Technologies Program, 950 L'Enfant Plaza, SW., Suite 600, Washington, DC, (202) 586-2945, between 9 a.m. and 4 p.m., Monday through Friday, except Federal holidays. Please call Ms. Brenda Edwards at the above telephone number for additional information regarding visiting the Resource Room.</P>
                    </ADD>
                    <FURINF>
                        <HD SOURCE="HED">FOR FURTHER INFORMATION CONTACT:</HD>
                        <P>
                            Mr. Lucas Adin, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 287-1317. E-mail: 
                            <E T="03">Lucas.Adin@ee.doe.gov.</E>
                        </P>
                        <P>
                            Mr. Michael Kido, U.S. Department of Energy, Office of the General Counsel, GC-71, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 586-8145. E-mail: 
                            <E T="03">Michael.Kido@hq.doe.gov.</E>
                        </P>
                        <P>
                            For information on how to submit or review public comments, contact Ms. Brenda Edwards, U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Building Technologies Program, EE-2J, 1000 Independence Avenue, SW., Washington, DC 20585-0121. Telephone: (202) 586-2945. E-mail: 
                            <E T="03">Brenda.Edwards@ee.doe.gov.</E>
                        </P>
                    </FURINF>
                </PREAMB>
                <SUPLINF>
                    <HD SOURCE="HED">SUPPLEMENTARY INFORMATION:</HD>
                    <P>
                        On December 16, 2010, the U.S. Department of Energy (DOE) published in the 
                        <E T="04">Federal Register</E>
                         a Final Rule that amended the test procedures for residential refrigerators, refrigerator-freezers, and freezers (collectively, “refrigeration products”). 75 FR 78810. The amended test procedures for residential refrigerators and refrigerator-freezers are found in 10 CFR part 430, subpart B, appendix A1 and the test procedures for residential freezers are found in 10 CFR part 430, subpart B, appendix B1. These revised test procedures, which do not affect measured energy use, became effective on January 18, 2011. Consistent with 42 U.S.C. 6293(c)(2), however, manufacturers do not need to use these procedures for making representations regarding energy usage until June 14, 2011.
                    </P>
                    <P>Concurrently with this Final Rule, DOE published an Interim Final Rule establishing new amended test procedures for these products, Appendix A and Appendix B, that incorporate the same revisions made to Appendix A1 and Appendix B1. 75 FR 78810. The Interim Final Rule also included amendments to these procedures that will, once finalized, apply to refrigeration products starting in 2014. It also provided interested parties with an opportunity to submit comments on the Interim Final Rule by February 14, 2011—i.e., an extra 60 days within which to provide comment.</P>
                    <P>On February 7, 2011, prior to the closing of that comment period, DOE received an emailed request from the Association of Home Appliance Manufacturers (AHAM) requesting that DOE extend the comment period deadline to “30 days after the [refrigeration products] standards final rule is made available to the public.” That email noted that AHAM had also consulted with the American Council for an Energy Efficient Economy regarding this request.</P>
                    <P>The AHAM request explained that the group required additional time to provide comment to the agency. AHAM asserted that:</P>
                    <EXTRACT>
                        <P>
                            The Department released the test procedure for refrigerator/freezers as a final rule and interim final rule in order to allow stakeholders to comment on the necessary revisions to the energy conservation standards. DOE's strategy, as discussed with AHAM, assumed that the standards final rule would be released no later than the statutorily mandated deadline of December 31, 2010. But that final rule has not been released. 
                            <E T="03">Thus, stakeholders cannot provide substantive comments and data on whether the equations are accurate or require some revision.</E>
                             (Emphasis in original.)
                        </P>
                    </EXTRACT>
                    <P>DOE notes that once it issues a final rule promulgating the energy conservation standards for a particular product type, the agency is prohibited by statute from altering those standards in any way that would permit either an increase in the maximum energy consumption of that product or a decrease in that product's minimum energy efficiency. See 42 U.S.C. 6295(o)(1). As a result, to the extent that interested parties seek a wholesale revision of the standards that DOE has set, barring the presence of calculation or typographical error, those standards cannot be altered in a manner that would result in refrigeration products that consume more energy—or that are less efficient.</P>
                    <P>
                        However, to ensure that the test procedure accurately captures as reasonably as possible the energy consumption of those products that are addressed in the Interim Final Rule, DOE is re-opening the comment period for that test procedure proceeding to enable interested parties to comment given that the energy conservation standards rule has been issued. The purpose of this limited re-opening is to 
                        <PRTPAGE P="57613"/>
                        permit interested parties to comment on the interplay between the test procedure and the energy conservation standards in order to permit DOE to make any final changes that may be needed to the final test procedure for products that will be manufactured starting in 2014. Accordingly, consistent with AHAM's request, DOE is re-opening its comment period on the Interim Final Rule for refrigeration products for a period of 30 days.
                    </P>
                    <P>DOE notes that if it were to amend Appendix A or Appendix B to ensure that the procedure adequately measures the energy consumption of a given product and an accompanying adjustment were required to the energy conservation standard to ensure that the same level of efficiency or energy use would result, it is DOE's view that such a change would not constitute backsliding of the standard under 42 U.S.C. 6295(o)(1). Accordingly, should any adjustments to Appendix A or Appendix B prove necessary, additional information from interested parties explaining the nature and impact of any suggested changes would be of substantial benefit in finalizing the test procedure.</P>
                    <P>Although DOE seeks comment generally on the Interim Final Rule, it also notes that the Whirlpool Corporation (Whirlpool) recently raised a specific issue on a related matter involving a test procedure waiver request from Samsung Electronics America, Inc. (Samsung). In that request, Samsung sought a waiver from the current test procedure in order to permit it to use the multiple defrost cycle test that DOE presented in its Interim Final Rule. See 76 FR 16760 (March 25, 2011). In response to that request, Whirlpool asked DOE, among other things, not to grant a “permanent waiver” to Samsung without first correcting certain calculation errors in the test procedure, which are described in detail below. See generally, Letter from J.B. Hoyt, Director, Government Relations, Whirlpool Corporation, to Henry Kelly, Acting Assistant Secretary, Office of Energy Efficiency and Renewable Energy (EERE), DOE (April 25, 2011).</P>
                    <P>DOE notes that during the test procedure's comment period, Whirlpool stated that it agreed with DOE's proposed amendments to the equation that were ultimately adopted in the Interim Final Rule. See Whirlpool Comments on the Refrigeration Products Notice of Proposed Rulemaking (Docket Number EERE-2009-BT-TP-0003, No. 12.1, at p. 6). However, its comments regarding Samsung's waiver request test procedure suggested that revisions to the procedure manufacturers would need to follow under Appendix A for all products with long-time or variable defrost, might be necessary.</P>
                    <P>In particular, Whirlpool pointed to possible issues involving the accuracy of the second part of the energy test for products with long-time automatic defrost, which is described in section 4.2.1 of Appendix A. This portion of the procedure is intended to capture the energy consumed during all of the events occurring with the defrost control sequence that are outside of stable operation. According to Whirlpool, the test method prescribed in Appendix A, which is the same method Samsung requested to use in its waiver, may inadvertently provide an energy “credit” to some products by including in the measurement an excessive portion of time during which the compressor is not running. The size of this credit, if any, is determined mainly by the characteristics of a product's compressor cycles and may be exaggerated in products with especially long cycles.</P>
                    <P>DOE observed this phenomenon during product testing conducted for the test procedure rulemaking and raised the issue for comment during the public meeting on the Refrigeration Products Test Procedures Notice of Proposed Rulemaking held June 22, 2010 (Public Meeting Presentation, No. 9 at p. 53). At the meeting, DOE raised the possibility that accurate measurement of the energy consumption associated with the defrost cycle may require revision of the test period—specifically, the use of a different end time. Other than general statements of support for DOE's proposed approach, the agency received no substantive comments on this issue during the NOPR comment period.</P>
                    <P>In order to address this issue, and to ensure that the procedure accounts for all energy use associated with defrost cycles, including any special cycles related to the defrost cycle such as a pre-cooling cycle before defrost or temperature recovery following defrost, DOE may consider the adoption of alternative approaches to the method currently laid out in Appendix A (and the corresponding portions of Appendix B). Specifically, DOE may consider modifying the test procedure for the second part of the test for products with long-time or variable defrost with cycling compressor systems (Appendix A, section 4.2.1.1) so that it ends at the termination of the first regular compressor cycle after the temperatures have fully recovered to their stable conditions rather than ending at the initiation of that cycle.</P>
                    <P>DOE seeks comments on whether any revisions are required to the test period for the second part of the test for such products to properly account for the energy consumption associated with defrost cycles. Based upon the comments received in response to this notice, as well as additional analysis performed by DOE as a result of objections to the Samsung waiver request, DOE will consider whether to adopt one of the alternatives noted above or another appropriate alternative to the current version of the procedure in Appendix A and Appendix B.</P>
                    <HD SOURCE="HD1">Further Information on Submitting Comments</HD>
                    <P>Under 10 CFR 1004.11, any person submitting information that he or she believes to be confidential and exempt by law from public disclosure should submit two copies: one copy of the document including all the information believed to be confidential, and one copy of the document with the information believed to be confidential deleted. DOE will make its own determination about the confidential status of the information and treat it according to its determination.</P>
                    <P>Factors of interest to DOE when evaluating requests to treat submitted information as confidential include (1) A description of the items, (2) whether and why such items are customarily treated as confidential within the industry, (3) whether the information is generally known by or available from other sources, (4) whether the information has previously been made available to others without obligation concerning its confidentiality, (5) an explanation of the competitive injury to the submitting person which would result from public disclosure, (6) when such information might lose its confidential character due to the passage of time, and (7) why disclosure of the information would be contrary to the public interest.</P>
                    <SIG>
                        <DATED>Issued in Washington, DC, on August 25, 2011.</DATED>
                        <NAME>Timothy Unruh,</NAME>
                        <TITLE>Program Manager, Federal Energy Management Program, Energy Efficiency and Renewable Energy.</TITLE>
                    </SIG>
                </SUPLINF>
                <FRDOC>[FR Doc. 2011-22330 Filed 9-14-11; 8:45 am]</FRDOC>
                <BILCOD>BILLING CODE 6450-01-P</BILCOD>
            </RULE>
        </RULES>
    </NEWPART>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Presidential Documents</UNITNAME>
    <NEWPART>
        <PTITLE>
            <PRTPAGE P="57615"/>
            <PARTNO>Part IV</PARTNO>
            <PRES>The President</PRES>
            <PROC>Proclamation 8711—National Health Information Technology Week, 2011</PROC>
        </PTITLE>
        <PRESDOCS>
            <PRESDOCU>
                <PROCLA>
                    <TITLE3>Title 3—</TITLE3>
                    <PRES>
                        The President
                        <PRTPAGE P="57617"/>
                    </PRES>
                    <PROC>Proclamation 8711 of September 12, 2011</PROC>
                    <HD SOURCE="HED">National Health Information Technology Week, 2011 </HD>
                    <PRES>By the President of the United States of America</PRES>
                    <PROC>A Proclamation</PROC>
                    <FP>Technological advances have always driven America’s economy forward and improved the lives of our people, from the industrial innovations of the nineteenth century to today’s cutting-edge science. Progress in our Nation’s health care system is no different, and hinges on the work of hospitals, private practices, and information specialists as they modernize our health information systems. During National Health Information Technology Week, we highlight the critical importance of secure and efficient information systems to improving the delivery of health care in the United States.</FP>
                    <FP>Health information technology connects doctors and patients to more complete and accurate health records. Tools like electronic health records and electronic prescriptions help patients and providers make safer, smarter decisions about health care. This technology is critical to improving patient care, enabling coordination between providers and patients, reducing the risk of dangerous drug interactions, and helping patients access prevention and disease management services. It is currently being used with great success to coordinate and improve care for members of our Armed Forces, as well as our Nation’s veterans. Better technology can also cut costs for providers by reducing paperwork and duplicative tests.</FP>
                    <FP>Ensuring the security of health information records is a top priority for my Administration. The American Recovery and Reinvestment Act, passed in 2009, promotes the use of Health IT while significantly strengthening Federal laws protecting patient privacy. Entities violating privacy laws are now subject to increased penalties. The Recovery Act also provides landmark financial incentives to eligible professionals and hospitals that adopt and meaningfully use electronic health records while protecting the privacy and security of health information.</FP>
                    <FP>Everyone can play a role in improving our health care system. An important part of this vision is recognizing the pivotal role patients play in maintaining and improving their own health. Patients can work with their doctors to access information about their care. And those who design and implement Health IT systems can enable software that puts patients and their families at the center of their own care, empowering and engaging them in reaching their health goals.</FP>
                    <FP>America is home to the world’s best universities and technical schools, and the most creative scientists and entrepreneurs. As we challenge ourselves to push forward into a new century of health technology, we will continue to foster and promote the innovative spirit that has made our country what it is today.</FP>
                    <FP>
                        NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim September 11 through September 17, 2011, as National Health Information Technology Week. I urge all Americans to learn more about the benefits of Health IT by visiting HealthIT.gov, take action to increase adoption and meaningful use of Health 
                        <PRTPAGE P="57618"/>
                        IT, and utilize the information Health IT provides to improve the quality, safety, and cost effectiveness of health care in the United States.
                    </FP>
                    <FP>IN WITNESS WHEREOF, I have hereunto set my hand this twelfth day of September, in the year of our Lord two thousand eleven, and of the Independence of the United States of America the two hundred and thirty-sixth.</FP>
                    <GPH SPAN="1" DEEP="50" HTYPE="RIGHT">
                        <GID>OB#1.EPS</GID>
                    </GPH>
                    <PSIG> </PSIG>
                    <FRDOC>[FR Doc. 2011-23924</FRDOC>
                    <FILED>Filed 9-14-11; 11:15 am]</FILED>
                    <BILCOD>Billing code 3195-W1-P</BILCOD>
                </PROCLA>
            </PRESDOCU>
        </PRESDOCS>
    </NEWPART>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Presidential Documents</UNITNAME>
    <NEWPART>
        <PTITLE>
            <PRTPAGE P="57619"/>
            <PARTNO>Part V</PARTNO>
            <PRES>The President</PRES>
            <MEMO>Memorandum of September 12, 2011—Delegation Under Section 2(A) of the Special Agent Samuel Hicks Families of Fallen Heroes Act</MEMO>
            <DETNO>Presidential Determination No. 2011-15 of September 13, 2011—Continuation of the Exercise of Certain Authorities Under the Trading With the Enemy Act</DETNO>
        </PTITLE>
        <PRESDOCS>
            <PRESDOCU>
                <PRMEMO>
                    <TITLE3>Title 3—</TITLE3>
                    <PRES>
                        The President
                        <PRTPAGE P="57621"/>
                    </PRES>
                    <MEMO>Memorandum of September 12, 2011</MEMO>
                    <HD SOURCE="HED">Delegation Under Section 2(A) of the Special Agent Samuel Hicks Families of Fallen Heroes Act </HD>
                    <HD SOURCE="HED">Memorandum for the Administrator of General Services </HD>
                    <FP>By the authority vested in me as President by the Constitution and the laws of the United States of America, including section 301 of title 3, United States Code, I hereby delegate to you the function conferred upon the President by section 2(a) of the Special Agent Samuel Hicks Families of Fallen Heroes Act (Public Law 111-178) to prescribe the applicable regulations.</FP>
                    <FP>
                        You are authorized and directed to publish this memorandum in the 
                        <E T="03">Federal Register</E>
                        .
                    </FP>
                    <GPH SPAN="1" DEEP="50" HTYPE="RIGHT">
                        <GID>OB#1.EPS</GID>
                    </GPH>
                    <PSIG> </PSIG>
                    <PLACE>THE WHITE HOUSE,</PLACE>
                    <DATE>Washington, September 12, 2011</DATE>
                    <FRDOC>[FR Doc. 2011-23937</FRDOC>
                    <FILED>Filed 9-14-11; 11:15 am]</FILED>
                    <BILCOD>Billing code 6820-34-P</BILCOD>
                </PRMEMO>
            </PRESDOCU>
        </PRESDOCS>
    </NEWPART>
    <VOL>76</VOL>
    <NO>179</NO>
    <DATE>Thursday, September 15, 2011</DATE>
    <UNITNAME>Presidential Documents</UNITNAME>
    <PRESDOC>
        <PRESDOCU>
            <DETERM>
                <PRTPAGE P="57623"/>
                <DETNO>Presidential Determination No. 2011-15 of September 13, 2011</DETNO>
                <HD SOURCE="HED">Continuation of the Exercise of Certain Authorities Under the Trading With the Enemy Act </HD>
                <HD SOURCE="HED">Memorandum for the Secretary of State [and] the Secretary of the Treasury </HD>
                <FP>
                    Under section 101(b) of Public Law 95-223 (91 Stat. 1625; 50 U.S.C. App. 5(b) note), and a previous determination on September 2, 2010 (75 
                    <E T="03">FR </E>
                    54459, September 7, 2010), the exercise of certain authorities under the Trading With the Enemy Act is scheduled to terminate on September 14, 2011.
                </FP>
                <FP>I hereby determine that the continuation for 1 year of the exercise of those authorities with respect to Cuba is in the national interest of the United States.</FP>
                <FP>Therefore, consistent with the authority vested in me by section 101(b) of Public Law 95-223, I continue for 1 year, until September 14, 2012, the exercise of those authorities with respect to Cuba, as implemented by the Cuban Assets Control Regulations, 31 C.F.R. Part 515.</FP>
                <FP>
                    The Secretary of the Treasury is authorized and directed to publish this determination in the 
                    <E T="03">Federal Register</E>
                    .
                </FP>
                <GPH SPAN="1" DEEP="50" HTYPE="RIGHT">
                    <GID>OB#1.EPS</GID>
                </GPH>
                <PSIG> </PSIG>
                <PLACE>THE WHITE HOUSE,</PLACE>
                <DATE>Washington, September 13, 2011</DATE>
                <FRDOC>[FR Doc. 2011-23938</FRDOC>
                <FILED>Filed 9-14-11; 11:15 am]</FILED>
                <BILCOD>Billing code 4811-33-P</BILCOD>
            </DETERM>
        </PRESDOCU>
    </PRESDOC>
</FEDREG>
